Waddell & Reed Financial, Inc.. (WDR) NEW YORK STOCK EXCHANGE, INC.
$24.98 - (-)
Market Cap: $1.55B
As of 04/30/21 12:00 AM EDT. Market closed.
Waddell & Reed Financial, Inc.. (WDR)
NEW YORK STOCK EXCHANGE, INC.
$24.98
- (-)
Market Cap: $1.55B
As of 04/30/21 12:00 AM EDT. Market closed.
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Through its subsidiaries, Waddell & Reed Financial, Inc. has provided investment management and wealth management services to clients throughout the United States since 1937. Today, Waddell & Reed distributes its investment products through the unaffiliated channel under the IVY INVESTMENTS® brand (encompassing broker/dealer, retirement, and registered investment advisors), its wealth management ... read more
Through its subsidiaries, Waddell & Reed Financial, Inc. has provided investment management and wealth management services to clients throughout the United States since 1937. Today, Waddell & Reed distributes its investment products through the unaffiliated channel under the IVY INVESTMENTS® brand (encompassing broker/dealer, retirement, and registered investment advisors), its wealth management channel (through independent financial advisors associated with WADDELL & REED, INC.), and its institutional channel (including defined benefit plans, pension plans, endowments and subadvisory relationships). read less
COMPANY PROFILE
Sector
Finance and Insurance
Industry
Securities and Commodity Exchanges
CEO Compensation (Base)
$725,000
CEO Compensation (Total)
$4.47M
Sector
Finance and Insurance
Industry
Securities and Commodity Exchanges
CEO
Philip Sanders
CEO Compensation (Base)
$725,000
CEO Compensation (Total)
$4.47M
Address
6300 Lamar Ave, Kansas, Overland Park, 66202-4200.
PRICE CHART FOR WADDELL & REED FINANCIAL, INC.
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NEWS
INSIDEARBITRAGE ARTICLES
KEY STATS
Open
$25
Previous Close
$24.98
Days Range
$24.98 - $25
52 week range
$11.82 - $25.39
Volume
0
Avg. Volume (30 days)
635,359
Market Cap
$1.55B
Dividend Yield
3.94%
P/E
30.94
Shares Outstanding
62,024,785
Open
$25
Previous Close
$24.98
Days Range
$24.98 - $25
52 week range
$11.82 - $25.39
Volume
0
Avg. Volume (30 days)
635,359
Market Cap
$1.55B
Dividend Yield
3.94%
P/E
30.94
Shares Outstanding
62,024,785
FINANCIAL STATEMENTS FOR WADDELL & REED FINANCIAL, INC.
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INSIDER TRANSACTIONS FOR WADDELL & REED FINANCIAL, INC.
| Owner | Relationship | Date | Transaction | Cost | # Shares | Value($) | Total Shares | Form 4 |
| Sanders Philip James | CEO | Mar 10, 2021 | Option Exercise | $25.02 | 18,046 | 451,511 | 736,496 | Mar 12, 2021, 05:43 PM |
| Rackers Christopher W. | SVP and CPBO | Mar 10, 2021 | Option Exercise | $25.02 | 2,422 | 60,598 | 59,083 | Mar 12, 2021, 05:40 PM |
| Scupham Amy J. | SVP - Distribution | Mar 10, 2021 | Option Exercise | $25.02 | 2,714 | 67,904 | 71,044 | Mar 12, 2021, 05:40 PM |
| Mihal Shawn M. | SVP - Wealth Management | Mar 10, 2021 | Option Exercise | $25.02 | 3,000 | 75,060 | 86,578 | Mar 12, 2021, 05:39 PM |
| Hanson Daniel P | SVP & CIO | Mar 10, 2021 | Option Exercise | $25.02 | 8,985 | 224,805 | 360,414 | Mar 12, 2021, 05:39 PM |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | Mar 10, 2021 | Option Exercise | $25.02 | 2,726 | 68,205 | 7,821 | Mar 12, 2021, 05:36 PM |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | Mar 10, 2021 | Option Exercise | $25.02 | 343 | 8,582 | 7,821 | Mar 12, 2021, 05:36 PM |
| Clouse Benjamin R | SVP & CFO | Mar 10, 2021 | Option Exercise | $25.02 | 3,221 | 80,589 | 105,280 | Mar 12, 2021, 05:31 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Mar 10, 2021 | Option Exercise | $25.02 | 2,143 | 53,618 | 86,973 | Mar 12, 2021, 05:30 PM |
| BLOSS BRENT K | President | Mar 10, 2021 | Option Exercise | $25.02 | 8,266 | 206,815 | 367,201 | Mar 12, 2021, 05:29 PM |
| Scupham Amy J. | SVP - Distribution | Jan 10, 2021 | Option Exercise | $25.03 | 2,426 | 60,723 | 73,758 | Jan 12, 2021, 06:09 PM |
| Scupham Amy J. | SVP - Distribution | Jan 10, 2021 | Option Exercise | $25.03 | 839 | 21,000 | 73,758 | Jan 12, 2021, 06:09 PM |
| Rackers Christopher W. | SVP and CPBO | Jan 10, 2021 | Option Exercise | $25.03 | 1,973 | 49,384 | 61,505 | Jan 12, 2021, 06:08 PM |
| Rackers Christopher W. | SVP and CPBO | Jan 10, 2021 | Option Exercise | $25.03 | 683 | 17,095 | 61,505 | Jan 12, 2021, 06:08 PM |
| Mihal Shawn M. | SVP - Wealth Management | Jan 10, 2021 | Option Exercise | $25.03 | 4,441 | 111,158 | 89,578 | Jan 12, 2021, 06:07 PM |
| Mihal Shawn M. | SVP - Wealth Management | Jan 10, 2021 | Option Exercise | $25.03 | 1,538 | 38,496 | 89,578 | Jan 12, 2021, 06:07 PM |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | Jan 10, 2021 | Option Exercise | $25.03 | 1,055 | 26,407 | 8,164 | Jan 12, 2021, 06:06 PM |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | Jan 10, 2021 | Option Exercise | $25.03 | 365 | 9,136 | 8,164 | Jan 12, 2021, 06:06 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Jan 10, 2021 | Option Exercise | $25.03 | 3,032 | 75,891 | 89,116 | Jan 12, 2021, 06:05 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Jan 10, 2021 | Option Exercise | $25.03 | 1,050 | 26,282 | 89,116 | Jan 12, 2021, 06:05 PM |
| Sanders Philip James | CEO | Dec 31, 2020 | Option Exercise | $25.47 | 50,783 | 1,293,443 | 754,542 | Jan 05, 2021, 04:56 PM |
