Last 12 months
Inside the activity.
4 purchase rows · 0 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 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 4 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| 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 |
|---|---|---|---|---|---|---|
| December 05, 2017 Filed Dec 7, 2017 22:00 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
Exercise / conversionStock Option · Derivative | 6,550 | $0.00 Strike: $12.52 | $0.00 |
DisclosureSEC source: 0001104659-17-072333 · a4.xml · derivative · entry 6 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,450 Underlying: Common Stock · 6,550 shares Expires 2021-03-24 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 |
| December 05, 2017 Filed Dec 7, 2017 22:00 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
SaleCommon Stock | 13,100 | $48.33 | $633,176.71 |
DisclosureSEC source: 0001104659-17-072333 · a4.xml · nonDerivative · entry 3 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,518 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 30, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.99 to $49.30. The reporting person undertakes to provide Walker & Dunlop, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| December 05, 2017 Filed Dec 7, 2017 22:00 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
Exercise / conversionCommon Stock | 6,550 | $12.52 | $82,006.00 |
DisclosureSEC source: 0001104659-17-072333 · a4.xml · nonDerivative · entry 2 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,618 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 21, 2017 Filed Nov 22, 2017 21:15 UTC |
Warner Richard CEVP & Chief Credit Officer
|
SaleCommon Stock | 35,000 | $50.00 | $1,750,112.00 |
DisclosureSEC source: 0001104659-17-070194 · a4.xml · nonDerivative · entry 1 Warner Richard C · CIK 0001503839 · EVP & Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,785 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.01. The reporting person undertakes to provide Walker & Dunlop, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 21, 2017 Filed Nov 22, 2017 21:15 UTC |
Smith Howard W IIIDirector · President
|
SaleCommon Stock | 25,000 | $50.01 | $1,250,270.00 |
DisclosureSEC source: 0001104659-17-070192 · a4.xml · nonDerivative · entry 1 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 828,176 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 10, 2017. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.05. The reporting person undertakes to provide Walker & Dunlop, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 21:19 UTC |
SCHMALTZ DANA LDirector
|
PurchaseCommon Stock | 1,000 | $48.55 | $48,550.00 |
DisclosureSEC source: 0001104659-17-068514 · a4.xml · nonDerivative · entry 1 SCHMALTZ DANA L · CIK 0001104397 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,983 Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 21:20 UTC |
Bowers Alan JDirector
|
PurchaseCommon Stock | 1,071 | $49.49 | $53,003.79 |
DisclosureSEC source: 0001104659-17-068515 · a4.xml · nonDerivative · entry 1 Bowers Alan J · CIK 0001503849 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,854 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $49.4232 to $49.524. The reporting person undertakes to provide Walker & Dunlop, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 21:17 UTC |
THEOBALD STEPHEN PEVP, CFO & TREASURER
|
GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-068512 · a4.xml · nonDerivative · entry 3 THEOBALD STEPHEN P · CIK 0001507723 · EVP, CFO & TREASURER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,586 Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 21:17 UTC |
THEOBALD STEPHEN PEVP, CFO & TREASURER
|
SaleCommon Stock | 7,733 | $50.08 | $387,234.61 |
DisclosureSEC source: 0001104659-17-068512 · a4.xml · nonDerivative · entry 2 THEOBALD STEPHEN P · CIK 0001507723 · EVP, CFO & TREASURER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,586 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.93. The reporting person undertakes to provide Walker & Dunlop, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 10, 2017 Filed Nov 14, 2017 21:17 UTC |
THEOBALD STEPHEN PEVP, CFO & TREASURER
|
SaleCommon Stock | 10,395 | $52.00 | $540,540.00 |
DisclosureSEC source: 0001104659-17-068512 · a4.xml · nonDerivative · entry 1 THEOBALD STEPHEN P · CIK 0001507723 · EVP, CFO & TREASURER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,319 Read SEC document |
| October 31, 2017 Filed Dec 7, 2017 22:00 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
GiftCommon Stock | 806 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-072333 · a4.xml · nonDerivative · entry 1 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,068 Read SEC document |
| September 07, 2017 Filed Sep 11, 2017 20:16 UTC |
SCHMALTZ DANA LDirector
|
PurchaseCommon Stock | 1,000 | $45.10 | $45,100.00 |
DisclosureSEC source: 0001104659-17-056569 · a4.xml · nonDerivative · entry 1 SCHMALTZ DANA L · CIK 0001104397 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,983 Read SEC document |
| August 11, 2017 Filed Aug 15, 2017 20:15 UTC |
SCHMALTZ DANA LDirector
|
PurchaseCommon Stock | 1,000 | $46.05 | $46,050.00 |
DisclosureSEC source: 0001104659-17-052052 · a4.xml · nonDerivative · entry 1 SCHMALTZ DANA L · CIK 0001104397 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,983 Read SEC document |
| August 09, 2017 Filed Aug 11, 2017 20:05 UTC |
SCHMALTZ DANA LDirector
|
PurchaseCommon Stock | 1,000 | $47.45 | $47,450.00 |
