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SARLES H JAY

Disclosed activity across 3 companies

Tapewire entity
13899
SEC CIK
0001195078

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
AMERIPRISE FINANCIAL INCAMP · Entity 3035DirectorOctober 26, 2017November 13, 2017
AVALONBAY COMMUNITIES INCAVB · Entity 23068DirectorMay 19, 2020May 21, 2020

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

AMERIPRISE FINANCIAL INC

Report date October 26, 2017 · Filed November 13, 2017 · Amendment

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Phantom Stock (Retainer Deferral)SEC Table II · derivative / convertible securityDirect1,232.4926 Reported balance After 2017-10-27 transaction · row 1 Amendment: may correct only part of an earlier disclosure.
1 source row

Row 1 · 2017-10-27 · Grant · Acquired 112.844 · Balance 1,232.4926

F1: The original Form 4 filed on October 30, 2017, omitted a Table II transaction that occurred on October 27, 2017.

F2: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F3: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

Filing footnotes · ownership attribution and instrument terms

F1: The original Form 4 filed on October 30, 2017, omitted a Table II transaction that occurred on October 27, 2017.

F2: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F3: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

AVALONBAY COMMUNITIES INC

Report date May 19, 2020 · Filed May 21, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common Stock, par value $.01 per shareSEC Table I · non-derivativeDirect17,752.378 Reported balance After 2020-05-19 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2020-05-19 · Grant · Acquired 1,099 · Balance 17,752.378

F1: Reflects grant of shares of Restricted Stock under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which are subject to vesting requirements.

F2: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, some of which may be subject to vesting requirements.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects grant of shares of Restricted Stock under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which are subject to vesting requirements.

F2: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, some of which may be subject to vesting requirements.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

BANK OF AMERICA CORP /DE/

Report date March 31, 2005 · Filed April 04, 2005

Section 16 reporting ended · disclosed 2005-04-04. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect571,852 Ending reported balance After 2005-03-31 transaction · row 4
4 source rows · reconciled sequence

Row 1 · 2005-03-31 · Exercise / conversion · Acquired 85,558 · Balance 553,347

Row 2 · 2005-03-31 · Exercise / conversion · Acquired 90,832 · Balance 644,179

Row 3 · 2005-03-31 · Tax withholding · Disposed 35,721 · Balance 608,458

F1: Disposition of shares to the issuer to satisfy the tax withholding obligation associated with the vesting of restricted stock whi ch is exempt under Rule 16b-3(e).

Row 4 · 2005-03-31 · Tax withholding · Disposed 36,606 · Balance 571,852

F1: Disposition of shares to the issuer to satisfy the tax withholding obligation associated with the vesting of restricted stock whi ch is exempt under Rule 16b-3(e).

Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $40.74 · Expires 2007-04-01Direct0 Reported balance After 2005-03-31 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2005-03-31 · Exercise / conversion · Disposed 90,832 · Balance 0

F2: These restricted stock units vested upon the reporting person's retirement from the Corporation.

Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $40.52 · Expires 2007-02-17Direct0 Reported balance After 2005-03-31 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2005-03-31 · Exercise / conversion · Disposed 85,558 · Balance 0

F2: These restricted stock units vested upon the reporting person's retirement from the Corporation.

Filing footnotes · ownership attribution and instrument terms

F1: Disposition of shares to the issuer to satisfy the tax withholding obligation associated with the vesting of restricted stock whi ch is exempt under Rule 16b-3(e).

F2: These restricted stock units vested upon the reporting person's retirement from the Corporation.

Transaction history

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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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
May 19, 2020 Filed May 21, 2020 19:00 UTC AVALONBAY COMMUNITIES INC AVB · Entity 23068 GrantCommon Stock, par value $.01 per share 1,099 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-031206 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,752.378

F1 · shares: Reflects grant of shares of Restricted Stock under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which are subject to vesting requirements.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, some of which may be subject to vesting requirements.

Read SEC document
December 10, 2019 Filed Feb 4, 2020 17:07 UTC AVALONBAY COMMUNITIES INC AVB · Entity 23068 GiftCommon Stock, par value $.01 per share 1,950 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-006204 · doc5.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,653.378

F1 · shares: Reflects gift of shares.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including restricted shares.

