person · Reporting owner

GROSS PATRICK W

Disclosed activity across 5 companies

Tapewire entity: 16231
SEC CIK: 0001184343

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CAPITAL ONE FINANCIAL CORPCOF · Entity 547	Director	February 10, 2017	February 14, 2017
PERDOCEO EDUCATION CorpPRDO · Entity 4488	Director	May 21, 2026	May 26, 2026
WASTE MANAGEMENT INCWM · Entity 2932	Director	January 15, 2020	January 17, 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.

CAPITAL ONE FINANCIAL CORP

Report date February 10, 2017 · Filed February 14, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	47,839	Ending reported balance After 2017-02-10 transaction · row 6 6 source rows · reconciled sequence Row 1 · 2017-02-10 · Exercise / conversion · Acquired 4,098 · Balance 51,937 Row 2 · 2017-02-10 · Exercise / conversion · Acquired 10,205 · Balance 62,142 Row 3 · 2017-02-10 · Exercise / conversion · Acquired 8,795 · Balance 70,937 Row 4 · 2017-02-10 · Exercise / conversion · Acquired 8,851 · Balance 79,788 Row 5 · 2017-02-10 · Exercise / conversion · Acquired 9,111 · Balance 88,899 Row 6 · 2017-02-10 · Sale · Disposed 41,060 · Balance 47,839 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.40 to $88.61. Information regarding the number of shares sold at each price will be provided upon request.
Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $74.72 · Expires 2017-04-25	Direct	0	Reported balance After 2017-02-10 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2017-02-10 · Exercise / conversion · Disposed 4,098 · Balance 0
Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $47.29 · Expires 2018-04-23	Direct	0	Reported balance After 2017-02-10 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2017-02-10 · Exercise / conversion · Disposed 10,205 · Balance 0
Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $16.93 · Expires 2019-04-22	Direct	0	Reported balance After 2017-02-10 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2017-02-10 · Exercise / conversion · Disposed 8,795 · Balance 0
Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $53.03 · Expires 2021-05-10	Direct	0	Reported balance After 2017-02-10 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2017-02-10 · Exercise / conversion · Disposed 8,851 · Balance 0
Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $54.07 · Expires 2022-05-07	Direct	0	Reported balance After 2017-02-10 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2017-02-10 · Exercise / conversion · Disposed 9,111 · Balance 0

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.40 to $88.61. Information regarding the number of shares sold at each price will be provided upon request.

PERDOCEO EDUCATION Corp

Report date May 21, 2026 · Filed May 26, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	118,957	Reported balance After 2026-05-21 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2026-05-21 · Grant · Acquired 3,987 · Balance 118,957 F1: Time-based restricted stock units granted pursuant to Issuer's 2026 Long-Term Incentive Plan, with each unit representing the contingent right to receive one share of Issuer's common stock. These units vest on June 14, 2027. F2: Includes 14,619 vested deferred stock units granted pursuant to Issuer's 2008 Incentive Compensation Plan, with each unit representing the right to receive one share of common stock upon Reporting Person's termination of service from Issuer. Also includes 5,155 unvested restricted stock units granted pursuant to Issuer's 2016 Incentive Compensation Plan, with each unit representing the contingent right to receive one share of Issuer's common stock upon vesting.

Filing footnotes · ownership attribution and instrument terms

F1: Time-based restricted stock units granted pursuant to Issuer's 2026 Long-Term Incentive Plan, with each unit representing the contingent right to receive one share of Issuer's common stock. These units vest on June 14, 2027.

F2: Includes 14,619 vested deferred stock units granted pursuant to Issuer's 2008 Incentive Compensation Plan, with each unit representing the right to receive one share of common stock upon Reporting Person's termination of service from Issuer. Also includes 5,155 unvested restricted stock units granted pursuant to Issuer's 2016 Incentive Compensation Plan, with each unit representing the contingent right to receive one share of Issuer's common stock upon vesting.

WASTE MANAGEMENT INC

Report date January 15, 2020 · Filed January 17, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	25,230	Reported balance After 2020-01-15 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2020-01-15 · Grant · Acquired 654 · Balance 25,230 F1: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan.
Common StockSEC Table I · non-derivative	Direct	24,942	Reported balance After 2020-01-17 transaction · row 2 Account or security details depend on footnotes; rows are not merged. 1 source row Row 2 · 2020-01-17 · Sale · Disposed 288 · Balance 24,942 F2: Sale of shares to cover personal income tax obligations upon grant of stock award, pursuant to Rule 10b5-1 Trading Plan.