| BLOSS BRENT K | President | Dec 31, 2020 | Option Exercise | $25.47 | 25,769 | 656,336 | 375,467 | Jan 05, 2021, 04:56 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Dec 31, 2020 | Option Exercise | $25.47 | 2,759 | 70,272 | 90,166 | Jan 05, 2021, 04:55 PM |
| Clouse Benjamin R | SVP & CFO | Dec 31, 2020 | Option Exercise | $25.47 | 8,477 | 215,909 | 108,501 | Jan 05, 2021, 04:55 PM |
| Mihal Shawn M. | SVP - Wealth Management | Dec 31, 2020 | Option Exercise | $25.47 | 3,986 | 101,523 | 91,116 | Jan 05, 2021, 04:54 PM |
| Rackers Christopher W. | SVP and CPBO | Dec 31, 2020 | Option Exercise | $25.47 | 3,066 | 78,091 | 62,188 | Jan 05, 2021, 04:54 PM |
| Scupham Amy J. | SVP - Distribution | Dec 31, 2020 | Option Exercise | $25.47 | 3,986 | 101,523 | 74,597 | Jan 05, 2021, 04:53 PM |
| Hanson Daniel P | SVP & CIO | Jun 10, 2020 | Option Exercise | $15.59 | 12,520 | 195,187 | 369,399 | Jun 12, 2020, 04:20 PM |
| Scupham Amy J. | SVP - Distribution | Apr 02, 2020 | Option Exercise | $11.30 | 263 | 2,972 | 78,583 | Apr 06, 2020, 05:05 PM |
| Mihal Shawn M. | SVP - Wealth Management | Apr 02, 2020 | Option Exercise | $11.30 | 768 | 8,678 | 95,102 | Apr 06, 2020, 05:04 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Apr 02, 2020 | Option Exercise | $11.30 | 1,054 | 11,910 | 92,925 | Apr 06, 2020, 05:04 PM |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | Jan 10, 2020 | Option Exercise | $16.56 | 1,056 | 17,487 | 3,856 | Jan 14, 2020, 05:50 PM |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | Jan 10, 2020 | Option Exercise | $16.56 | 365 | 6,044 | 3,856 | Jan 14, 2020, 05:50 PM |
| Scupham Amy J. | SVP - Distribution | Jan 10, 2020 | Option Exercise | $16.56 | 2,426 | 40,175 | 41,852 | Jan 14, 2020, 05:42 PM |
| Scupham Amy J. | SVP - Distribution | Jan 10, 2020 | Option Exercise | $16.56 | 839 | 13,894 | 41,852 | Jan 14, 2020, 05:42 PM |
| Rackers Christopher W. | SVP and Chief Admin Officer | Jan 10, 2020 | Option Exercise | $16.56 | 1,974 | 32,689 | 32,154 | Jan 14, 2020, 05:41 PM |
| Rackers Christopher W. | SVP and Chief Admin Officer | Jan 10, 2020 | Option Exercise | $16.56 | 683 | 11,310 | 32,154 | Jan 14, 2020, 05:41 PM |
| Mihal Shawn M. | SVP - Wealth Management | Jan 10, 2020 | Option Exercise | $16.56 | 4,442 | 73,560 | 54,982 | Jan 14, 2020, 05:41 PM |
| Mihal Shawn M. | SVP - Wealth Management | Jan 10, 2020 | Option Exercise | $16.56 | 1,538 | 25,469 | 54,982 | Jan 14, 2020, 05:41 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Jan 10, 2020 | Option Exercise | $16.56 | 3,033 | 50,226 | 64,773 | Jan 14, 2020, 05:39 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Jan 10, 2020 | Option Exercise | $16.56 | 1,050 | 17,388 | 64,773 | Jan 14, 2020, 05:39 PM |
| Scupham Amy J. | SVP - Distribution | Dec 31, 2019 | Option Exercise | $16.72 | 2,637 | 44,091 | 42,691 | Jan 03, 2020, 05:52 PM |
| Sanders Philip James | CEO | Dec 31, 2019 | Option Exercise | $16.72 | 51,329 | 858,221 | 598,938 | Jan 03, 2020, 05:52 PM |
| Rackers Christopher W. | SVP and CAO | Dec 31, 2019 | Option Exercise | $16.72 | 2,029 | 33,925 | 32,837 | Jan 03, 2020, 05:51 PM |
| Mihal Shawn M. | SVP - Wealth Management | Dec 31, 2019 | Option Exercise | $16.72 | 2,637 | 44,091 | 56,520 | Jan 03, 2020, 05:50 PM |
| Clouse Benjamin R | SVP & CFO | Dec 31, 2019 | Option Exercise | $16.72 | 6,635 | 110,937 | 74,143 | Jan 03, 2020, 05:49 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Dec 31, 2019 | Option Exercise | $16.72 | 1,826 | 30,531 | 65,823 | Jan 03, 2020, 05:48 PM |
| BLOSS BRENT K | EVP & COO | Dec 31, 2019 | Option Exercise | $16.72 | 25,220 | 421,678 | 288,307 | Jan 03, 2020, 05:47 PM |
| WALTON JERRY W | Director | Nov 05, 2019 | Sale | $17.48 | 9,500 | 166,090 | 69,327 | Nov 07, 2019, 05:12 PM |
| Scupham Amy J. | SVP - Distribution | Apr 02, 2019 | Option Exercise | $17.43 | 376 | 6,554 | 45,328 | Apr 04, 2019, 05:27 PM |
| Mihal Shawn M. | SVP - Broker-Dealer | Apr 02, 2019 | Option Exercise | $17.43 | 768 | 13,386 | 59,157 | Apr 04, 2019, 05:27 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Apr 02, 2019 | Option Exercise | $17.43 | 1,512 | 26,354 | 67,649 | Apr 04, 2019, 05:26 PM |
| LOGUE DENNIS E | Director | Mar 22, 2019 | Sale | $16.72 | 5,000 | 83,600 | 69,452 | Mar 25, 2019, 05:57 PM |
| RAINES JAMES M | Director | Feb 15, 2019 | Sale | $17.75 | 1,000 | 17,750 | 23,492 | Feb 19, 2019, 06:25 PM |
| Scupham Amy J. | SVP - Distribution | Jan 10, 2019 | Option Exercise | $17.77 | 2,426 | 43,110 | 45,704 | Jan 11, 2019, 05:41 PM |
| Scupham Amy J. | SVP - Distribution | Jan 10, 2019 | Option Exercise | $17.77 | 839 | 14,909 | 45,704 | Jan 11, 2019, 05:41 PM |
| Rackers Christopher W. | SVP and CHRO | Jan 10, 2019 | Option Exercise | $17.77 | 1,974 | 35,078 | 34,866 | Jan 11, 2019, 05:40 PM |
| Rackers Christopher W. | SVP and CHRO | Jan 10, 2019 | Option Exercise | $17.77 | 683 | 12,137 | 34,866 | Jan 11, 2019, 05:40 PM |
| Mihal Shawn M. | SVP - Broker-Dealer | Jan 10, 2019 | Option Exercise | $17.77 | 4,443 | 78,952 | 59,925 | Jan 11, 2019, 05:40 PM |
| Mihal Shawn M. | SVP - Broker-Dealer | Jan 10, 2019 | Option Exercise | $17.77 | 1,539 | 27,348 | 59,925 | Jan 11, 2019, 05:40 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Jan 10, 2019 | Option Exercise | $17.77 | 3,033 | 53,896 | 69,161 | Jan 11, 2019, 05:39 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Jan 10, 2019 | Option Exercise | $17.77 | 1,050 | 18,659 | 69,161 | Jan 11, 2019, 05:39 PM |