Read SEC document
May 23, 2019 Filed May 28, 2019 16:19 UTC AVALONBAY COMMUNITIES INC AVB · Entity 23068 GrantCommon Stock, par value $.01 per share 785 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-032901 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,603.378

F1 · shares: Reflects grant of shares of Restricted Stock under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which are subject to vesting requirements.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, some of which may be subject to vesting requirements.

Read SEC document
November 28, 2018 Filed Feb 11, 2019 17:16 UTC AVALONBAY COMMUNITIES INC AVB · Entity 23068 GiftCommon Stock, par value $.01 per share 3,137 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-008839 · doc5.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,818.378

F1 · shares: Reflects gift of shares to Amherst College.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, including restricted shares.

Read SEC document
May 31, 2018 Filed Jun 4, 2018 16:42 UTC AVALONBAY COMMUNITIES INC AVB · Entity 23068 GrantCommon Stock, par value $.01 per share 846 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-034929 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,955.378

F1 · shares: Reflects grant of shares of Restricted Stock under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which are subject to vesting requirements.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, some of which may be subject to vesting requirements.

Read SEC document
October 27, 2017 Filed Nov 13, 2017 22:02 UTC Amendment AMERIPRISE FINANCIAL INC AMP · Entity 3035 GrantPhantom Stock (Retainer Deferral) · Derivative 112.844 $160.62 $18,125.00
Disclosure

SEC source: 0001179110-17-014045 · edgar.xml · derivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,232.4926

Underlying: Common Stock · 112.844 shares

Expires not disclosed

F1 · security: The original Form 4 filed on October 30, 2017, omitted a Table II transaction that occurred on October 27, 2017.

F2 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F3 · derivative.exercise_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

F3 · derivative.expiration_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

Read SEC document
October 26, 2017 Filed Oct 30, 2017 20:33 UTC AMERIPRISE FINANCIAL INC AMP · Entity 3035 GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-013531 · edgar.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 6,609

F1 · shares: The reporting person made an in-kind charitable gift to a not for profit charitable organization.

Read SEC document
July 28, 2017 Filed Aug 1, 2017 22:20 UTC AMERIPRISE FINANCIAL INC AMP · Entity 3035 GrantPhantom Stock (Retainer Deferral) · Derivative 125.4759 $144.45 $18,124.99
Disclosure

SEC source: 0001179110-17-010911 · edgar.xml · derivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,112.9931

Underlying: Common Stock · 125.4759 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F2 · derivative.exercise_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

F2 · derivative.expiration_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

Read SEC document
May 25, 2017 Filed May 30, 2017 19:14 UTC AVALONBAY COMMUNITIES INC AVB · Entity 23068 GrantCommon Stock, par value $.01 per share 703 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-036095 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,109.378

F1 · price: Reflects grant of shares of Restricted Stock under the issuer's Second Amended and Restated 2009 Equity Incentive Plan, which are subject to vesting requirements.

F2 · balance_after: The amount of securities owned following the reported transaction reflects direct ownership of all shares of common stock, some of which may be subject to vesting requirements.

Read SEC document
April 27, 2017 Filed Apr 28, 2017 20:18 UTC AMERIPRISE FINANCIAL INC AMP · Entity 3035 GrantPhantom Stock (Retainer Deferral) · Derivative 141.0945 $128.46 $18,125.00
Disclosure

SEC source: 0001179110-17-006261 · edgar.xml · derivative · entry 2

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 981.0461

Underlying: Common Stock · 141.0945 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F3 · derivative.exercise_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

F3 · derivative.expiration_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

Read SEC document
April 26, 2017 Filed Apr 28, 2017 20:18 UTC AMERIPRISE FINANCIAL INC AMP · Entity 3035 GrantPhantom Stock (Annual) · Derivative 1,162.7907 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-006261 · edgar.xml · derivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,555.8831

Underlying: Common Stock · 1,162.7907 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F2 · derivative.exercise_date: Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

F2 · derivative.expiration_date: Upon ceasing to be a non-employee director of Ameriprise Financial, Inc., the reporting director will receive common stock of Ameriprise Financial, Inc. in settlement of the reporting director's deferred share units on a one-for-one basis in a lump sum at the end of the quarter immediately following the quarter in which the reporting director's termination of service on the Board of Directors occurs.

Read SEC document
February 28, 2017 Filed Mar 6, 2017 21:27 UTC AMERIPRISE FINANCIAL INC AMP · Entity 3035 GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-17-003992 · edgar.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 8,609

F1 · shares: The reporting person made an in-kind charitable gift to a not for profit charitable organization.