Filing footnotes · ownership attribution and instrument terms

F1: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan.

F2: Sale of shares to cover personal income tax obligations upon grant of stock award, pursuant to Rule 10b5-1 Trading Plan.

Past disclosures · reporting ended (2)

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

LIQUIDITY SERVICES INC

Report date February 01, 2023 · Filed February 03, 2023

Section 16 reporting ended · disclosed 2023-02-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	99,100	Reported balance After 2023-02-01 transaction · row 1 1 source row Row 1 · 2023-02-01 · Exercise / conversion · Acquired 7,613 · Balance 99,100 F1: Represents the vesting of restricted stock units.
Restricted Stock Unit GrantSEC Table II · derivative / convertible security · Expires 2023-02-01	Direct	0	Reported balance After 2023-02-01 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2023-02-01 · Exercise / conversion · Disposed 7,613 · Balance 0 F2: Each restricted stock unit is the economic equivalent of one share of Liquidity Services, Inc. Common Stock. F1: Represents the vesting of restricted stock units. F3: 100% of this restricted stock unit grant vested on February 1, 2023.
Stock Option GrantSEC Table II · derivative / convertible security · Conversion / exercise price $40.11 · Expires 2023-06-03	Direct	5,954	Reported balance Holding disclosure · report date 2023-02-01 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 5,954
Stock Option GrantSEC Table II · derivative / convertible security · Conversion / exercise price $21.53 · Expires 2024-02-03	Direct	20,061	Reported balance Holding disclosure · report date 2023-02-01 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 20,061
Stock Option GrantSEC Table II · derivative / convertible security · Conversion / exercise price $9.84 · Expires 2025-03-04	Direct	39,103	Reported balance Holding disclosure · report date 2023-02-01 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 39,103
Stock Option GrantSEC Table II · derivative / convertible security · Conversion / exercise price $6.29 · Expires 2026-02-01	Direct	84,896	Reported balance Holding disclosure · report date 2023-02-01 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 84,896
Stock Option GrantSEC Table II · derivative / convertible security · Conversion / exercise price $5.32 · Expires 2030-02-01	Direct	20,939	Reported balance Holding disclosure · report date 2023-02-01 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance 20,939
Stock Option GrantSEC Table II · derivative / convertible security · Conversion / exercise price $21.48 · Expires 2031-02-01	Direct	7,451	Reported balance Holding disclosure · report date 2023-02-01 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance 7,451
Stock Option GrantSEC Table II · derivative / convertible security · Conversion / exercise price $19.21 · Expires 2032-02-01	Direct	1,767	Reported balance Holding disclosure · report date 2023-02-01 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 1,767

Filing footnotes · ownership attribution and instrument terms

F1: Represents the vesting of restricted stock units.

F2: Each restricted stock unit is the economic equivalent of one share of Liquidity Services, Inc. Common Stock.

F3: 100% of this restricted stock unit grant vested on February 1, 2023.

