Last 12 months
Inside the activity.
3 purchase rows · 15 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 2 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 3 |
| Mar 2026 | 3 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 2 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 7 |
| Sep 2026 | 0 | 1 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 13, 2020 Filed Mar 17, 2020 22:37 UTC |
Mandinach Barry M.EVP, Head of Distribution
|
GrantCommon Stock | 849 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000072 · wf-form4_158448465901924.xml · nonDerivative · entry 1 Mandinach Barry M. · CIK 0001497269 · EVP, Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,405 F1 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2017 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied, and settled with shares by the reporting person to satisfy the tax obligation. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:37 UTC |
BRADLEY WILLIAM PATRICK IIIEVP, Fund Services
|
GrantCommon Stock | 1,442 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000071 · wf-form4_158448463285109.xml · nonDerivative · entry 3 BRADLEY WILLIAM PATRICK III · CIK 0001450955 · EVP, Fund Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,318.59 F3 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2020 Long Term Incentive Plan. Subject to acceleration in certain circumstances, the RSUs are scheduled to vest ratably over the next three years and will be settled for shares of common stock on a one-for-one basis upon vesting. F4 · balance_after: This number includes (i) 288.59 shares acquired in connection with the Issuer's Employee Stock Purchase Plan (ii) 2,419 RSUs that are scheduled to vest on March 15, 2021 (iii) 888 RSUs that are scheduled to vest on March 15, 2022 and (iv) 481 RSUs that are schedule to vest on March 15, 2023. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:37 UTC |
BRADLEY WILLIAM PATRICK IIIEVP, Fund Services
|
Tax withholdingCommon Stock | 747 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000071 · wf-form4_158448463285109.xml · nonDerivative · entry 2 BRADLEY WILLIAM PATRICK III · CIK 0001450955 · EVP, Fund Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,876.59 F2 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of RSUs previously reported, and settled with shares by the reporting person. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:37 UTC |
BRADLEY WILLIAM PATRICK IIIEVP, Fund Services
|
GrantCommon Stock | 371 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000071 · wf-form4_158448463285109.xml · nonDerivative · entry 1 BRADLEY WILLIAM PATRICK III · CIK 0001450955 · EVP, Fund Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,623.59 F1 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2017 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied, and settled with shares by the reporting person to satisfy the tax obligation. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:37 UTC |
PENA MARDELLE WEVP, Chief HR Officer
|
GrantCommon Stock | 1,855 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000070 · wf-form4_158448460975478.xml · nonDerivative · entry 3 PENA MARDELLE W · CIK 0001519506 · EVP, Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,971 F3 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2020 Long Term Incentive Plan. Subject to acceleration in certain circumstances, the RSUs are scheduled to vest ratably over the next three years and will be settled for shares of common stock on a one-for-one basis upon vesting. F4 · balance_after: This number includes (i) 2,548 RSUs that are scheduled to vest on March 15, 2021 (ii) 1,017 RSUs that are scheduled to vest on March 15, 2022 and (iii) 619 RSUs that are scheduled to vest on March 15, 2023. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:37 UTC |
PENA MARDELLE WEVP, Chief HR Officer
|
Tax withholdingCommon Stock | 744 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000070 · wf-form4_158448460975478.xml · nonDerivative · entry 2 PENA MARDELLE W · CIK 0001519506 · EVP, Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,116 F2 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of RSUs previously reported, and settled with shares by the reporting person. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:37 UTC |
PENA MARDELLE WEVP, Chief HR Officer
|