| Scupham Amy J. | SVP - Distribution | Dec 31, 2018 | Option Exercise | $18.08 | 35,952 | 650,012 | 46,543 | Jan 03, 2019, 06:45 PM |
| Sanders Philip James | CEO & Chief Inv.Officer | Dec 31, 2018 | Option Exercise | $18.08 | 45,462 | 821,953 | 485,720 | Jan 03, 2019, 06:45 PM |
| Rackers Christopher W. | SVP and CHRO | Dec 31, 2018 | Option Exercise | $18.08 | 27,655 | 500,002 | 35,549 | Jan 03, 2019, 06:44 PM |
| Mihal Shawn M. | SVP - Broker-Dealer | Dec 31, 2018 | Option Exercise | $18.08 | 35,952 | 650,012 | 61,464 | Jan 03, 2019, 06:44 PM |
| Clouse Benjamin R | SVP, CFO & Treasurer | Dec 31, 2018 | Option Exercise | $18.08 | 3,794 | 68,596 | 42,061 | Jan 03, 2019, 06:43 PM |
| Buyle Mark P. | SVP, GC, CLO and Secretary | Dec 31, 2018 | Option Exercise | $18.08 | 24,890 | 450,011 | 70,211 | Jan 03, 2019, 06:42 PM |
| BLOSS BRENT K | EVP & COO | Dec 31, 2018 | Option Exercise | $18.08 | 26,253 | 474,654 | 230,562 | Jan 03, 2019, 06:41 PM |
| WALTON JERRY W | Director | Nov 16, 2018 | Sale | $19.05 | 9,427 | 179,589 | 71,905 | Nov 19, 2018, 05:36 PM |
| KOSLOFF ALAN W | Director | Sep 12, 2018 | Sale | $20.42 | 19,614 | 400,551 | 40,077 | Sep 13, 2018, 05:24 PM |
| RAINES JAMES M | Director | Sep 11, 2018 | Sale | $20.53 | 2,642 | 54,240 | 22,184 | Sep 13, 2018, 05:23 PM |
| RAINES JAMES M | Director | Jun 12, 2018 | Sale | $19.93 | 2,640 | 52,626 | 24,826 | Jun 13, 2018, 06:07 PM |
| RAINES JAMES M | Director | May 04, 2018 | Sale | $18.38 | 964 | 17,714 | 27,466 | May 07, 2018, 06:42 PM |
| Clouse Benjamin R | SVP and CFO | Apr 02, 2018 | Option Exercise | $19.46 | 657 | 12,785 | 7,024 | Apr 04, 2018, 05:46 PM |
| HILLS WENDY J | EVP, GC, Chief Legal Off & Sec | Apr 02, 2018 | Option Exercise | $19.46 | 2,413 | 46,957 | 171,074 | Apr 04, 2018, 05:45 PM |
| WALTON JERRY W | Director | Feb 01, 2018 | Sale | $22.95 | 5,792 | 132,944 | 81,332 | Feb 02, 2018, 05:15 PM |
| Clouse Benjamin R | Vice President and CAO | Jan 10, 2018 | Option Exercise | $22.17 | 325 | 7,205 | 7,681 | Jan 12, 2018, 06:07 PM |
| Clouse Benjamin R | Vice President and CAO | Jan 10, 2018 | Option Exercise | $22.17 | 122 | 2,705 | 7,681 | Jan 12, 2018, 06:07 PM |
| HERRMANN HENRY J | Director | Dec 31, 2017 | Option Exercise | $22.34 | 33,646 | 751,652 | 974,175 | Jan 03, 2018, 06:30 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 31, 2017 | Option Exercise | $22.34 | 14,333 | 320,199 | 256,104 | Jan 03, 2018, 06:27 PM |
| Sanders Philip James | CEO & Chief Inv.Officer | Dec 31, 2017 | Option Exercise | $22.34 | 36,405 | 813,288 | 391,298 | Jan 03, 2018, 06:26 PM |
| HILLS WENDY J | SVP, GC, Chief Legal Off & Sec | Dec 31, 2017 | Option Exercise | $22.34 | 17,952 | 401,048 | 117,981 | Jan 03, 2018, 06:25 PM |
| Clouse Benjamin R | Vice President and PAO | Dec 31, 2017 | Option Exercise | $22.34 | 2,372 | 52,990 | 23,473 | Jan 03, 2018, 06:25 PM |
| Clouse Benjamin R | Vice President and PAO | Dec 31, 2017 | Option Exercise | $22.34 | 524 | 11,706 | 7,803 | Jan 03, 2018, 06:25 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 31, 2017 | Option Exercise | $22.34 | 33,526 | 748,971 | 399,283 | Jan 03, 2018, 06:24 PM |
| BLOSS BRENT K | SVP, COO, CFO & Treasurer | Dec 31, 2017 | Option Exercise | $22.34 | 24,149 | 539,489 | 182,956 | Jan 03, 2018, 06:23 PM |
| HILLS WENDY J | SVP, General Counsel & Secy. | Dec 22, 2017 | Sale | $22.26 | 15,669 | 348,731 | 135,933 | Dec 22, 2017, 06:52 PM |
| HILLS WENDY J | SVP, General Counsel & Secy. | Dec 21, 2017 | Sale | $22.57 | 15,604 | 352,220 | 151,602 | Dec 22, 2017, 06:52 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 21, 2017 | Sale | $22.48 | 45,168 | 1,015,458 | 270,437 | Dec 22, 2017, 06:39 PM |
| KOSLOFF ALAN W | Director | Nov 20, 2017 | Sale | $18.82 | 19,178 | 360,853 | 52,695 | Nov 29, 2017, 05:15 PM |
| KOSLOFF ALAN W | Director | Nov 20, 2017 | Sale | $19.82 | 19,178 | 380,031 | 52,695 | Nov 21, 2017, 05:14 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Nov 09, 2017 | Sale | $19.26 | 5,000 | 96,280 | 467,809 | Nov 13, 2017, 05:13 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Nov 10, 2017 | Sale | $19.22 | 35,000 | 672,760 | 432,809 | Nov 13, 2017, 05:13 PM |
| Clouse Benjamin R | VP and Chief Acct. Officer | Aug 07, 2017 | Sale | $20.01 | 5,903 | 118,141 | 8,327 | Aug 09, 2017, 05:18 PM |
| KOSLOFF ALAN W | Director | Aug 03, 2017 | Sale | $19.40 | 25,076 | 486,474 | 71,873 | Aug 07, 2017, 04:28 PM |
| BLOSS BRENT K | SVP, CFO & Treasurer | Apr 02, 2017 | Option Exercise | $17.00 | 2,638 | 44,846 | 207,105 | Apr 04, 2017, 05:01 PM |
| Clouse Benjamin R | VP and Chief Acct. Officer | Apr 02, 2017 | Option Exercise | $17.00 | 739 | 12,563 | 14,230 | Apr 04, 2017, 04:53 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 31, 2016 | Option Exercise | $19.51 | 6,157 | 120,123 | 259,905 | Jan 04, 2017, 04:36 PM |
| HILLS WENDY J | SVP, General Counsel & Secy. | Dec 31, 2016 | Option Exercise | $19.51 | 3,781 | 73,767 | 108,299 | Jan 04, 2017, 04:28 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 31, 2016 | Option Exercise | $19.51 | 21,266 | 414,900 | 378,309 | Jan 04, 2017, 04:20 PM |
| Avery Michael L | See explanation below. | Jun 30, 2016 | Option Exercise | $17.22 | 41,758 | 719,073 | 155,708 | Jul 05, 2016, 05:23 PM |