ROSETTA STONE INC

Report date October 15, 2020 · Filed October 16, 2020

Section 16 reporting ended · disclosed 2020-10-16. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2020-10-15 transaction · row 1 1 source row Row 1 · 2020-10-15 · Disposition to issuer · Disposed 2,658 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the Reporting Person was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00.
Common StockSEC Table I · non-derivative	IndirectShares held by wife	Reported balance After 2020-10-15 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2020-10-15 · Disposition to issuer · Disposed 73,501 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the Reporting Person was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00. F2: The Reporting Person has disclaimed beneficial ownership to 73,501 shares of Common Stock held by his spouse and to 32,368 shares of Common Stock held by his daughter under the Stephanie Lovell Irrevocable Trust.
Common StockSEC Table I · non-derivative	IndirectShares held by the Stephanie Gross Trust	Reported balance After 2020-10-15 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2020-10-15 · Disposition to issuer · Disposed 32,368 · Balance 0 F1: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the Reporting Person was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00. F2: The Reporting Person has disclaimed beneficial ownership to 73,501 shares of Common Stock held by his spouse and to 32,368 shares of Common Stock held by his daughter under the Stephanie Lovell Irrevocable Trust.
Restricted Stock UnitSEC Table II · derivative / convertible security	Direct	Reported balance After 2020-10-15 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2020-10-15 · Disposition to issuer · Disposed 85,833 · Balance 0 F3: Each restricted stock unit ("RSU") represents the right to receive one share of Common Stock. F4: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time (as defined in the Merger Agreement), each RSU, whether vested or unvested, that was outstanding vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such RSU, an amount (subject to any applicable withholding tax) in cash equal to $30.00.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.66 · Expires 2021-05-26	Direct	Reported balance After 2020-10-15 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2020-10-15 · Disposition to issuer · Disposed 3,787 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.78 · Expires 2022-05-23	Direct	Reported balance After 2020-10-15 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2020-10-15 · Disposition to issuer · Disposed 6,150 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.85 · Expires 2023-05-23	Direct	Reported balance After 2020-10-15 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2020-10-15 · Disposition to issuer · Disposed 4,496 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.42 · Expires 2024-05-20	Direct	Reported balance After 2020-10-15 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2020-10-15 · Disposition to issuer · Disposed 9,571 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.50 · Expires 2025-06-12	Direct	Reported balance After 2020-10-15 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2020-10-15 · Disposition to issuer · Disposed 27,966 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.70 · Expires 2026-05-19	Direct	Reported balance After 2020-10-15 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2020-10-15 · Disposition to issuer · Disposed 14,451 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.42 · Expires 2027-05-19	Direct	Reported balance After 2020-10-15 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2020-10-15 · Disposition to issuer · Disposed 9,766 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.12 · Expires 2028-06-18	Direct	Reported balance After 2020-10-15 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2020-10-15 · Disposition to issuer · Disposed 7,364 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.66 · Expires 2029-05-20	Direct	Reported balance After 2020-10-15 transaction · row 13 Instrument identity requires review; Table II rows are not merged. 1 source row Row 13 · 2020-10-15 · Disposition to issuer · Disposed 5,076 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.11 · Expires 2030-06-11	Direct	Reported balance After 2020-10-15 transaction · row 14 Instrument identity requires review; Table II rows are not merged. 1 source row Row 14 · 2020-10-15 · Disposition to issuer · Disposed 7,278 · Balance 0 F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the Reporting Person was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F2: The Reporting Person has disclaimed beneficial ownership to 73,501 shares of Common Stock held by his spouse and to 32,368 shares of Common Stock held by his daughter under the Stephanie Lovell Irrevocable Trust.

F3: Each restricted stock unit ("RSU") represents the right to receive one share of Common Stock.

F4: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time (as defined in the Merger Agreement), each RSU, whether vested or unvested, that was outstanding vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such RSU, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F5: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