F2 · balance_after: The reporting person's Form 4 filed on November 15, 2016 inadvertently understated the reporting person's holdings by 2,000 shares, all of which shares are held indirectly by trust.

Read SEC document
February 06, 2017 Filed Feb 8, 2017 21:53 UTC AMERIPRISE FINANCIAL INC AMP · Entity 3035 GrantPhantom Stock (Retainer Deferral) · Derivative 146.9158 $123.37 $18,125.00
Disclosure

SEC source: 0001179110-17-001985 · edgar.xml · derivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835.1882

Underlying: Common Stock · 146.9158 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F2 · derivative.exercise_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

F2 · derivative.expiration_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

Read SEC document
November 14, 2016 Filed Nov 15, 2016 21:55 UTC AMERIPRISE FINANCIAL INC AMP · Entity 3035 GiftCommon Stock 2,000 $0.00 $0.00
Disclosure

SEC source: 0001179110-16-031622 · edgar.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,609

F1 · shares: The reporting person made an in-kind charitable gift to a not for profit charitable organization.

Read SEC document
October 28, 2016 Filed Nov 1, 2016 22:07 UTC AMERIPRISE FINANCIAL INC AMP · Entity 3035 GrantPhantom Stock (Retainer Deferral) · Derivative 175.1093 $89.23 $15,625.00
Disclosure

SEC source: 0001179110-16-031052 · edgar.xml · derivative · entry 1

SARLES H JAY · CIK 0001195078 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 683.7399

Underlying: Common Stock · 175.1093 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock represents the right to receive one share of Ameriprise Financial, Inc. common stock.

F2 · derivative.exercise_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

F2 · derivative.expiration_date: Distribution of Ameriprise Financial, Inc. Deferred Stock Units are made in accordance with distribution elections made by the plan participants in the manner permitted by Ameriprise Financial Deferred Share Plan for Directors.

Read SEC document
March 31, 2005 Filed Apr 4, 2005 13:41 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionRestricted Stock Units · Derivative 85,558 $0.00 Strike: $40.52 $0.00
Disclosure

SEC source: 0000070858-05-000191 · doc4.xml · derivative · entry 6

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,558 shares

Expires 2007-02-17

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: These restricted stock units vested upon the reporting person's retirement from the Corporation.

F2 · derivative.expiration_date: These restricted stock units vested upon the reporting person's retirement from the Corporation.

Read SEC document
March 31, 2005 Filed Apr 4, 2005 13:41 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionRestricted Stock Units · Derivative 90,832 $0.00 Strike: $40.74 $0.00
Disclosure

SEC source: 0000070858-05-000191 · doc4.xml · derivative · entry 5

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,832 shares

Expires 2007-04-01

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: These restricted stock units vested upon the reporting person's retirement from the Corporation.

F2 · derivative.expiration_date: These restricted stock units vested upon the reporting person's retirement from the Corporation.

Read SEC document
March 31, 2005 Filed Apr 4, 2005 13:41 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Tax withholdingCommon Stock 36,606 $44.10 $1,614,324.60
Disclosure

SEC source: 0000070858-05-000191 · doc4.xml · nonDerivative · entry 4

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 571,852

F1 · kind: Disposition of shares to the issuer to satisfy the tax withholding obligation associated with the vesting of restricted stock whi ch is exempt under Rule 16b-3(e).

Read SEC document
March 31, 2005 Filed Apr 4, 2005 13:41 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Tax withholdingCommon Stock 35,721 $44.10 $1,575,296.10
Disclosure

SEC source: 0000070858-05-000191 · doc4.xml · nonDerivative · entry 3

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 608,458

F1 · kind: Disposition of shares to the issuer to satisfy the tax withholding obligation associated with the vesting of restricted stock whi ch is exempt under Rule 16b-3(e).