| Clouse Benjamin R | Vice President and PAO | Apr 02, 2016 | Option Exercise | $23.70 | 1,079 | 25,572 | 11,494 | Apr 05, 2016, 06:06 PM |
| BLOSS BRENT K | SVP, CFO & Treasurer | Apr 02, 2016 | Option Exercise | $23.70 | 4,862 | 115,229 | 142,992 | Apr 05, 2016, 05:43 PM |
| HILLS WENDY J | SVP, General Counsel & Secy. | Apr 02, 2016 | Option Exercise | $23.70 | 4,750 | 112,575 | 112,080 | Apr 05, 2016, 05:38 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 31, 2015 | Option Exercise | $28.66 | 6,948 | 199,130 | 231,062 | Jan 05, 2016, 05:54 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Dec 31, 2015 | Option Exercise | $28.66 | 13,935 | 399,377 | 255,105 | Jan 05, 2016, 05:52 PM |
| HERRMANN HENRY J | Chief Executive Officer | Dec 31, 2015 | Option Exercise | $28.66 | 38,707 | 1,109,343 | 964,481 | Jan 05, 2016, 05:48 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 31, 2015 | Option Exercise | $28.66 | 27,095 | 776,543 | 329,575 | Jan 05, 2016, 05:46 PM |
| BLOSS BRENT K | SVP, CFO & Treasurer | Dec 31, 2015 | Option Exercise | $28.66 | 3,871 | 110,943 | 102,854 | Jan 05, 2016, 05:44 PM |
| Avery Michael L | President | Dec 31, 2015 | Option Exercise | $28.66 | 29,063 | 832,946 | 205,757 | Jan 05, 2016, 05:41 PM |
| RAINES JAMES M | Director | Aug 03, 2015 | Sale | $44.96 | 3,000 | 134,880 | 12,021 | Aug 04, 2015, 05:06 PM |
| LOGUE DENNIS E | Director | May 26, 2015 | Sale | $48.30 | 2,700 | 130,410 | 51,121 | May 26, 2015, 06:14 PM |
| CLOUSE MELISSA A | VP, Controller & PAO | Apr 02, 2015 | Option Exercise | $50.18 | 855 | 42,904 | 12,536 | Apr 06, 2015, 05:52 PM |
| HILLS WENDY J | SVP, General Counsel & Secy. | Apr 02, 2015 | Option Exercise | $50.18 | 3,169 | 159,020 | 71,830 | Apr 06, 2015, 05:43 PM |
| BLOSS BRENT K | SVP, CFO & Treasurer | Apr 02, 2015 | Option Exercise | $50.18 | 6,959 | 349,203 | 106,725 | Apr 06, 2015, 05:41 PM |
| Avery Michael L | President | Feb 10, 2015 | Buy | $48.64 | 5,500 | 267,520 | 246,320 | Feb 11, 2015, 05:25 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 31, 2014 | Option Exercise | $49.82 | 9,990 | 497,702 | 218,010 | Jan 05, 2015, 05:41 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Dec 31, 2014 | Option Exercise | $49.82 | 20,368 | 1,014,734 | 120,943 | Jan 05, 2015, 05:39 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Dec 31, 2014 | Option Exercise | $49.82 | 9,290 | 462,828 | 224,040 | Jan 05, 2015, 05:37 PM |
| HERRMANN HENRY J | Chief Executive Officer | Dec 31, 2014 | Option Exercise | $49.82 | 40,256 | 2,005,554 | 949,188 | Jan 05, 2015, 05:31 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 31, 2014 | Option Exercise | $49.82 | 32,668 | 1,627,520 | 311,670 | Jan 05, 2015, 05:26 PM |
| Avery Michael L | President | Dec 31, 2014 | Option Exercise | $49.82 | 36,530 | 1,819,925 | 216,382 | Jan 05, 2015, 05:22 PM |
| Avery Michael L | President | Dec 19, 2014 | Sale | $48.96 | 10,000 | 489,600 | 252,912 | Dec 22, 2014, 06:26 PM |
| KOSLOFF ALAN W | Director | Mar 10, 2009 | Buy | $13.19 | 60 | 791 | 75,092 | Sep 15, 2014, 06:03 PM |
| KOSLOFF ALAN W | Director | Sep 11, 2014 | Sale | $53.99 | 60 | 3,239 | 75,032 | Sep 15, 2014, 06:03 PM |
| CLOUSE MELISSA A | VP, Controller & PAO | Sep 03, 2014 | Sale | $56.83 | 1,298 | 73,765 | 8,391 | Sep 04, 2014, 06:13 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | May 20, 2014 | Sale | $59.02 | 17,217 | 1,016,182 | 344,338 | May 21, 2014, 05:11 PM |
| HILLS WENDY J | SVP, General Counsel & Secy. | May 01, 2014 | Sale | $67.97 | 19,383 | 1,317,540 | 44,999 | May 05, 2014, 05:41 PM |
| HILLS WENDY J | SVP, General Counsel & Secy. | Apr 04, 2014 | Option Exercise | $75.96 | 3,039 | 230,842 | 26,460 | Apr 04, 2014, 05:12 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Apr 02, 2014 | Option Exercise | $75.96 | 7,412 | 563,016 | 233,330 | Apr 04, 2014, 04:57 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Mar 13, 2014 | Buy | $71.88 | 61 | 4,385 | 240,742 | Apr 04, 2014, 04:57 PM |
| CLOUSE MELISSA A | VP, Controller & PAO | Apr 04, 2014 | Option Exercise | $75.96 | 668 | 50,741 | 6,689 | Apr 04, 2014, 04:54 PM |
| BLOSS BRENT K | SVP, CFO & Treasurer | Apr 02, 2014 | Option Exercise | $75.96 | 6,020 | 457,279 | 80,684 | Apr 04, 2014, 04:44 PM |
| RAINES JAMES M | Director | Feb 06, 2014 | Sale | $67.73 | 4,143 | 280,611 | 12,492 | Feb 07, 2014, 05:48 PM |
| CONNEALY DANIEL P | SVP and CFO | Dec 31, 2012 | Option Exercise | $65.12 | 21,418 | 1,394,740 | 291,744 | Jan 02, 2014, 05:36 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 31, 2013 | Option Exercise | $65.12 | 12,115 | 788,929 | 215,000 | Jan 02, 2014, 05:30 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Dec 31, 2013 | Option Exercise | $65.12 | 21,577 | 1,405,094 | 115,536 | Jan 02, 2014, 05:28 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Dec 31, 2013 | Option Exercise | $65.12 | 21,375 | 1,391,940 | 115,801 | Jan 02, 2014, 05:26 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Dec 31, 2013 | Option Exercise | $65.12 | 18,580 | 1,209,930 | 210,681 | Jan 02, 2014, 05:24 PM |
| HERRMANN HENRY J | Chief Executive Officer | Dec 31, 2013 | Option Exercise | $65.12 | 24,773 | 1,613,218 | 946,944 | Jan 02, 2014, 05:22 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 31, 2013 | Option Exercise | $65.12 | 35,456 | 2,308,895 | 326,555 | Jan 02, 2014, 05:20 PM |