Transaction history

JSON API

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	Company	Activity / security	Shares / units	Reported price	Reported value	Details
January 15, 2020 Filed Jan 17, 2020 20:50 UTC	WASTE MANAGEMENT INC WM · Entity 2932	GrantCommon Stock	654	$118.50	$77,500.64	Disclosure SEC source: 0001225208-20-000899 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,230 F1 · security: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan. Read SEC document
August 12, 2019 Filed Aug 14, 2019 20:26 UTC	PERDOCEO EDUCATION Corp CECO · Entity 4488	GrantNon-Qualified Stock Option (right to buy) · Derivative	5,994	$0.00 Strike: $21.29	$0.00	Disclosure SEC source: 0001209191-19-045904 · doc4.xml · derivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,994 Underlying: Common Stock · 5,994 shares Expires 2029-08-12 Read SEC document
July 17, 2019 Filed Jul 17, 2019 19:10 UTC	WASTE MANAGEMENT INC WM · Entity 2932	SaleCommon Stock	289	$118.61	$34,278.29	Disclosure SEC source: 0001225208-19-010303 · doc4.xml · nonDerivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,576 F2 · security: Sale of shares to cover personal income tax obligations upon grant of stock award, pursuant to Rule 10b5-1 Trading Plan. Read SEC document
July 15, 2019 Filed Jul 17, 2019 19:10 UTC	WASTE MANAGEMENT INC WM · Entity 2932	GrantCommon Stock	658	$117.81	$77,520.63	Disclosure SEC source: 0001225208-19-010303 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,865 F1 · security: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan. Read SEC document
May 20, 2019 Filed May 22, 2019 20:17 UTC	ROSETTA STONE INC RST · Entity 12922	GrantStock Option (right to buy) · Derivative	5,076	$0.00 Strike: $25.66	$0.00	Disclosure SEC source: 0001209191-19-032042 · doc4.xml · derivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,076 Underlying: Common Stock · 5,076 shares Expires 2029-05-20 F3 · derivative.exercise_date: Options vest at a rate of 1/4 per quarter over one year and become fully vested May 20, 2020. Read SEC document
May 20, 2019 Filed May 22, 2019 20:17 UTC	ROSETTA STONE INC RST · Entity 12922	GrantRestricted Stock Unit · Derivative	4,483	$0.00	$0.00	Disclosure SEC source: 0001209191-19-032042 · doc4.xml · derivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,989 Underlying: Common Stock · 4,483 shares Expires not disclosed F1 · derivative.exercise_price: Each RSU represents the right to receive one share of common stock of the Issuer. F2 · derivative.exercise_date: RSUs vest at a rate of 1/4 per quarter and become fully vested on May 20, 2020. Delivery of the shares entitled to the Reporting Person will be made upon the Reporting Person's separation from service to the Board of Directors. F2 · derivative.expiration_date: RSUs vest at a rate of 1/4 per quarter and become fully vested on May 20, 2020. Delivery of the shares entitled to the Reporting Person will be made upon the Reporting Person's separation from service to the Board of Directors. Read SEC document
April 09, 2019 Filed Apr 11, 2019 20:10 UTC	ROSETTA STONE INC RST · Entity 12922	Exercise / conversionStock Option (right to buy) · Derivative	2,658	$0.00 Strike: $18.00	$0.00	Disclosure SEC source: 0001209191-19-024354 · doc4.xml · derivative · entry 4 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,658 shares Expires 2019-04-15 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. F1 · derivative.exercise_date: These options were fully vested and were exercised for cash before expiring on April 15, 2019. Read SEC document
April 09, 2019 Filed Apr 11, 2019 20:10 UTC	ROSETTA STONE INC RST · Entity 12922	Exercise / conversionCommon Stock	2,658	$18.00	$47,844.00	Disclosure SEC source: 0001209191-19-024354 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,658 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 01, 2019 Filed Feb 4, 2019 21:57 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	GrantEmployee Stock Grant · Derivative	17,353	Not disclosed	Not disclosed	Disclosure SEC source: 0001628280-19-000894 · wf-form4_154931742450654.xml · derivative · entry 15 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,353 Underlying: Common Stock · 17,353 shares Expires 2029-02-01 F14 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Liquidity Services, Inc. Common Stock. F16 · price: Each restricted stock unit represents the contingent right to receive one share of Common Stock upon vesting of the unit. F17 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted stock grant will vest on February 1, 2020. Read SEC document
February 01, 2019 Filed Feb 4, 2019 21:57 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	OtherEmployee Stock Grant · Derivative	22,692	Not disclosed	Not disclosed	Disclosure SEC source: 0001628280-19-000894 · wf-form4_154931742450654.xml · derivative · entry 14 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,692 shares Expires 2028-02-01 F14 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Liquidity Services, Inc. Common Stock. F1 · kind: Represents the vesting of restricted stock. F16 · price: Each restricted stock unit represents the contingent right to receive one share of Common Stock upon vesting of the unit. F15 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2019. Read SEC document