GrantCommon Stock | 371 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000070 · wf-form4_158448460975478.xml · nonDerivative · entry 1 PENA MARDELLE W · CIK 0001519506 · EVP, Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,860 F1 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2017 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied, and settled with shares by the reporting person to satisfy the tax obligation. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:34 UTC |
WALTMAN FRANCIS GEVP, Product Management
|
GrantCommon Stock | 3,593 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000069 · wf-form4_158448444946989.xml · nonDerivative · entry 3 WALTMAN FRANCIS G · CIK 0001450846 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,736.451 F3 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2020 Long Term Incentive Plan. Subject to acceleration in certain circumstances, the RSUs are scheduled to vest ratably over the next three years and will be settled for shares of common stock on a one-for-one basis upon vesting. F4 · balance_after: This number includes (i) 338.617 shares acquired in connection with the Issuer's Employee Stock Purchase Plan (ii) 5,050 RSUs that are scheduled to vest on March 15, 2021 (iii) 1,986 RSUs that are scheduled to vest on March 15, 2022 and (iv) 1,198 RSUs that are scheduled to vest on March 15, 2023. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:34 UTC |
WALTMAN FRANCIS GEVP, Product Management
|
Tax withholdingCommon Stock | 2,454 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000069 · wf-form4_158448444946989.xml · nonDerivative · entry 2 WALTMAN FRANCIS G · CIK 0001450846 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,143.451 F2 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of RSUs previously reported, and settled with shares by the reporting person. Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 22:34 UTC |
WALTMAN FRANCIS GEVP, Product Management
|
GrantCommon Stock | 849 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000069 · wf-form4_158448444946989.xml · nonDerivative · entry 1 WALTMAN FRANCIS G · CIK 0001450846 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,597.451 F1 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2017 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied, and settled with shares by the reporting person to satisfy the tax obligation. Read SEC document |
| February 27, 2020 Filed May 19, 2020 21:23 UTC |
Fleming Susan S.Director
|
GiftCommon Stock | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000099 · wf-form4_158992340687921.xml · nonDerivative · entry 1 Fleming Susan S. · CIK 0001179676 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,596 Read SEC document |
| December 23, 2019 Filed Dec 26, 2019 21:36 UTC |
TREANOR MARK CDirector
|
SaleCommon Stock | 1 | $123.73 | $123.73 |
DisclosureSEC source: 0000883237-19-000128 · wf-form4_157739618189604.xml · nonDerivative · entry 1 TREANOR MARK C · CIK 0001246957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,413 F1 · shares: Sale of a single share by the broker to cover account fees. Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 20:51 UTC |
Greig Paul GDirector
|
GrantCommon Stock | 212 | $105.74 | $22,416.88 |
DisclosureSEC source: 0000883237-19-000104 · wf-form4_157013589488920.xml · nonDerivative · entry 1 Greig Paul G · CIK 0001363674 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 20:51 UTC |
BAIN PETER LDirector
|
GrantCommon Stock | 212 | $105.74 | $22,416.88 |
DisclosureSEC source: 0000883237-19-000103 · wf-form4_157013586879240.xml · nonDerivative · entry 1 BAIN PETER L · CIK 0001206658 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 212 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| September 16, 2019 Filed Sep 17, 2019 21:48 UTC |
HILLS WENDY JEVP, CLO & General Counsel
|
GrantCommon Stock | 2,521 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000091 · wf-form4_156875692306678.xml · nonDerivative · entry 1 HILLS WENDY J · CIK 0001113435 · EVP, CLO & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,521 F1 · shares: Reflects a grant of restricted stock units ("RSUs"), which will cliff vest on September 16, 2022 and will convert to common stock of the Issuer on a one-for-one basis. Read SEC document |
| September 09, 2019 Filed Jan 9, 2020 22:57 UTC |
Fleming Susan S.Director
|
GiftCommon Stock | 400 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-20-000035 · wf-form5_157861063415937.xml · nonDerivative · entry 1 Fleming Susan S. · CIK 0001179676 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,996 Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:27 UTC |
HOLT TIMOTHY ADirector