DisclosureSEC source: 0001104659-17-051363 · a4.xml · nonDerivative · entry 2 SCHMALTZ DANA L · CIK 0001104397 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,983 Read SEC document |
| August 08, 2017 Filed Aug 11, 2017 20:05 UTC |
SCHMALTZ DANA LDirector
|
PurchaseCommon Stock | 1,000 | $48.25 | $48,250.00 |
DisclosureSEC source: 0001104659-17-051363 · a4.xml · nonDerivative · entry 1 SCHMALTZ DANA L · CIK 0001104397 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,983 Read SEC document |
| May 18, 2017 Filed May 19, 2017 20:24 UTC |
SCHMALTZ DANA LDirector
|
GrantCommon Stock | 2,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-034041 · a4.xml · nonDerivative · entry 1 SCHMALTZ DANA L · CIK 0001104397 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,983 F1 · shares: Represents shares of common stock granted to the reporting person, which are subject to the terms of the Walker & Dunlop, Inc. 2015 Equity Incentive Plan. The shares of restricted common stock vest on the one-year anniversary of the grant date. Read SEC document |
| May 18, 2017 Filed May 19, 2017 20:23 UTC |
Warren Michael J.Director
|
GrantCommon Stock | 2,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-034040 · a4.xml · nonDerivative · entry 1 Warren Michael J. · CIK 0001698331 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,519 F1 · shares: Represents shares of common stock granted to the reporting person, which are subject to the terms of the Walker & Dunlop, Inc. 2015 Equity Incentive Plan. The shares of restricted common stock vest on the one-year anniversary of the grant date. Read SEC document |
| May 18, 2017 Filed May 19, 2017 20:16 UTC |
Rice E. John JrDirector
|
GrantCommon Stock | 2,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-034030 · a4.xml · nonDerivative · entry 1 Rice E. John Jr · CIK 0001503875 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,433 F1 · shares: Represents shares of common stock granted to the reporting person, which are subject to the terms of the Walker & Dunlop, Inc. 2015 Equity Incentive Plan. The shares of restricted common stock vest on the one-year anniversary of the grant date. Read SEC document |
| May 18, 2017 Filed May 19, 2017 20:16 UTC |
Malone Michael DDirector
|
GrantDeferred Stock Units · Derivative | 2,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-034029 · a4.xml · derivative · entry 1 Malone Michael D · CIK 0001421021 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,150 Underlying: Common Stock · 2,150 shares Expires not disclosed F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F2 · derivative.exercise_date: The deferred stock units vest on the one-year anniversary of the grant date and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Deferred Compensation Plan for Non-Employee Directors (the "Plan"), or (ii) as otherwise provided by the Plan. F2 · derivative.expiration_date: The deferred stock units vest on the one-year anniversary of the grant date and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Deferred Compensation Plan for Non-Employee Directors (the "Plan"), or (ii) as otherwise provided by the Plan. Read SEC document |
| May 18, 2017 Filed May 19, 2017 20:16 UTC |
Bowers Alan JDirector
|
GrantDeferred Stock Units · Derivative | 1,612 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-034028 · a4.xml · derivative · entry 2 Bowers Alan J · CIK 0001503849 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,898 Underlying: Common Stock · 1,612 shares Expires not disclosed F2 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F3 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Deferred Compensation Plan for Non-Employee Directors (the "Plan"), or (ii) as otherwise provided by the Plan. F3 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Deferred Compensation Plan for Non-Employee Directors (the "Plan"), or (ii) as otherwise provided by the Plan. Read SEC document |
| May 18, 2017 Filed May 19, 2017 20:16 UTC |
Bowers Alan JDirector
|
GrantCommon Stock | 2,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-034028 · a4.xml · nonDerivative · entry 1 Bowers Alan J · CIK 0001503849 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,783 F1 · shares: Represents shares of common stock granted to the reporting person, which are subject to the terms of the Walker & Dunlop, Inc. 2015 Equity Incentive Plan. The shares of restricted common stock vest on the one-year anniversary of the grant date. Read SEC document |
| May 18, 2017 Filed May 19, 2017 20:15 UTC |
Hallenbeck Cynthia ADirector
|
GrantDeferred Stock Units · Derivative | 2,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-034027 · a4.xml · derivative · entry 1 Hallenbeck Cynthia A · CIK 0001503846 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,150 Underlying: Common Stock · 2,150 shares Expires not disclosed F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F2 · derivative.exercise_date: The deferred stock units vest on the one-year anniversary of the grant date and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Deferred Compensation Plan for Non-Employee Directors (the "Plan"), or (ii) as otherwise provided by the Plan. F2 · derivative.expiration_date: The deferred stock units vest on the one-year anniversary of the grant date and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Deferred Compensation Plan for Non-Employee Directors (the "Plan"), or (ii) as otherwise provided by the Plan. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:16 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
