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Nasdaq · USD

TTEK

TETRA TECH INC

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Tapewire entity
3570
SEC CIK
0000831641
Parsed reports
658

Last 12 months

Inside the activity.

1 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202601
Mar 202600
Apr 202600
May 202610
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hudkins JillPresident
Exercise / conversionCOMMON STOCK 199 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000069 · wk-form4_1700621384.xml · nonDerivative · entry 3

Hudkins Jill · CIK 0001927467 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,389

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hudkins JillPresident
Exercise / conversionCOMMON STOCK 154 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000069 · wk-form4_1700621384.xml · nonDerivative · entry 2

Hudkins Jill · CIK 0001927467 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,190

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hudkins JillPresident
Exercise / conversionCOMMON STOCK 72 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000069 · wk-form4_1700621384.xml · nonDerivative · entry 1

Hudkins Jill · CIK 0001927467 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,036

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 507 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · derivative · entry 9

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,521

Underlying: COMMON STOCK · 507 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2023, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Exercise / conversionCOMMON STOCK · Derivative 411 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · derivative · entry 8

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 822

Underlying: COMMON STOCK · 411 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2022, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 615 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · derivative · entry 7

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 614

Underlying: COMMON STOCK · 615 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2021, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 581 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · derivative · entry 6

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 581 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2020, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Tax withholdingCOMMON STOCK 585 $165.10 $96,583.50
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · nonDerivative · entry 5

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,962

F1 · shares: Represents the shares underlying restricted stock units (RSUs) which vested on 11/18/2023 and were withheld to pay the related tax liability.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Exercise / conversionCOMMON STOCK 507 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · nonDerivative · entry 4

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,547

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Exercise / conversionCOMMON STOCK 411 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · nonDerivative · entry 3

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,040

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Exercise / conversionCOMMON STOCK 615 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · nonDerivative · entry 2

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,629

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:49 UTC
Hopson PrestonSVP, General Counsel
Exercise / conversionCOMMON STOCK 581 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000067 · wk-form4_1700621323.xml · nonDerivative · entry 1

Hopson Preston III · CIK 0001728969 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,014

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 254 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · derivative · entry 9

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 760

Underlying: COMMON STOCK · 254 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2023, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 199 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · derivative · entry 8

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 398

Underlying: COMMON STOCK · 199 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2022, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 307 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · derivative · entry 7

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 307

Underlying: COMMON STOCK · 307 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2021, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 407 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · derivative · entry 6

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 407 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2020, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Tax withholdingCOMMON STOCK 625 $165.10 $103,187.50
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · nonDerivative · entry 5

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,360

F1 · shares: Represents the shares underlying restricted stock units (RSUs) which vested on 11/18/2023 and were withheld to pay the related tax liability.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Exercise / conversionCOMMON STOCK 254 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · nonDerivative · entry 4

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,985

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Exercise / conversionCOMMON STOCK 199 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · nonDerivative · entry 3

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,731

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Exercise / conversionCOMMON STOCK 307 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · nonDerivative · entry 2

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,532

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:47 UTC
CARTER BRIAN NSVP, Corporate Controller
Exercise / conversionCOMMON STOCK 407 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000065 · wk-form4_1700621266.xml · nonDerivative · entry 1

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,225

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 634 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · derivative · entry 9

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,901

Underlying: COMMON STOCK · 634 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2023, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 504 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · derivative · entry 8

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,008

Underlying: COMMON STOCK · 504 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2022, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 738 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · derivative · entry 7

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 737

Underlying: COMMON STOCK · 738 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2021, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 814 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · derivative · entry 6

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 814 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2020, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Tax withholdingCOMMON STOCK 1,455 $165.10 $240,220.50
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · nonDerivative · entry 5

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,006

F1 · shares: Represents the shares underlying restricted stock units (RSUs) which vested on 11/18/2023 and were withheld to pay the related tax liability.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Exercise / conversionCOMMON STOCK 634 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · nonDerivative · entry 4

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,461

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Exercise / conversionCOMMON STOCK 504 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · nonDerivative · entry 3

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,827

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Exercise / conversionCOMMON STOCK 738 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · nonDerivative · entry 2