| Avery Michael L | President | Dec 31, 2013 | Option Exercise | $65.12 | 40,333 | 2,626,485 | 245,247 | Jan 02, 2014, 05:15 PM |
| Avery Michael L | President | Dec 10, 2013 | Sale | $63.01 | 7,500 | 472,575 | 285,580 | Dec 11, 2013, 06:11 PM |
| LOGUE DENNIS E | Director | Nov 20, 2013 | Sale | $64.74 | 7,000 | 453,146 | 49,361 | Nov 22, 2013, 05:33 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Nov 08, 2013 | Sale | $63.72 | 13,000 | 828,416 | 229,261 | Nov 12, 2013, 05:40 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Aug 13, 2013 | Sale | $51.13 | 7,500 | 383,450 | 58,563 | Aug 14, 2013, 05:57 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Aug 13, 2013 | Sale | $51.06 | 10,000 | 510,603 | 362,011 | Aug 14, 2013, 05:57 PM |
| Avery Michael L | President | Aug 09, 2013 | Sale | $51.30 | 10,000 | 513,000 | 293,080 | Aug 12, 2013, 05:40 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Aug 01, 2013 | Sale | $52.90 | 26,540 | 1,403,966 | 137,113 | Aug 01, 2013, 04:35 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Jun 04, 2013 | Buy | $45.63 | 61 | 2,783 | 137,176 | Jun 06, 2013, 05:12 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | May 13, 2013 | Sale | $43.42 | 9,763 | 423,870 | 61,704 | May 06, 2013, 05:45 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | Apr 02, 2013 | Option Exercise | $43.19 | 4,570 | 197,378 | 46,467 | Apr 05, 2013, 05:03 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Apr 02, 2013 | Option Exercise | $43.19 | 18,115 | 782,387 | 242,261 | Apr 05, 2013, 05:00 PM |
| REIMER RONALD C | Director | Mar 22, 2013 | Option Exercise | $21.09 | 6,371 | 134,364 | 16,231 | Mar 26, 2013, 05:56 PM |
| REIMER RONALD C | Director | Mar 22, 2013 | Sale | $42.98 | 6,371 | 273,799 | 9,860 | Mar 26, 2013, 05:56 PM |
| KOSLOFF ALAN W | Director | Mar 22, 2013 | Sale | $43.17 | 9,615 | 415,089 | 71,827 | Mar 25, 2013, 06:06 PM |
| Avery Michael L | President | Mar 21, 2013 | Sale | $42.85 | 10,000 | 428,500 | 303,080 | Mar 25, 2013, 05:54 PM |
| LOGUE DENNIS E | Director | Mar 08, 2013 | Sale | $42.33 | 150 | 6,350 | 0 | Mar 11, 2013, 05:56 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Feb 11, 2013 | Sale | $40.94 | 12,900 | 528,135 | 0 | Feb 13, 2013, 05:48 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Feb 11, 2013 | Sale | $40.98 | 25,440 | 1,042,414 | 0 | Feb 13, 2013, 05:48 PM |
| RAINES JAMES M | Director | Jan 31, 2013 | Sale | $39.28 | 4,953 | 194,554 | 14,704 | Jan 31, 2013, 05:58 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Jan 31, 2013 | Sale | $39.40 | 27,001 | 1,063,839 | 137,115 | Jan 31, 2013, 05:55 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 31, 2012 | Option Exercise | $34.82 | 14,277 | 497,125 | 202,115 | Jan 03, 2013, 05:34 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Dec 31, 2012 | Option Exercise | $34.82 | 19,573 | 681,532 | 118,328 | Jan 03, 2013, 05:32 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Dec 31, 2012 | Option Exercise | $34.82 | 19,112 | 665,480 | 119,116 | Jan 03, 2013, 05:20 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Dec 31, 2012 | Option Exercise | $34.82 | 16,580 | 577,316 | 200,376 | Jan 03, 2013, 05:18 PM |
| CONNEALY DANIEL P | SVP and CFO | Dec 31, 2012 | Option Exercise | $34.82 | 7,783 | 271,004 | 271,162 | Jan 03, 2013, 05:15 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 31, 2012 | Option Exercise | $34.82 | 30,672 | 1,067,999 | 302,011 | Jan 03, 2013, 05:13 PM |
| Avery Michael L | President | Dec 31, 2012 | Option Exercise | $34.82 | 33,676 | 1,172,598 | 255,911 | Jan 03, 2013, 05:11 PM |
| HERRMANN HENRY J | Chief Executive Officer | Dec 31, 2012 | Option Exercise | $34.82 | 8,290 | 288,658 | 901,717 | Jan 03, 2013, 05:08 PM |
| REIMER RONALD C | Director | Dec 24, 2012 | Option Exercise | $21.09 | 5,000 | 105,450 | 20,261 | Dec 26, 2012, 05:51 PM |
| REIMER RONALD C | Director | Dec 24, 2012 | Sale | $35.39 | 5,000 | 176,962 | 15,261 | Dec 26, 2012, 05:51 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Dec 14, 2012 | Sale | $33.25 | 11,300 | 375,725 | 12,900 | Dec 26, 2012, 05:25 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Dec 14, 2012 | Sale | $33.25 | 19,571 | 650,740 | 25,765 | Dec 26, 2012, 05:25 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | Sep 18, 2012 | Buy | $33.50 | 38 | 1,273 | 51,037 | Sep 19, 2012, 06:03 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Jun 19, 2012 | Sale | $30.35 | 9,500 | 288,293 | 138,228 | Jun 21, 2012, 04:15 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | May 07, 2012 | Sale | $33.40 | 7,386 | 246,678 | 50,999 | May 08, 2012, 04:53 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Apr 02, 2012 | Option Exercise | $33.23 | 21,691 | 720,792 | 216,956 | Apr 04, 2012, 06:00 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | Apr 02, 2012 | Option Exercise | $33.23 | 3,447 | 114,544 | 37,385 | Apr 04, 2012, 05:58 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Mar 19, 2012 | Sale | $33.00 | 500 | 16,500 | 147,728 | Mar 20, 2012, 05:53 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Mar 13, 2012 | Sale | $32.15 | 1,254 | 40,316 | 148,228 | Mar 13, 2012, 05:31 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Mar 12, 2012 | Sale | $32.00 | 3,746 | 119,872 | 149,482 | Mar 13, 2012, 05:31 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Feb 17, 2012 | Sale | $31.33 | 5,000 | 156,635 | 153,228 | Feb 21, 2012, 05:53 PM |