Exercise / conversionRestricted Stock Units · Derivative | 4,854 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-017604 · a4.xml · derivative · entry 4 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,854 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. F3 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of common stock of the Issuer. F4 · derivative.exercise_date: The restricted stock units were settled in shares of the Issuer's common stock on March 15, 2017. F4 · derivative.expiration_date: The restricted stock units were settled in shares of the Issuer's common stock on March 15, 2017. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:16 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
Exercise / conversionDeferred Stock Units · Derivative | 9,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-017604 · a4.xml · derivative · entry 3 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,708 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. F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F2 · derivative.exercise_date: The deferred stock units are fully vested and were settled in shares of the Issuer's common stock on March 15, 2017 pursuant to the Walker & Dunlop, Inc., Management Deferred Stock Unit Purchase Plan. F2 · derivative.expiration_date: The deferred stock units are fully vested and were settled in shares of the Issuer's common stock on March 15, 2017 pursuant to the Walker & Dunlop, Inc., Management Deferred Stock Unit Purchase Plan. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:16 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
Tax withholdingCommon Stock | 6,719 | $41.34 | $277,763.46 |
DisclosureSEC source: 0001104659-17-017604 · a4.xml · nonDerivative · entry 2 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,874 Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:16 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
Exercise / conversionCommon Stock | 14,562 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-017604 · a4.xml · nonDerivative · entry 1 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,593 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, 2017 Filed Mar 17, 2017 20:16 UTC |
Smith Howard W IIIDirector · President
|
Exercise / conversionRestricted Stock Units · Derivative | 4,530 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-017608 · a4.xml · derivative · entry 9 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,530 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. F3 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of common stock of the Issuer. F4 · derivative.exercise_date: The restricted stock units were settled in shares of the Issuer's common stock on March 15, 2017. F4 · derivative.expiration_date: The restricted stock units were settled in shares of the Issuer's common stock on March 15, 2017. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:16 UTC |
Smith Howard W IIIDirector · President
|
Exercise / conversionDeferred Stock Units · Derivative | 9,061 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-017608 · a4.xml · derivative · entry 8 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,061 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. F1 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F2 · derivative.exercise_date: The deferred stock units are fully vested and were settled in shares of the Issuer's common stock on March 15, 2017 pursuant to the Walker & Dunlop, Inc., Management Deferred Stock Unit Purchase Plan. F2 · derivative.expiration_date: The deferred stock units are fully vested and were settled in shares of the Issuer's common stock on March 15, 2017 pursuant to the Walker & Dunlop, Inc., Management Deferred Stock Unit Purchase Plan. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:16 UTC |
Smith Howard W IIIDirector · President
|
Tax withholdingCommon Stock | 6,706 | $41.34 | $277,226.04 |
DisclosureSEC source: 0001104659-17-017608 · a4.xml · nonDerivative · entry 2 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 853,176 Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:16 UTC |
Smith Howard W IIIDirector · President
|
Exercise / conversionCommon Stock | 13,591 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-017608 · a4.xml · nonDerivative · entry 1 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 859,882 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 |
| February 28, 2017 Filed Mar 2, 2017 13:31 UTC |
Warren Michael J.Director
|
GrantCommon Stock | 369 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-013262 · a4.xml · nonDerivative · entry 1 Warren Michael J. · CIK 0001698331 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 369 F1 · shares: The restricted stock vests on May 12, 2017. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:17 UTC |
Smith Howard W IIIDirector · President
|
GrantRestricted Stock Units · Derivative | 5,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010206 · a4.xml · derivative · entry 11 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,050 Underlying: Common Stock · 5,050 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of common stock of the Issuer. F7 · derivative.exercise_date: The restricted stock units will be settled in shares of the Issuer's common stock on the three-year anniversary of the grant date, subject to vesting acceleration pursuant to the Plan. F7 · derivative.expiration_date: The restricted stock units will be settled in shares of the Issuer's common stock on the three-year anniversary of the grant date, subject to vesting acceleration pursuant to the Plan. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:17 UTC |