February 01, 2019 Filed Feb 4, 2019 21:57 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	OtherCommon Stock	22,692	$8.50	$192,882.00	Disclosure SEC source: 0001628280-19-000894 · wf-form4_154931742450654.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,286 F1 · kind: Represents the vesting of restricted stock. Read SEC document
January 17, 2019 Filed Jan 17, 2019 21:37 UTC	WASTE MANAGEMENT INC WM · Entity 2932	SaleCommon Stock	365	$93.03	$33,957.41	Disclosure SEC source: 0001225208-19-000975 · doc4.xml · nonDerivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,207 F2 · security: Sale of shares to cover personal income tax obligations upon grant of stock award, pursuant to Rule 10b5-1 Trading Plan. Read SEC document
January 15, 2019 Filed Jan 17, 2019 21:37 UTC	WASTE MANAGEMENT INC WM · Entity 2932	GrantCommon Stock	829	$93.53	$77,537.28	Disclosure SEC source: 0001225208-19-000975 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,572 F1 · security: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan. Read SEC document
July 18, 2018 Filed Jul 18, 2018 20:22 UTC	WASTE MANAGEMENT INC WM · Entity 2932	SaleCommon Stock	406	$83.22	$33,787.32	Disclosure SEC source: 0001225208-18-011825 · doc4.xml · nonDerivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,743 F2 · shares: Sale of shares to cover personal income tax obligations upon grant of stock award, pursuant to Rule 10b5-1 Trading Plan. Read SEC document
July 16, 2018 Filed Jul 18, 2018 20:22 UTC	WASTE MANAGEMENT INC WM · Entity 2932	GrantCommon Stock	922	$84.00	$77,448.00	Disclosure SEC source: 0001225208-18-011825 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,149 F1 · security: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan. Read SEC document
June 18, 2018 Filed Jun 20, 2018 20:39 UTC	ROSETTA STONE INC RST · Entity 12922	GrantRestricted Stock Units · Derivative	7,134	$0.00	$0.00	Disclosure SEC source: 0001351285-18-000082 · wf-form4_152952718118706.xml · derivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,506 Underlying: Common Stock · 7,134 shares Expires not disclosed F3 · derivative.exercise_price: Each RSU represents the right to receive one share of common stock of the Issuer. F4 · derivative.exercise_date: RSUs vest at a rate of 1/4 per quarter and become fully vested on June 18, 2019. Delivery of the shares entitled to the Reporting Person will be made upon the Reporting Person's separation from service to the Board of Directors. F4 · derivative.expiration_date: RSUs vest at a rate of 1/4 per quarter and become fully vested on June 18, 2019. Delivery of the shares entitled to the Reporting Person will be made upon the Reporting Person's separation from service to the Board of Directors. Read SEC document
June 18, 2018 Filed Jun 20, 2018 20:39 UTC	ROSETTA STONE INC RST · Entity 12922	GrantStock Option (right to buy) · Derivative	7,364	$0.00 Strike: $16.12	$0.00	Disclosure SEC source: 0001351285-18-000082 · wf-form4_152952718118706.xml · derivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,364 Underlying: Common Stock · 7,364 shares Expires 2028-06-18 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the common stock of the Issuer on the New York Stock Exchange on June 18, 2018, the date of grant. F2 · derivative.exercise_date: Options vest at a rate of 1/4 per quarter over one year and become fully vested June 18, 2019. Read SEC document
May 31, 2018 Filed Jun 1, 2018 14:14 UTC	PERDOCEO EDUCATION Corp CECO · Entity 4488	GrantNon-Qualified Stock Option (right to buy) · Derivative	8,017	$0.00 Strike: $15.39	$0.00	Disclosure SEC source: 0001209191-18-034540 · doc4.xml · derivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,017 Underlying: Common Stock · 8,017 shares Expires 2028-05-31 Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	GrantEmployee Stock Grant · Derivative	22,692	$0.00 Strike: $6.50	$0.00	Disclosure SEC source: 0001628280-18-001043 · wf-form4_151787121634098.xml · derivative · entry 15 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,692 Underlying: Common Stock · 22,692 shares Expires 2028-02-01 F15 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2019. Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	OtherRestricted Stock Grant · Derivative	15,128	$6.50 Strike: $9.75	$98,332.00	Disclosure SEC source: 0001628280-18-001043 · wf-form4_151787121634098.xml · derivative · entry 14 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,128 shares Expires 2027-02-01 F1 · kind: Represents the vesting of restricted stock. F14 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2018. Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:53 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	OtherCommon Stock	15,128	$6.50	$98,332.00	Disclosure SEC source: 0001628280-18-001043 · wf-form4_151787121634098.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,594 F1 · kind: Represents the vesting of restricted stock. Read SEC document
January 17, 2018 Filed Jan 18, 2018 19:50 UTC	WASTE MANAGEMENT INC WM · Entity 2932	SaleCommon Stock	387	$88.30	$34,173.65	Disclosure SEC source: 0001225208-18-001221 · doc4.xml · nonDerivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,227 F2 · shares: Sale of shares to cover personal income tax obligations upon grant of stock award, pursuant to Rule 10b5-1 Trading Plan. Read SEC document