| RAINES JAMES M | Director | Feb 10, 2012 | Sale | $30.10 | 4,541 | 136,679 | 16,198 | Feb 14, 2012, 05:46 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Feb 06, 2012 | Sale | $30.00 | 3,098 | 92,940 | 158,228 | Feb 07, 2012, 05:56 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | Feb 03, 2012 | Sale | $29.56 | 5,562 | 164,407 | 40,832 | Feb 07, 2012, 05:53 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 31, 2011 | Option Exercise | $24.77 | 11,993 | 297,067 | 191,392 | Jan 04, 2012, 05:35 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Dec 31, 2011 | Option Exercise | $24.77 | 16,744 | 414,749 | 115,929 | Jan 04, 2012, 05:33 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Dec 31, 2011 | Option Exercise | $24.77 | 16,349 | 404,965 | 116,326 | Jan 04, 2012, 05:31 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 31, 2011 | Option Exercise | $24.77 | 27,771 | 687,888 | 262,683 | Jan 04, 2012, 05:25 PM |
| CONNEALY DANIEL P | SVP and CFO | Dec 31, 2011 | Option Exercise | $24.77 | 17,040 | 422,081 | 236,945 | Jan 04, 2012, 05:19 PM |
| Avery Michael L | President | Dec 31, 2011 | Option Exercise | $24.77 | 30,988 | 767,573 | 255,169 | Jan 04, 2012, 05:14 PM |
| HERRMANN HENRY J | Chief Executive Officer | Dec 31, 2011 | Option Exercise | $24.77 | 24,317 | 602,332 | 933,173 | Jan 04, 2012, 05:11 PM |
| RAINES JAMES M | Director | May 04, 2011 | Sale | $39.33 | 1,916 | 75,356 | 16,543 | May 06, 2011, 05:15 PM |
| SCHIEBER MARK A | SVP & Controller | Apr 02, 2011 | Option Exercise | $41.28 | 1,365 | 56,347 | 17,079 | Apr 05, 2011, 05:13 PM |
| Sanders Philip James | SVP & Chief Investment Officer | Apr 02, 2011 | Option Exercise | $41.28 | 16,973 | 700,645 | 158,647 | Apr 05, 2011, 05:10 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | Apr 02, 2011 | Option Exercise | $41.28 | 2,605 | 107,534 | 29,394 | Apr 05, 2011, 05:06 PM |
| LOGUE DENNIS E | Director | Mar 16, 2011 | Sale | $38.34 | 5,000 | 191,700 | 47,956 | Mar 18, 2011, 11:29 AM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Feb 16, 2011 | Sale | $41.76 | 21,000 | 877,048 | 0 | Feb 18, 2011, 05:28 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Feb 02, 2011 | Sale | $37.10 | 20,169 | 748,215 | 132,675 | Feb 04, 2011, 06:19 PM |
| RAINES JAMES M | Director | Feb 02, 2011 | Sale | $37.14 | 3,791 | 140,780 | 18,459 | Feb 04, 2011, 06:17 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 31, 2010 | Option Exercise | $35.29 | 10,823 | 381,944 | 178,385 | Jan 04, 2011, 05:54 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Dec 31, 2010 | Option Exercise | $35.29 | 11,084 | 391,154 | 113,517 | Jan 04, 2011, 05:52 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Dec 31, 2010 | Option Exercise | $35.29 | 10,823 | 381,944 | 107,844 | Jan 04, 2011, 05:50 PM |
| HERRMANN HENRY J | Chief Executive Officer | Dec 31, 2010 | Option Exercise | $35.29 | 24,317 | 858,147 | 897,490 | Jan 04, 2011, 05:49 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 31, 2010 | Option Exercise | $35.29 | 17,962 | 633,879 | 249,454 | Jan 04, 2011, 05:44 PM |
| Avery Michael L | President & CIO | Dec 31, 2010 | Option Exercise | $35.29 | 19,810 | 699,095 | 207,157 | Jan 04, 2011, 05:42 PM |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | Dec 29, 2010 | Option Exercise | $35.88 | 2,914 | 104,554 | 189,208 | Dec 30, 2010, 05:45 PM |
| STROHM MICHAEL D | SVP & Chief Operations Officer | Dec 29, 2010 | Option Exercise | $35.88 | 3,537 | 126,908 | 124,601 | Dec 30, 2010, 05:43 PM |
| SCHULTE DANIEL C | SVP & General Counsel | Dec 29, 2010 | Option Exercise | $35.88 | 3,454 | 123,930 | 118,667 | Dec 30, 2010, 05:41 PM |
| HERRMANN HENRY J | Chief Executive Officer | Dec 29, 2010 | Option Exercise | $35.88 | 7,737 | 277,604 | 921,807 | Dec 30, 2010, 05:38 PM |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | Dec 29, 2010 | Option Exercise | $35.88 | 5,526 | 198,273 | 267,416 | Dec 30, 2010, 05:36 PM |
| Avery Michael L | President & CIO | Dec 29, 2010 | Option Exercise | $35.88 | 5,659 | 203,045 | 226,967 | Dec 30, 2010, 05:34 PM |
| ROGERS WILLIAM L | Director | Dec 01, 2010 | Option Exercise | $17.67 | 13,998 | 247,298 | 86,261 | Dec 03, 2010, 11:40 AM |
| ROGERS WILLIAM L | Director | Dec 01, 2010 | Sale | $31.92 | 13,998 | 446,860 | 72,263 | Dec 03, 2010, 11:40 AM |
| ROGERS WILLIAM L | Director | Nov 18, 2010 | Option Exercise | $17.71 | 12,420 | 219,937 | 84,683 | Nov 22, 2010, 04:41 PM |
| ROGERS WILLIAM L | Director | Nov 18, 2010 | Sale | $31.03 | 12,420 | 385,353 | 72,263 | Nov 22, 2010, 04:41 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | Nov 03, 2010 | Sale | $30.15 | 2,583 | 77,890 | 35,351 | Nov 05, 2010, 04:58 PM |
| BLOSS BRENT K | SVP-Finance & Treasurer | Nov 04, 2010 | Sale | $30.97 | 3,352 | 103,816 | 31,999 | Nov 05, 2010, 04:58 PM |
| Avery Michael L | SVP & Chief Investment Officer | Sep 15, 2010 | Sale | $27.36 | 10,000 | 273,600 | 232,626 | Sep 17, 2010, 05:16 PM |
| Avery Michael L | SVP & Chief Investment Officer | Sep 15, 2010 | Sale | $27.36 | 10,000 | 273,600 | 232,262 | Sep 16, 2010, 04:57 PM |
Load More Insider Transactions
Buy
Sale
Option Exercise
| Owner | Relationship | Date | Value($) |
| Sanders Philip James | CEO | 03/10/2021 | 451,511 |
| Rackers Christopher W. | SVP and CPBO | 03/10/2021 | 60,598 |