|
GrantCommon Stock | 849 | $117.78 | $99,995.22 |
DisclosureSEC source: 0000883237-19-000069 · wf-form4_155804206265475.xml · nonDerivative · entry 1 HOLT TIMOTHY A · CIK 0001263022 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,164 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:27 UTC |
Hooda SheilaDirector
|
GrantCommon Stock | 859 | $117.78 | $101,173.02 |
DisclosureSEC source: 0000883237-19-000068 · wf-form4_155804203264038.xml · nonDerivative · entry 1 Hooda Sheila · CIK 0001691816 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,603 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:26 UTC |
ZARRILLI STEPHEN TDirector
|
GrantCommon Stock | 902 | $117.78 | $106,237.56 |
DisclosureSEC source: 0000883237-19-000067 · wf-form4_155804200281321.xml · nonDerivative · entry 1 ZARRILLI STEPHEN T · CIK 0001203410 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,815 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:26 UTC |
BAIO JAMES RDirector
|
GrantCommon Stock | 883 | $117.78 | $103,999.74 |
DisclosureSEC source: 0000883237-19-000066 · wf-form4_155804196825070.xml · nonDerivative · entry 1 BAIO JAMES R · CIK 0001039369 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,405 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:25 UTC |
JONES MELODY LDirector
|
GrantCommon Stock | 925 | $117.78 | $108,946.50 |
DisclosureSEC source: 0000883237-19-000065 · wf-form4_155804193814959.xml · nonDerivative · entry 1 JONES MELODY L · CIK 0001203078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,845 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:25 UTC |
Fleming Susan S.Director
|
GrantCommon Stock | 849 | $117.78 | $99,995.22 |
DisclosureSEC source: 0000883237-19-000064 · wf-form4_155804190958933.xml · nonDerivative · entry 1 Fleming Susan S. · CIK 0001179676 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,396 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| May 15, 2019 Filed May 16, 2019 21:24 UTC |
TREANOR MARK CDirector
|
GrantCommon Stock | 1,369 | $117.78 | $161,240.82 |
DisclosureSEC source: 0000883237-19-000063 · wf-form4_155804187670724.xml · nonDerivative · entry 1 TREANOR MARK C · CIK 0001246957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,414 F1 · shares: Common Stock issued as a portion of the Reporting Person's compensation as a member of the Board of Directors in accordance with the Company's Amended and Restated Omnibus Incentive and Equity Plan and subject to share ownership guidelines. Read SEC document |
| March 19, 2019 Filed Mar 20, 2019 21:37 UTC |
AYLWARD GEORGE RDirector · Director, CEO and President
|
Exercise / conversionStock Options · Derivative | 8,120 | $9.40 Strike: $9.40 | $76,328.00 |
DisclosureSEC source: 0000883237-19-000042 · wf-form4_155311785314544.xml · derivative · entry 5 AYLWARD GEORGE R · CIK 0001222403 · Director · Director, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,120 shares Expires 2019-04-20 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 |
| March 19, 2019 Filed Mar 20, 2019 21:37 UTC |
AYLWARD GEORGE RDirector · Director, CEO and President
|
Exercise / conversionStock Options · Derivative | 10,000 | $9.40 Strike: $9.40 | $94,000.00 |
DisclosureSEC source: 0000883237-19-000042 · wf-form4_155311785314544.xml · derivative · entry 4 AYLWARD GEORGE R · CIK 0001222403 · Director · Director, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,120 Underlying: Common Stock · 10,000 shares Expires 2019-04-20 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 |
| March 19, 2019 Filed Mar 20, 2019 21:37 UTC |
AYLWARD GEORGE RDirector · Director, CEO and President
|
Tax withholdingCommon Stock | 4,021 | $102.29 | $411,308.09 |
DisclosureSEC source: 0000883237-19-000042 · wf-form4_155311785314544.xml · nonDerivative · entry 3 AYLWARD GEORGE R · CIK 0001222403 · Director · Director, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,638.52 F3 · shares: The aggregate option exercise price and associated payroll taxes with respect to the exercise of 8,120 options were paid by delivery of previously owned shares in an exempt disposition to the Issuer. F4 · balance_after: This number includes (i) 1,442.104 shares acquired in connection with the Issuer's Employee Stock Purchase Plan (ii) 25,109 RSUs that are scheduled to cliff vest on March 15, 2020 (iii) 21,804 RSUs that are scheduled to cliff vest on March 15, 2021 and (iv) 4,563 RSUs that are scheduled to cliff vest on March 15, 2022. Read SEC document |
| March 19, 2019 Filed Mar 20, 2019 21:37 UTC |