January 15, 2018 Filed Jan 18, 2018 19:50 UTC	WASTE MANAGEMENT INC WM · Entity 2932	GrantCommon Stock	879	$88.18	$77,505.83	Disclosure SEC source: 0001225208-18-001221 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,614 F1 · security: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan. Read SEC document
July 18, 2017 Filed Jul 18, 2017 15:49 UTC	WASTE MANAGEMENT INC WM · Entity 2932	SaleCommon Stock	487	$74.68	$36,368.67	Disclosure SEC source: 0001225208-17-012711 · doc4.xml · nonDerivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,735 F2 · shares: Sale of shares to cover personal income tax obligations upon grant of stock award, pursuant to Rule 10b5-1 Trading Plan. Read SEC document
July 15, 2017 Filed Jul 18, 2017 15:49 UTC	WASTE MANAGEMENT INC WM · Entity 2932	GrantCommon Stock	1,045	$74.16	$77,491.98	Disclosure SEC source: 0001225208-17-012711 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,222 F1 · security: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan. Read SEC document
May 23, 2017 Filed May 24, 2017 21:13 UTC	PERDOCEO EDUCATION Corp CECO · Entity 4488	GrantNon-Qualified Stock Option (right to buy) · Derivative	11,271	$0.00 Strike: $9.69	$0.00	Disclosure SEC source: 0001209191-17-035053 · doc4.xml · derivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,271 Underlying: Common Stock · 11,271 shares Expires 2027-05-23 Read SEC document
May 19, 2017 Filed May 23, 2017 20:14 UTC	ROSETTA STONE INC RST · Entity 12922	GrantRestricted Stock Units · Derivative	10,070	$0.00	$0.00	Disclosure SEC source: 0001351285-17-000058 · wf-form4_149557043227192.xml · derivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,372 Underlying: Common Stock · 10,070 shares Expires not disclosed F3 · derivative.exercise_price: Each RSU represents the right to receive one share of common stock of the Issuer. F4 · derivative.exercise_date: RSUs vest at a rate of 1/4 per quarter and become fully vested on May 19, 2018. Delivery of the shares entitled to the Reporting Person will be made upon the Reporting Person's separation from service to the Board of Directors. F4 · derivative.expiration_date: RSUs vest at a rate of 1/4 per quarter and become fully vested on May 19, 2018. Delivery of the shares entitled to the Reporting Person will be made upon the Reporting Person's separation from service to the Board of Directors. Read SEC document
May 19, 2017 Filed May 23, 2017 20:14 UTC	ROSETTA STONE INC RST · Entity 12922	GrantStock Option (right to buy) · Derivative	9,766	$0.00 Strike: $11.42	$0.00	Disclosure SEC source: 0001351285-17-000058 · wf-form4_149557043227192.xml · derivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,766 Underlying: Common Stock · 9,766 shares Expires 2027-05-19 F1 · derivative.exercise_price: The exercise price is equal to the closing price of the common stock of the Issuer on the New York Stock Exchange on May 19, 2017, the date of grant. F2 · derivative.exercise_date: Options vest at a rate of 1/4 per quarter over one year and become fully vested May 19, 2018. Read SEC document
March 17, 2017 Filed Mar 21, 2017 22:28 UTC	ROSETTA STONE INC RST · Entity 12922	Exercise / conversionStock Option (right to buy) · Derivative	6,500	$0.00 Strike: $6.08	$0.00	Disclosure SEC source: 0001351285-17-000028 · wf-form4_149013526657965.xml · derivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,500 shares Expires 2017-03-21 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_date: Includes an aggregate of 6,500 fully vested shares. Options became fully vested on April 1, 2011. Read SEC document
March 17, 2017 Filed Mar 21, 2017 22:28 UTC	ROSETTA STONE INC RST · Entity 12922	Exercise / conversionCommon Stock	6,500	$6.08	$39,520.00	Disclosure SEC source: 0001351285-17-000028 · wf-form4_149013526657965.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionStock Options · Derivative	9,111	$0.00 Strike: $54.07	$0.00	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · derivative · entry 11 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,111 shares Expires 2022-05-07 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionStock Options · Derivative	8,851	$0.00 Strike: $53.03	$0.00	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · derivative · entry 10 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,851 shares Expires 2021-05-10 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionStock Options · Derivative	8,795	$0.00 Strike: $16.93	$0.00	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · derivative · entry 9 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,795 shares Expires 2019-04-22 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionStock Options · Derivative	10,205	$0.00 Strike: $47.29	$0.00	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · derivative · entry 8 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,205 shares Expires 2018-04-23 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionStock Options · Derivative	4,098	$0.00 Strike: $74.72	$0.00	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · derivative · entry 7 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,098 shares Expires 2017-04-25 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	SaleCommon Stock	41,060	$88.50	$3,633,810.00	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · nonDerivative · entry 6 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,839 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.40 to $88.61. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document