| Scupham Amy J. | SVP - Distribution | 03/10/2021 | 67,904 |
| Mihal Shawn M. | SVP - Wealth Management | 03/10/2021 | 75,060 |
| Hanson Daniel P | SVP & CIO | 03/10/2021 | 224,805 |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | 03/10/2021 | 68,205 |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | 03/10/2021 | 8,582 |
| Clouse Benjamin R | SVP & CFO | 03/10/2021 | 80,589 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 03/10/2021 | 53,618 |
| BLOSS BRENT K | President | 03/10/2021 | 206,815 |
| Scupham Amy J. | SVP - Distribution | 01/10/2021 | 60,723 |
| Scupham Amy J. | SVP - Distribution | 01/10/2021 | 21,000 |
| Rackers Christopher W. | SVP and CPBO | 01/10/2021 | 49,384 |
| Rackers Christopher W. | SVP and CPBO | 01/10/2021 | 17,095 |
| Mihal Shawn M. | SVP - Wealth Management | 01/10/2021 | 111,158 |
| Mihal Shawn M. | SVP - Wealth Management | 01/10/2021 | 38,496 |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | 01/10/2021 | 26,407 |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | 01/10/2021 | 9,136 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 01/10/2021 | 75,891 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 01/10/2021 | 26,282 |
| Sanders Philip James | CEO | 12/31/2020 | 1,293,443 |
| BLOSS BRENT K | President | 12/31/2020 | 656,336 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 12/31/2020 | 70,272 |
| Clouse Benjamin R | SVP & CFO | 12/31/2020 | 215,909 |
| Mihal Shawn M. | SVP - Wealth Management | 12/31/2020 | 101,523 |
| Rackers Christopher W. | SVP and CPBO | 12/31/2020 | 78,091 |
| Scupham Amy J. | SVP - Distribution | 12/31/2020 | 101,523 |
| Hanson Daniel P | SVP & CIO | 06/10/2020 | 195,187 |
| Scupham Amy J. | SVP - Distribution | 04/02/2020 | 2,972 |
| Mihal Shawn M. | SVP - Wealth Management | 04/02/2020 | 8,678 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 04/02/2020 | 11,910 |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | 01/10/2020 | 17,487 |
| DALEY MICHAEL JOHN | VP - Chief Acct Off,IR & Treas | 01/10/2020 | 6,044 |
| Scupham Amy J. | SVP - Distribution | 01/10/2020 | 40,175 |
| Scupham Amy J. | SVP - Distribution | 01/10/2020 | 13,894 |
| Rackers Christopher W. | SVP and Chief Admin Officer | 01/10/2020 | 32,689 |
| Rackers Christopher W. | SVP and Chief Admin Officer | 01/10/2020 | 11,310 |
| Mihal Shawn M. | SVP - Wealth Management | 01/10/2020 | 73,560 |
| Mihal Shawn M. | SVP - Wealth Management | 01/10/2020 | 25,469 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 01/10/2020 | 50,226 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 01/10/2020 | 17,388 |
| Scupham Amy J. | SVP - Distribution | 12/31/2019 | 44,091 |
| Sanders Philip James | CEO | 12/31/2019 | 858,221 |
| Rackers Christopher W. | SVP and CAO | 12/31/2019 | 33,925 |
| Mihal Shawn M. | SVP - Wealth Management | 12/31/2019 | 44,091 |
| Clouse Benjamin R | SVP & CFO | 12/31/2019 | 110,937 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 12/31/2019 | 30,531 |
| BLOSS BRENT K | EVP & COO | 12/31/2019 | 421,678 |
| WALTON JERRY W | Director | 11/05/2019 | 166,090 |
| Scupham Amy J. | SVP - Distribution | 04/02/2019 | 6,554 |
| Mihal Shawn M. | SVP - Broker-Dealer | 04/02/2019 | 13,386 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 04/02/2019 | 26,354 |
| LOGUE DENNIS E | Director | 03/22/2019 | 83,600 |
| RAINES JAMES M | Director | 02/15/2019 | 17,750 |
| Scupham Amy J. | SVP - Distribution | 01/10/2019 | 43,110 |
| Scupham Amy J. | SVP - Distribution | 01/10/2019 | 14,909 |
| Rackers Christopher W. | SVP and CHRO | 01/10/2019 | 35,078 |
| Rackers Christopher W. | SVP and CHRO | 01/10/2019 | 12,137 |
| Mihal Shawn M. | SVP - Broker-Dealer | 01/10/2019 | 78,952 |
| Mihal Shawn M. | SVP - Broker-Dealer | 01/10/2019 | 27,348 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 01/10/2019 | 53,896 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 01/10/2019 | 18,659 |
| Scupham Amy J. | SVP - Distribution | 12/31/2018 | 650,012 |
| Sanders Philip James | CEO & Chief Inv.Officer | 12/31/2018 | 821,953 |
| Rackers Christopher W. | SVP and CHRO | 12/31/2018 | 500,002 |
| Mihal Shawn M. | SVP - Broker-Dealer | 12/31/2018 | 650,012 |
| Clouse Benjamin R | SVP, CFO & Treasurer | 12/31/2018 | 68,596 |
| Buyle Mark P. | SVP, GC, CLO and Secretary | 12/31/2018 | 450,011 |
| BLOSS BRENT K | EVP & COO | 12/31/2018 | 474,654 |
| WALTON JERRY W | Director | 11/16/2018 | 179,589 |
| KOSLOFF ALAN W | Director | 09/12/2018 | 400,551 |
| RAINES JAMES M | Director | 09/11/2018 | 54,240 |
| RAINES JAMES M | Director | 06/12/2018 | 52,626 |
| RAINES JAMES M | Director | 05/04/2018 | 17,714 |
| Clouse Benjamin R | SVP and CFO | 04/02/2018 | 12,785 |
| HILLS WENDY J | EVP, GC, Chief Legal Off & Sec | 04/02/2018 | 46,957 |
| WALTON JERRY W | Director | 02/01/2018 | 132,944 |
| Clouse Benjamin R | Vice President and CAO | 01/10/2018 | 7,205 |
| Clouse Benjamin R | Vice President and CAO | 01/10/2018 | 2,705 |
| HERRMANN HENRY J | Director | 12/31/2017 | 751,652 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/31/2017 | 320,199 |
| Sanders Philip James | CEO & Chief Inv.Officer | 12/31/2017 | 813,288 |
| HILLS WENDY J | SVP, GC, Chief Legal Off & Sec | 12/31/2017 | 401,048 |
| Clouse Benjamin R | Vice President and PAO | 12/31/2017 | 52,990 |
| Clouse Benjamin R | Vice President and PAO | 12/31/2017 | 11,706 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/31/2017 | 748,971 |