Read SEC document
March 31, 2005 Filed Apr 4, 2005 13:41 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionCommon Stock 90,832 $44.10 $4,005,691.20
Disclosure

SEC source: 0000070858-05-000191 · doc4.xml · nonDerivative · entry 2

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 644,179

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 31, 2005 Filed Apr 4, 2005 13:41 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionCommon Stock 85,558 $44.10 $3,773,107.80
Disclosure

SEC source: 0000070858-05-000191 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 553,347

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 17, 2005 Filed Feb 22, 2005 15:49 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionRestricted Stock Units · Derivative 42,778 $0.00 Strike: $42.31 $0.00
Disclosure

SEC source: 0000070858-05-000161 · doc4.xml · derivative · entry 3

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,558

Underlying: Common Stock · 42,778 shares

Expires 2007-02-17

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: These units, which are exempt under Rule 16b-3(d), vest in three equal installments commencing on the first anniversary of the g rant date.

Read SEC document
February 17, 2005 Filed Feb 22, 2005 15:49 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Tax withholdingCommon Stock 17,860 $46.36 $827,989.60
Disclosure

SEC source: 0000070858-05-000161 · doc4.xml · nonDerivative · entry 2

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 467,789

F1 · kind: Disposition of shares to the issuer to satisfy the tax withholding obligation associated with the vesting of restricted stock whi ch is exempt under Rule 16b-3(e).

Read SEC document
February 17, 2005 Filed Feb 22, 2005 15:49 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionCommon Stock 42,778 $46.36 $1,983,188.08
Disclosure

SEC source: 0000070858-05-000161 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 485,649

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 15, 2005 Filed Feb 17, 2005 11:10 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GrantRestricted Stock Units · Derivative 25,139 $47.06 Strike: $47.06 $1,183,041.34
Disclosure

SEC source: 0000070858-05-000153 · doc4.xml · derivative · entry 1

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,139

Underlying: Common Stock · 25,139 shares

Expires 2008-02-15

F1 · derivative.exercise_date: These restricted stock units, which are exempt under Rule 16b-3(d), vest on the third anniversary of the grant date.

Read SEC document
February 01, 2005 Filed Feb 2, 2005 14:39 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GrantOption, Right to Buy · Derivative 200,000 $46.68 Strike: $46.68 $9,336,000.00
Disclosure

SEC source: 0000070858-05-000075 · doc4.xml · derivative · entry 4

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2015-02-01

F2 · derivative.exercise_date: These options fully vest on February 1, 2008. The proceeds must be held for a three year period after exercise.

Read SEC document
December 22, 2004 Filed Dec 23, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 OtherCommon Stock 16,158 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000581 · doc4.xml · nonDerivative · entry 5

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Eaglemere Foundation

Disclosed balance after: 0

F3 · kind: The reporting person is no longer reporting 16,158 shares held by the Eaglemere Foundation because he does not have a reportable pecuniary interest in the shares held by this tax-exempt charitable foundation.

F3 · price: The reporting person is no longer reporting 16,158 shares held by the Eaglemere Foundation because he does not have a reportable pecuniary interest in the shares held by this tax-exempt charitable foundation.

F3 · acquired: The reporting person is no longer reporting 16,158 shares held by the Eaglemere Foundation because he does not have a reportable pecuniary interest in the shares held by this tax-exempt charitable foundation.

Read SEC document
December 22, 2004 Filed Dec 23, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 OtherCommon Stock 222 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000581 · doc4.xml · nonDerivative · entry 4

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By daughter

Disclosed balance after: 0

F2 · kind: The reporting person no longer has a reportable beneficial interest in 222 shares of Bank of America common stock owned by his da ughter and included in the reporting person's prior ownership reports.

F2 · price: The reporting person no longer has a reportable beneficial interest in 222 shares of Bank of America common stock owned by his da ughter and included in the reporting person's prior ownership reports.

F2 · acquired: The reporting person no longer has a reportable beneficial interest in 222 shares of Bank of America common stock owned by his da ughter and included in the reporting person's prior ownership reports.

Read SEC document
December 22, 2004 Filed Dec 23, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 45,512 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000581 · doc4.xml · nonDerivative · entry 3

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,321

F1 · price: These shares were gifted on the indicated date.

Read SEC document
December 22, 2004 Filed Dec 23, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 15,502 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000581 · doc4.xml · nonDerivative · entry 2

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 480,833

F1 · price: These shares were gifted on the indicated date.

Read SEC document
December 22, 2004 Filed Dec 23, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 16,769 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000581 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 496,335

F1 · price: These shares were gifted on the indicated date.

Read SEC document
November 04, 2004 Filed Nov 9, 2004 16:02 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 1,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000525 · doc4.xml · nonDerivative · entry 2

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,104

F1 · price: These shares were gifted on the indicated date.