February 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionCommon Stock	9,111	$54.07	$492,631.77	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · nonDerivative · entry 5 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,899 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionCommon Stock	8,851	$53.03	$469,368.53	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · nonDerivative · entry 4 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,788 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionCommon Stock	8,795	$16.93	$148,899.35	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · nonDerivative · entry 3 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,937 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionCommon Stock	10,205	$47.29	$482,594.45	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · nonDerivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,142 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 10, 2017 Filed Feb 14, 2017 21:58 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionCommon Stock	4,098	$74.72	$306,202.56	Disclosure SEC source: 0000927628-17-000076 · wf-form4_148710815033144.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,937 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 01, 2017 Filed Feb 3, 2017 23:05 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	GrantRestricted Stock Grant · Derivative	15,128	$0.00 Strike: $9.75	$0.00	Disclosure SEC source: 0001179110-17-001696 · edgar.xml · derivative · entry 15 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,128 Underlying: Common Stock · 15,128 shares Expires 2027-02-01 F14 · derivative.exercise_date: These restricted shares have a one-year vesting period such that 100% of this restricted share grant will vest on February 1, 2018. Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:05 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	OtherRestricted Stock Grant · Derivative	6,041	$9.75 Strike: $6.29	$58,899.75	Disclosure SEC source: 0001179110-17-001696 · edgar.xml · derivative · entry 14 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,041 shares Expires 2026-02-01 F15 · kind: Represents the vesting of restricted stock F13 · derivative.exercise_date: These restricted shares became fully vested on February 1, 2017. Read SEC document
February 01, 2017 Filed Feb 3, 2017 23:05 UTC	LIQUIDITY SERVICES INC LQDT · Entity 1149	OtherCommon Stock	6,041	$9.75	$58,899.75	Disclosure SEC source: 0001179110-17-001696 · edgar.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,466 F15 · kind: Represents the vesting of restricted stock Read SEC document
January 19, 2017 Filed Jan 19, 2017 22:38 UTC	WASTE MANAGEMENT INC WM · Entity 2932	SaleCommon Stock	466	$69.26	$32,275.16	Disclosure SEC source: 0001225208-17-001380 · doc4.xml · nonDerivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,177 F2 · shares: Sale of shares to cover personal income tax obligations upon grant of stock award, pursuant to Rule 10b5-1 Trading Plan. Read SEC document
January 15, 2017 Filed Jan 19, 2017 22:38 UTC	WASTE MANAGEMENT INC WM · Entity 2932	GrantCommon Stock	1,000	$70.01	$70,005.00	Disclosure SEC source: 0001225208-17-001380 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,643 F1 · security: Stock award granted pursuant to Waste Management, Inc. 2014 Stock Incentive Plan. Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	GrantCommon Stock	2,440	$0.00	$0.00	Disclosure SEC source: 0001225208-16-032773 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,839 F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. Read SEC document
May 04, 2015 Filed May 6, 2015 21:46 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionStock Options · Derivative	3,800	$0.00 Strike: $74.16	$0.00	Disclosure SEC source: 0001225208-15-011496 · doc4.xml · derivative · entry 3 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,800 shares Expires 2015-05-31 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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable on May 31, 2006, the first anniversary date of the grant. Read SEC document
May 04, 2015 Filed May 6, 2015 21:46 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	SaleCommon Stock	3,800	$82.00	$311,600.00	Disclosure SEC source: 0001225208-15-011496 · doc4.xml · nonDerivative · entry 2 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,399 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document
May 04, 2015 Filed May 6, 2015 21:46 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionCommon Stock	3,800	$74.16	$281,808.00	Disclosure SEC source: 0001225208-15-011496 · doc4.xml · nonDerivative · entry 1 GROSS PATRICK W · CIK 0001184343 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,199 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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. 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.