Smith Howard W IIIDirector · President
|
GrantDeferred Stock Units · Derivative | 10,101 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010206 · a4.xml · derivative · entry 10 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,101 Underlying: Common Stock · 10,101 shares Expires not disclosed F4 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F5 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), or (ii) as otherwise provided by the Plan. F5 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), or (ii) as otherwise provided by the Plan. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:16 UTC |
THEOBALD STEPHEN PEVP, CFO & TREASURER
|
GrantRestricted Stock Units · Derivative | 2,525 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010204 · a4.xml · derivative · entry 6 THEOBALD STEPHEN P · CIK 0001507723 · EVP, CFO & TREASURER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,525 Underlying: Common Stock · 2,525 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of common stock of the Issuer. F7 · derivative.exercise_date: The restricted stock units will be settled in shares of the Issuer's common stock on the three-year anniversary of the grant date, subject to vesting acceleration pursuant to the Plan. F7 · derivative.expiration_date: The restricted stock units will be settled in shares of the Issuer's common stock on the three-year anniversary of the grant date, subject to vesting acceleration pursuant to the Plan. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:16 UTC |
THEOBALD STEPHEN PEVP, CFO & TREASURER
|
GrantDeferred Stock Units · Derivative | 5,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010204 · a4.xml · derivative · entry 5 THEOBALD STEPHEN P · CIK 0001507723 · EVP, CFO & TREASURER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,050 Underlying: Common Stock · 5,050 shares Expires not disclosed F4 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F5 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), or (ii) as otherwise provided by the Plan. F5 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), or (ii) as otherwise provided by the Plan. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:16 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
GrantRestricted Stock Units · Derivative | 2,525 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010203 · a4.xml · derivative · entry 6 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,525 Underlying: Common Stock · 2,525 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of common stock of the Issuer. F7 · derivative.exercise_date: The restricted stock units will be settled in shares of the Issuer's common stock on the three-year anniversary of the grant date, subject to vesting acceleration pursuant to the Plan. F7 · derivative.expiration_date: The restricted stock units will be settled in shares of the Issuer's common stock on the three-year anniversary of the grant date, subject to vesting acceleration pursuant to the Plan. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:16 UTC |
Lucas Richard MEVP & Gen Counsel & Secretary
|
GrantDeferred Stock Units · Derivative | 5,050 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010203 · a4.xml · derivative · entry 5 Lucas Richard M · CIK 0001503845 · EVP & Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,050 Underlying: Common Stock · 5,050 shares Expires not disclosed F4 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F5 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), or (ii) as otherwise provided by the Plan. F5 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), or (ii) as otherwise provided by the Plan. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:16 UTC |
Warner Richard CEVP & Chief Credit Officer
|
GrantRestricted Stock Units · Derivative | 1,723 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010202 · a4.xml · derivative · entry 9 Warner Richard C · CIK 0001503839 · EVP & Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 1,723 Underlying: Common Stock · 1,723 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of common stock of the Issuer. F7 · derivative.exercise_date: The restricted stock units will be settled in shares of the Issuer's common stock on the three-year anniversary of the grant date, subject to vesting acceleration pursuant to the Plan. F7 · derivative.expiration_date: The restricted stock units will be settled in shares of the Issuer's common stock on the three-year anniversary of the grant date, subject to vesting acceleration pursuant to the Plan. Read SEC document |
| February 16, 2017 Filed Feb 17, 2017 21:16 UTC |
Warner Richard CEVP & Chief Credit Officer
|
GrantDeferred Stock Units · Derivative | 3,446 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010202 · a4.xml · derivative · entry 8 Warner Richard C · CIK 0001503839 · EVP & Chief Credit Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,446 Underlying: Common Stock · 3,446 shares Expires not disclosed F4 · derivative.exercise_price: Each deferred stock unit represents the right to receive one share of common stock of the Issuer. F5 · derivative.exercise_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), or (ii) as otherwise provided by the Plan. F5 · derivative.expiration_date: The deferred stock units are fully vested and will be settled in shares of the Issuer's common stock either (i) on a date selected by the reporting person pursuant to the Issuer's Management Deferred Stock Unit Purchase Plan, as amended (the "Plan"), or (ii) as otherwise provided by the Plan. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:17 UTC |