Read SEC document
November 03, 2004 Filed Nov 9, 2004 16:02 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 956 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000525 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514,104

F1 · price: These shares were gifted on the indicated date.

Read SEC document
September 13, 2004 Filed Sep 15, 2004 12:50 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 29,432 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000458 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,060

F1 · price: These shares were gifted on the indicated date.

F2 · balance_after: The securities included in this report and future reports reflect the Company's 2 for 1 stock split on August 27, 2004.

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July 21, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionOption, Right to Buy · Derivative 66,636 $41.60 Strike: $41.60 $2,772,057.60
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · derivative · entry 10

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 66,636 shares

Expires 2006-10-15

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: This option fully vested on the effective date of the merger of FleetBoston Financial into Bank of America Corporation.

Read SEC document
July 21, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionOption, Right to Buy · Derivative 66,636 $37.26 Strike: $37.26 $2,482,857.36
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · derivative · entry 9

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 66,636 shares

Expires 2005-11-29

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: This option fully vested on the effective date of the merger of FleetBoston Financial into Bank of America Corporation.

Read SEC document
July 21, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 SaleCommon Stock 172 $85.48 $14,702.56
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · nonDerivative · entry 8

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,246

Read SEC document
July 21, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 SaleCommon Stock 133,100 $85.35 $11,360,085.00
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · nonDerivative · entry 7

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,418

Read SEC document
July 21, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionCommon Stock 66,636 $41.60 $2,772,057.60
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · nonDerivative · entry 6

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,518

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
July 21, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionCommon Stock 66,636 $37.26 $2,482,857.36
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · nonDerivative · entry 5

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,882

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
June 15, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 400 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · nonDerivative · entry 4

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,246

F1 · price: These shares were gifted on the indicated date.

Read SEC document
May 27, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 300 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · nonDerivative · entry 3

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,646

F1 · price: These shares were gifted on the indicated date.

Read SEC document
May 26, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 800 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · nonDerivative · entry 2

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,946

F1 · price: These shares were gifted on the indicated date.

Read SEC document
May 21, 2004 Filed Jul 21, 2004 16:06 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GiftCommon Stock 200 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000414 · doc4.xml · nonDerivative · entry 1

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,746

F1 · price: These shares were gifted on the indicated date.

Read SEC document
April 01, 2004 Filed Apr 5, 2004 11:57 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GrantRestricted Stock Units · Derivative 64,168 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000237 · doc4.xml · derivative · entry 20

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,168

Underlying: Common Stock · 64,168 shares

Expires not disclosed

F10 · derivative.exercise_price: Received in exchange for FleetBoston Financial restricted stock units at the rate of .5553 Bank of America restricted stock units for each FleetBoston unit held prior to the merger of FleetBoston into Bank of America Corporation on April 1, 2004. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F10 · kind: Received in exchange for FleetBoston Financial restricted stock units at the rate of .5553 Bank of America restricted stock units for each FleetBoston unit held prior to the merger of FleetBoston into Bank of America Corporation on April 1, 2004. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F8 · price: Received in exchange for FleetBoston Financial performance based restricted stock units at the rate of .5553 Bank of America units for each FleetBoston unit in connection with the merger of FleetBoston into Bank of America Corporation on April 1, 2004. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F11 · derivative.exercise_date: These restricted stock units vest in three equal installments commencing February 17, 2005.

F11 · derivative.expiration_date: These restricted stock units vest in three equal installments commencing February 17, 2005.

Read SEC document
April 01, 2004 Filed Apr 5, 2004 11:57 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 Exercise / conversionPerformance Restricted Stock Units · Derivative 69,413 $81.47 $5,655,077.11
Disclosure

SEC source: 0000070858-04-000237 · doc4.xml · derivative · entry 19

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 69,413 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.

F8 · derivative.exercise_price: Received in exchange for FleetBoston Financial performance based restricted stock units at the rate of .5553 Bank of America units for each FleetBoston unit in connection with the merger of FleetBoston into Bank of America Corporation on April 1, 2004. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F9 · derivative.exercise_date: These performance restricted stock units fully vested on the effective date of the merger.

F9 · derivative.expiration_date: These performance restricted stock units fully vested on the effective date of the merger.