AYLWARD GEORGE RDirector · Director, CEO and President
|
Exercise / conversionCommon Stock | 8,120 | $9.40 | $76,328.00 |
DisclosureSEC source: 0000883237-19-000042 · wf-form4_155311785314544.xml · nonDerivative · entry 2 AYLWARD GEORGE R · CIK 0001222403 · Director · Director, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,659.52 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. F1 · shares: Acquisition of common stock upon exercise of expiring employee stock options. Read SEC document |
| March 19, 2019 Filed Mar 20, 2019 21:37 UTC |
AYLWARD GEORGE RDirector · Director, CEO and President
|
Exercise / conversionCommon Stock | 10,000 | $9.40 | $94,000.00 |
DisclosureSEC source: 0000883237-19-000042 · wf-form4_155311785314544.xml · nonDerivative · entry 1 AYLWARD GEORGE R · CIK 0001222403 · Director · Director, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,539.52 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. F1 · shares: Acquisition of common stock upon exercise of expiring employee stock options. F2 · price: The aggregate option exercise price and associated payroll taxes were paid in cash. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
BRADLEY WILLIAM PATRICK IIIEVP, Fund Services
|
GrantCommon Stock | 1,220 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000040 · wf-form4_155303068385480.xml · nonDerivative · entry 5 BRADLEY WILLIAM PATRICK III · CIK 0001450955 · EVP, Fund Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,252.59 F4 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2019 Long Term Incentive Plan. Subject to acceleration in certain circumstances, the RSUs are scheduled to vest ratably over the next three years and will be settled for shares of common stock on a one-for-one basis upon vesting. F5 · balance_after: This number includes (i) 288.59 shares acquired in connection with the Issuer's Employee Stock Purchase Plan (ii) 2,004 RSUs that are scheduled to cliff vest on March 15, 2020 (iii) 1,939 RSUs that are scheduled to cliff vest on March 15, 2021 and 407 RSUs that are scheduled to cliff vest on March 15, 2021. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
BRADLEY WILLIAM PATRICK IIIEVP, Fund Services
|
GrantCommon Stock | 766 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000040 · wf-form4_155303068385480.xml · nonDerivative · entry 4 BRADLEY WILLIAM PATRICK III · CIK 0001450955 · EVP, Fund Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,032.59 F3 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2018 Long Term Incentive Plan, subject to a performance condition which has been satisfied. Subject to acceleration in certain circumstances, the RSUs are scheduled to cliff vest on March 15, 2021 and will be settled for shares of common stock on a one-for-one basis upon vesting. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
BRADLEY WILLIAM PATRICK IIIEVP, Fund Services
|
Tax withholdingCommon Stock | 68 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000040 · wf-form4_155303068385480.xml · nonDerivative · entry 3 BRADLEY WILLIAM PATRICK III · CIK 0001450955 · EVP, Fund Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,266.59 F1 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
BRADLEY WILLIAM PATRICK IIIEVP, Fund Services
|
GrantCommon Stock | 215 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000040 · wf-form4_155303068385480.xml · nonDerivative · entry 2 BRADLEY WILLIAM PATRICK III · CIK 0001450955 · EVP, Fund Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,334.59 F2 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2016 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
BRADLEY WILLIAM PATRICK IIIEVP, Fund Services
|
Tax withholdingCommon Stock | 256 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000040 · wf-form4_155303068385480.xml · nonDerivative · entry 1 BRADLEY WILLIAM PATRICK III · CIK 0001450955 · EVP, Fund Services 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,119.59 F1 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
FLYNN MARK SEVP & General Counsel
|
GrantCommon Stock | 766 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000039 · wf-form4_155303064014101.xml · nonDerivative · entry 4 FLYNN MARK S · CIK 0001200672 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,574 F3 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2018 Long Term Incentive Plan, subject to a performance condition which has been satisfied. Subject to acceleration in certain circumstances, the RSUs are scheduled to cliff vest on March 15, 2021 and will be settled for shares of common stock on a one-for-one basis upon vesting. F4 · balance_after: This number includes (i) 1,598 RSUs that are scheduled to cliff vest on March 15, 2020 and (ii) 1,532 RSUs that are scheduled to cliff vest on March 15, 2021. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