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,323

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:46 UTC Exercise / conversionCOMMON STOCK 814 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000063 · wk-form4_1700621150.xml · nonDerivative · entry 1

BURDICK STEVEN M · CIK 0001277150 · EVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,585

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 507 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · derivative · entry 9

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,521

Underlying: COMMON STOCK · 507 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2023, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 411 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · derivative · entry 8

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 822

Underlying: COMMON STOCK · 411 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2022, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 574 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · derivative · entry 7

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 573

Underlying: COMMON STOCK · 574 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2021, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 581 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · derivative · entry 6

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 581 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 21, 2020, and the anniversary of that date going forward until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Tax withholdingCOMMON STOCK 1,120 $165.10 $184,912.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · nonDerivative · entry 5

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,072

F1 · shares: Represents the shares underlying restricted stock units (RSUs) which vested on 11/18/2023 and were withheld to pay the related tax liability.

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November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Exercise / conversionCOMMON STOCK 507 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · nonDerivative · entry 4

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,192

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Exercise / conversionCOMMON STOCK 411 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · nonDerivative · entry 3

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,685

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Exercise / conversionCOMMON STOCK 574 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · nonDerivative · entry 2

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,274

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:44 UTC
Argus Roger RPresident, GS and C/I Groups
Exercise / conversionCOMMON STOCK 581 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000061 · wk-form4_1700621042.xml · nonDerivative · entry 1

Argus Roger R · CIK 0001721930 · President, GS and C/I Groups

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,700

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 3,803 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · derivative · entry 9

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,408

Underlying: COMMON STOCK · 3,803 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2023, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 2,806 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · derivative · entry 8

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,612

Underlying: COMMON STOCK · 2,806 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2022, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 3,279 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · derivative · entry 7

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,278

Underlying: COMMON STOCK · 3,279 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2021, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Exercise / conversionRESTRICTED STOCK UNITS (RIGHT TO RECEIVE) · Derivative 4,276 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · derivative · entry 6

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: COMMON STOCK · 4,276 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The RSUs become vested as to 25% of the shares on November 18, 2020, and 25% of the shares on each anniversary date thereafter until fully vested.

F3 · derivative.expiration_date: The RSUs are exercisable at the time of vesting and do not have a set expiration date.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Tax withholdingCOMMON STOCK 7,648 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · nonDerivative · entry 5

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,041

F1 · shares: Represents the shares underlying restricted stock units (RSUs) which vested on 11/18/2023 and were withheld to pay the related tax liability.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Exercise / conversionCOMMON STOCK 3,803 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · nonDerivative · entry 4

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,689

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Exercise / conversionCOMMON STOCK 2,806 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · nonDerivative · entry 3

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,886

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Exercise / conversionCOMMON STOCK 3,279 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · nonDerivative · entry 2

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,080

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 18, 2023 Filed Nov 22, 2023 02:15 UTC
BATRACK DAN LDirector · CHAIRMAN AND CEO
Exercise / conversionCOMMON STOCK 4,276 $0.00 $0.00
Disclosure

SEC source: 0000831641-23-000059 · wk-form4_1700619309.xml · nonDerivative · entry 1

BATRACK DAN L · CIK 0001207854 · Director · CHAIRMAN AND CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,801

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 13, 2023 Filed Jun 14, 2023 20:58 UTC SaleCOMMON STOCK 2,500 $156.21 $390,525.00
Disclosure

SEC source: 0000831641-23-000030 · wf-form4_168677628675047.xml · nonDerivative · entry 1

THOMPSON J KENNETH · CIK 0001188787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,836

F1 · price: All shares sold at an exact price.

Read SEC document
June 07, 2023 Filed Jun 8, 2023 22:47 UTC
CARTER BRIAN NSVP, Corporate Controller
SaleCOMMON STOCK 2,234 $156.91 $350,536.94
Disclosure

SEC source: 0000831641-23-000028 · wf-form4_168626443551604.xml · nonDerivative · entry 1

CARTER BRIAN N · CIK 0001561742 · SVP, Corporate Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,818

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $156.81 to $157.24, inclusive.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.