Read SEC document
April 01, 2004 Filed Apr 5, 2004 11:57 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GrantPerformance Restricted Stock Units · Derivative 69,413 Not disclosed Not disclosed
Disclosure

SEC source: 0000070858-04-000237 · doc4.xml · derivative · entry 18

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,413

Underlying: Common Stock · 69,413 shares

Expires not disclosed

F8 · derivative.exercise_price: Received in exchange for FleetBoston Financial performance based restricted stock units at the rate of .5553 Bank of America units for each FleetBoston unit in connection with the merger of FleetBoston into Bank of America Corporation on April 1, 2004. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F8 · kind: Received in exchange for FleetBoston Financial performance based restricted stock units at the rate of .5553 Bank of America units for each FleetBoston unit in connection with the merger of FleetBoston into Bank of America Corporation on April 1, 2004. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F10 · price: Received in exchange for FleetBoston Financial restricted stock units at the rate of .5553 Bank of America restricted stock units for each FleetBoston unit held prior to the merger of FleetBoston into Bank of America Corporation on April 1, 2004. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F9 · derivative.exercise_date: These performance restricted stock units fully vested on the effective date of the merger.

F9 · derivative.expiration_date: These performance restricted stock units fully vested on the effective date of the merger.

Read SEC document
April 01, 2004 Filed Apr 5, 2004 11:57 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GrantOption, Right to Buy · Derivative 111,060 $38.27 Strike: $38.27 $4,250,266.20
Disclosure

SEC source: 0000070858-04-000237 · doc4.xml · derivative · entry 17

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,060

Underlying: Common Stock · 111,060 shares

Expires 2012-10-14

F6 · kind: Received in exchange for options to acquire FleetBoston Financial (FleetBoston) at an exchange ratio of .5553 of a share of Bank of America common stock for each share of FleetBoston common stock subject to such option in connection withthe merger of Fleetboston into Bank of America on April 1, 2004. The exercise price per share of Bank of America stock issuable upon exercise of these options is equal to the exercise price per share of FleetBoston common stock at which such FleetBoston option was exercisable immediately prior to the effective time of the merger divided by .5553. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F7 · derivative.exercise_date: This option fully vested on the effective date of the merger of FleetBoston Financial into Bank of America Corporation.

Read SEC document
April 01, 2004 Filed Apr 5, 2004 11:57 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GrantOption, Right to Buy · Derivative 111,060 $59.36 Strike: $59.36 $6,592,521.60
Disclosure

SEC source: 0000070858-04-000237 · doc4.xml · derivative · entry 16

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,060

Underlying: Common Stock · 111,060 shares

Expires 2011-10-15

F6 · kind: Received in exchange for options to acquire FleetBoston Financial (FleetBoston) at an exchange ratio of .5553 of a share of Bank of America common stock for each share of FleetBoston common stock subject to such option in connection withthe merger of Fleetboston into Bank of America on April 1, 2004. The exercise price per share of Bank of America stock issuable upon exercise of these options is equal to the exercise price per share of FleetBoston common stock at which such FleetBoston option was exercisable immediately prior to the effective time of the merger divided by .5553. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F7 · derivative.exercise_date: This option fully vested on the effective date of the merger of FleetBoston Financial into Bank of America Corporation.

Read SEC document
April 01, 2004 Filed Apr 5, 2004 11:57 UTC BANK OF AMERICA CORP /DE/ BAC · Entity 2801 GrantOption, Right to Buy · Derivative 111,060 $62.58 Strike: $62.58 $6,950,134.80
Disclosure

SEC source: 0000070858-04-000237 · doc4.xml · derivative · entry 15

SARLES H JAY · CIK 0001195078 · Vice Chm and Spl Advsr to CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,060

Underlying: Common Stock · 111,060 shares

Expires 2010-10-16

F6 · kind: Received in exchange for options to acquire FleetBoston Financial (FleetBoston) at an exchange ratio of .5553 of a share of Bank of America common stock for each share of FleetBoston common stock subject to such option in connection withthe merger of Fleetboston into Bank of America on April 1, 2004. The exercise price per share of Bank of America stock issuable upon exercise of these options is equal to the exercise price per share of FleetBoston common stock at which such FleetBoston option was exercisable immediately prior to the effective time of the merger divided by .5553. The closing price of FleetBoston common stock on the last day prior to the effective time of the merger was $44.90 per share.

F7 · derivative.exercise_date: This option fully vested on the effective date of the merger of FleetBoston Financial into Bank of America Corporation.

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.