FLYNN MARK SEVP & General Counsel
|
Tax withholdingCommon Stock | 95 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000039 · wf-form4_155303064014101.xml · nonDerivative · entry 3 FLYNN MARK S · CIK 0001200672 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,808 F1 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
FLYNN MARK SEVP & General Counsel
|
GrantCommon Stock | 302 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000039 · wf-form4_155303064014101.xml · nonDerivative · entry 2 FLYNN MARK S · CIK 0001200672 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,903 F2 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2016 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:24 UTC |
FLYNN MARK SEVP & General Counsel
|
Tax withholdingCommon Stock | 358 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000039 · wf-form4_155303064014101.xml · nonDerivative · entry 1 FLYNN MARK S · CIK 0001200672 · EVP & General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,601 F1 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:23 UTC |
Angerthal Michael AEVP, Chief Financial Officer
|
Exercise / conversionStock Options · Derivative | 3,867 | $9.40 Strike: $9.40 | $36,349.80 |
DisclosureSEC source: 0000883237-19-000038 · wf-form4_155303059944929.xml · derivative · entry 7 Angerthal Michael A · CIK 0001374331 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,867 shares Expires 2019-04-20 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 |
| March 15, 2019 Filed Mar 19, 2019 21:23 UTC |
Angerthal Michael AEVP, Chief Financial Officer
|
Exercise / conversionCommon Stock | 3,867 | $9.40 | $36,349.80 |
DisclosureSEC source: 0000883237-19-000038 · wf-form4_155303059944929.xml · nonDerivative · entry 6 Angerthal Michael A · CIK 0001374331 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,551 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 · price: The aggregate option exercise price and associated payroll taxes were paid in cash. F6 · balance_after: This number includes (i) 4,689 RSUs that are scheduled to cliff vest on March 15, 2020 (ii) 4,102 RSUs that are scheduled to cliff vest on March 15, 2021 and (iii)1,037 RSUs that are scheduled to cliff vest on March 15, 2022. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:23 UTC |
Angerthal Michael AEVP, Chief Financial Officer
|
GrantCommon Stock | 3,111 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000038 · wf-form4_155303059944929.xml · nonDerivative · entry 5 Angerthal Michael A · CIK 0001374331 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,684 F4 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2019 Long Term Incentive Plan. Subject to acceleration in certain circumstances, the RSUs are scheduled to vest ratably over the next three years and will be settled for shares of common stock on a one-for-one basis upon vesting. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:23 UTC |
Angerthal Michael AEVP, Chief Financial Officer
|
GrantCommon Stock | 1,532 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000038 · wf-form4_155303059944929.xml · nonDerivative · entry 4 Angerthal Michael A · CIK 0001374331 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,573 F3 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2018 Long Term Incentive Plan, subject to a performance condition which has been satisfied. Subject to acceleration in certain circumstances, the RSUs are scheduled to cliff vest on March 15, 2021 and will be settled for shares of common stock on a one-for-one basis upon vesting. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:23 UTC |
Angerthal Michael AEVP, Chief Financial Officer
|
Tax withholdingCommon Stock | 321 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000038 · wf-form4_155303059944929.xml · nonDerivative · entry 3 Angerthal Michael A · CIK 0001374331 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,041 F1 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:23 UTC |
Angerthal Michael AEVP, Chief Financial Officer
|
GrantCommon Stock | 691 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000038 · wf-form4_155303059944929.xml · nonDerivative · entry 2 Angerthal Michael A · CIK 0001374331 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,362 F2 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2016 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:23 UTC |