Smith Howard W IIIDirector · President
|
GrantStock Options (right to buy) · Derivative | 33,377 | $0.00 Strike: $39.82 | $0.00 |
DisclosureSEC source: 0001104659-17-010206 · a4.xml · derivative · entry 9 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,377 Underlying: Common Stock · 33,377 shares Expires 2027-02-15 F3 · derivative.exercise_date: The stock options vest in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:17 UTC |
Smith Howard W IIIDirector · President
|
Tax withholdingCommon Stock | 31,172 | $39.82 | $1,241,269.04 |
DisclosureSEC source: 0001104659-17-010206 · a4.xml · nonDerivative · entry 3 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 846,291 Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:17 UTC |
Smith Howard W IIIDirector · President
|
GrantCommon Stock | 55,655 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010206 · a4.xml · nonDerivative · entry 2 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 877,463 F2 · shares: On March 28, 2014, the reporting person was granted an award of performance share units, which vest in the form of common stock if certain pre-established performance goals underlying the award are met over the course of a three-year period. On February 15, 2017, the Compensation Committee of the Issuer's Board of Directors determined that the performance goals had been met, resulting in the vesting of these shares. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:17 UTC |
Smith Howard W IIIDirector · President
|
GrantCommon Stock | 9,417 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010206 · a4.xml · nonDerivative · entry 1 Smith Howard W III · CIK 0001503844 · Director · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 821,808 F1 · shares: The restricted stock vests in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:17 UTC |
Walker William MDirector · Chairman & CEO
|
GrantStock Options (right to buy) · Derivative | 48,064 | $0.00 Strike: $39.82 | $0.00 |
DisclosureSEC source: 0001104659-17-010205 · a4.xml · derivative · entry 7 Walker William M · CIK 0001503841 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,064 Underlying: Common Stock · 48,064 shares Expires 2027-02-15 F3 · derivative.exercise_date: The stock options vest in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:17 UTC |
Walker William MDirector · Chairman & CEO
|
Tax withholdingCommon Stock | 85,585 | $39.82 | $3,407,994.70 |
DisclosureSEC source: 0001104659-17-010205 · a4.xml · nonDerivative · entry 3 Walker William M · CIK 0001503841 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,443,666 Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:17 UTC |
Walker William MDirector · Chairman & CEO
|
GrantCommon Stock | 166,971 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010205 · a4.xml · nonDerivative · entry 2 Walker William M · CIK 0001503841 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,529,251 F2 · shares: On March 28, 2014, the reporting person was granted an award of performance share units, which vest in the form of common stock if certain pre-established performance goals underlying the award are met over the course of a three-year period. On February 15, 2017, the Compensation Committee of the Issuer's Board of Directors determined that the performance goals had been met, resulting in the vesting of these shares. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:17 UTC |
Walker William MDirector · Chairman & CEO
|
GrantCommon Stock | 13,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010205 · a4.xml · nonDerivative · entry 1 Walker William M · CIK 0001503841 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,362,280 F1 · shares: The restricted stock vests in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:16 UTC |
THEOBALD STEPHEN PEVP, CFO & TREASURER
|
GrantStock Options (right to buy) · Derivative | 8,344 | $0.00 Strike: $39.82 | $0.00 |
DisclosureSEC source: 0001104659-17-010204 · a4.xml · derivative · entry 4 THEOBALD STEPHEN P · CIK 0001507723 · EVP, CFO & TREASURER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,344 Underlying: Common Stock · 8,344 shares Expires 2027-02-15 F3 · derivative.exercise_date: The stock options vest in three equal annual installments beginning on the first anniversary of the grant date. Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:16 UTC |
THEOBALD STEPHEN PEVP, CFO & TREASURER
|
Tax withholdingCommon Stock | 30,195 | $39.82 | $1,202,364.90 |
DisclosureSEC source: 0001104659-17-010204 · a4.xml · nonDerivative · entry 3 THEOBALD STEPHEN P · CIK 0001507723 · EVP, CFO & TREASURER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,714 Read SEC document |
| February 15, 2017 Filed Feb 17, 2017 21:16 UTC |
THEOBALD STEPHEN PEVP, CFO & TREASURER
|
GrantCommon Stock | 44,524 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-010204 · a4.xml · nonDerivative · entry 2 THEOBALD STEPHEN P · CIK 0001507723 · EVP, CFO & TREASURER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,909 F2 · shares: On March 28, 2014, the reporting person was granted an award of performance share units, which vest in the form of common stock if certain pre-established performance goals underlying the award are met over the course of a three-year period. On February 15, 2017, the Compensation Committee of the Issuer's Board of Directors determined that the performance goals had been met, resulting in the vesting of these shares. 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.