Angerthal Michael AEVP, Chief Financial Officer
|
Tax withholdingCommon Stock | 1,210 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000038 · wf-form4_155303059944929.xml · nonDerivative · entry 1 Angerthal Michael A · CIK 0001374331 · EVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,671 F1 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:22 UTC |
Mandinach Barry M.EVP, Head of Distribution
|
GrantCommon Stock | 2,863 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000037 · wf-form4_155303056061096.xml · nonDerivative · entry 5 Mandinach Barry M. · CIK 0001497269 · EVP, Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,556 F4 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2019 Long Term Incentive Plan. Subject to acceleration in certain circumstances, the RSUs are scheduled to vest ratably over the next three years and will be settled for shares of common stock on a one-for-one basis upon vesting. F5 · balance_after: This number includes (i) 4,606 RSUs that are scheduled to cliff vest on March 15, 2020 (ii) 4,019 RSUs that are scheduled to cliff vest on March 15, 2021 and (iii) 955 RSUs that are scheduled to cliff vest on March 15, 2022. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:22 UTC |
Mandinach Barry M.EVP, Head of Distribution
|
GrantCommon Stock | 1,532 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000037 · wf-form4_155303056061096.xml · nonDerivative · entry 4 Mandinach Barry M. · CIK 0001497269 · EVP, Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,693 F3 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2018 Long Term Incentive Plan, subject to a performance condition which has been satisfied. Subject to acceleration in certain circumstances, the RSUs are scheduled to cliff vest on March 15, 2021 and will be settled for shares of common stock on a one-for-one basis upon vesting. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:22 UTC |
Mandinach Barry M.EVP, Head of Distribution
|
Tax withholdingCommon Stock | 339 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000037 · wf-form4_155303056061096.xml · nonDerivative · entry 3 Mandinach Barry M. · CIK 0001497269 · EVP, Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,161 F1 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:22 UTC |
Mandinach Barry M.EVP, Head of Distribution
|
GrantCommon Stock | 691 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000037 · wf-form4_155303056061096.xml · nonDerivative · entry 2 Mandinach Barry M. · CIK 0001497269 · EVP, Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 F2 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2016 Long Term Incentive Plan, subject to a time and performance condition which has been satisfied. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:22 UTC |
Mandinach Barry M.EVP, Head of Distribution
|
Tax withholdingCommon Stock | 1,279 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000037 · wf-form4_155303056061096.xml · nonDerivative · entry 1 Mandinach Barry M. · CIK 0001497269 · EVP, Head of Distribution 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,809 F1 · shares: Exempt disposition to the Issuer under Rule 16b-3(e) to satisfy tax withholding obligations arising out of the vesting of an RSU award. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 21:22 UTC |
WALTMAN FRANCIS GEVP, Product Management
|
GrantCommon Stock | 2,364 | $0.00 | $0.00 |
DisclosureSEC source: 0000883237-19-000036 · wf-form4_155303052137864.xml · nonDerivative · entry 5 WALTMAN FRANCIS G · CIK 0001450846 · EVP, Product Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,748.451 F4 · shares: These shares comprise an award of restricted stock units ("RSUs") granted to the reporting person pursuant to the Company's 2019 Long Term Incentive Plan. Subject to acceleration in certain circumstances, the RSUs are scheduled to vest ratably over the next three years and will be settled for shares of common stock on a one-for-one basis upon vesting. F5 · balance_after: This number includes (i) 338.617 shares acquired in connection with the Issuer's Employee Stock Purchase Plan (ii) 4,440 RSUs that are scheduled to cliff vest on March 15, 2020 (iii) 3,853 RSUs that are scheduled to cliff vest on March 15, 2021 and (iv) and 788 RSUs that are scheduled to cliff vest on March 15, 2022. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.