| BLOSS BRENT K | SVP, COO, CFO & Treasurer | 12/31/2017 | 539,489 |
| HILLS WENDY J | SVP, General Counsel & Secy. | 12/22/2017 | 348,731 |
| HILLS WENDY J | SVP, General Counsel & Secy. | 12/21/2017 | 352,220 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/21/2017 | 1,015,458 |
| KOSLOFF ALAN W | Director | 11/20/2017 | 360,853 |
| KOSLOFF ALAN W | Director | 11/20/2017 | 380,031 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 11/09/2017 | 96,280 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 11/10/2017 | 672,760 |
| Clouse Benjamin R | VP and Chief Acct. Officer | 08/07/2017 | 118,141 |
| KOSLOFF ALAN W | Director | 08/03/2017 | 486,474 |
| BLOSS BRENT K | SVP, CFO & Treasurer | 04/02/2017 | 44,846 |
| Clouse Benjamin R | VP and Chief Acct. Officer | 04/02/2017 | 12,563 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/31/2016 | 120,123 |
| HILLS WENDY J | SVP, General Counsel & Secy. | 12/31/2016 | 73,767 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/31/2016 | 414,900 |
| Avery Michael L | See explanation below. | 06/30/2016 | 719,073 |
| Clouse Benjamin R | Vice President and PAO | 04/02/2016 | 25,572 |
| BLOSS BRENT K | SVP, CFO & Treasurer | 04/02/2016 | 115,229 |
| HILLS WENDY J | SVP, General Counsel & Secy. | 04/02/2016 | 112,575 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/31/2015 | 199,130 |
| Sanders Philip James | SVP & Chief Investment Officer | 12/31/2015 | 399,377 |
| HERRMANN HENRY J | Chief Executive Officer | 12/31/2015 | 1,109,343 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/31/2015 | 776,543 |
| BLOSS BRENT K | SVP, CFO & Treasurer | 12/31/2015 | 110,943 |
| Avery Michael L | President | 12/31/2015 | 832,946 |
| RAINES JAMES M | Director | 08/03/2015 | 134,880 |
| LOGUE DENNIS E | Director | 05/26/2015 | 130,410 |
| CLOUSE MELISSA A | VP, Controller & PAO | 04/02/2015 | 42,904 |
| HILLS WENDY J | SVP, General Counsel & Secy. | 04/02/2015 | 159,020 |
| BLOSS BRENT K | SVP, CFO & Treasurer | 04/02/2015 | 349,203 |
| Avery Michael L | President | 02/10/2015 | 267,520 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/31/2014 | 497,702 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 12/31/2014 | 1,014,734 |
| Sanders Philip James | SVP & Chief Investment Officer | 12/31/2014 | 462,828 |
| HERRMANN HENRY J | Chief Executive Officer | 12/31/2014 | 2,005,554 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/31/2014 | 1,627,520 |
| Avery Michael L | President | 12/31/2014 | 1,819,925 |
| Avery Michael L | President | 12/19/2014 | 489,600 |
| KOSLOFF ALAN W | Director | 03/10/2009 | 791 |
| KOSLOFF ALAN W | Director | 09/11/2014 | 3,239 |
| CLOUSE MELISSA A | VP, Controller & PAO | 09/03/2014 | 73,765 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 05/20/2014 | 1,016,182 |
| HILLS WENDY J | SVP, General Counsel & Secy. | 05/01/2014 | 1,317,540 |
| HILLS WENDY J | SVP, General Counsel & Secy. | 04/04/2014 | 230,842 |
| Sanders Philip James | SVP & Chief Investment Officer | 04/02/2014 | 563,016 |
| Sanders Philip James | SVP & Chief Investment Officer | 03/13/2014 | 4,385 |
| CLOUSE MELISSA A | VP, Controller & PAO | 04/04/2014 | 50,741 |
| BLOSS BRENT K | SVP, CFO & Treasurer | 04/02/2014 | 457,279 |
| RAINES JAMES M | Director | 02/06/2014 | 280,611 |
| CONNEALY DANIEL P | SVP and CFO | 12/31/2012 | 1,394,740 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/31/2013 | 788,929 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 12/31/2013 | 1,405,094 |
| SCHULTE DANIEL C | SVP & General Counsel | 12/31/2013 | 1,391,940 |
| Sanders Philip James | SVP & Chief Investment Officer | 12/31/2013 | 1,209,930 |
| HERRMANN HENRY J | Chief Executive Officer | 12/31/2013 | 1,613,218 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/31/2013 | 2,308,895 |
| Avery Michael L | President | 12/31/2013 | 2,626,485 |
| Avery Michael L | President | 12/10/2013 | 472,575 |
| LOGUE DENNIS E | Director | 11/20/2013 | 453,146 |
| Sanders Philip James | SVP & Chief Investment Officer | 11/08/2013 | 828,416 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 08/13/2013 | 383,450 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 08/13/2013 | 510,603 |
| Avery Michael L | President | 08/09/2013 | 513,000 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 08/01/2013 | 1,403,966 |
| SCHULTE DANIEL C | SVP & General Counsel | 06/04/2013 | 2,783 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 05/13/2013 | 423,870 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 04/02/2013 | 197,378 |
| Sanders Philip James | SVP & Chief Investment Officer | 04/02/2013 | 782,387 |
| REIMER RONALD C | Director | 03/22/2013 | 134,364 |
| REIMER RONALD C | Director | 03/22/2013 | 273,799 |
| KOSLOFF ALAN W | Director | 03/22/2013 | 415,089 |
| Avery Michael L | President | 03/21/2013 | 428,500 |
| LOGUE DENNIS E | Director | 03/08/2013 | 6,350 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 02/11/2013 | 528,135 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 02/11/2013 | 1,042,414 |
| RAINES JAMES M | Director | 01/31/2013 | 194,554 |
| SCHULTE DANIEL C | SVP & General Counsel | 01/31/2013 | 1,063,839 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/31/2012 | 497,125 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 12/31/2012 | 681,532 |
| SCHULTE DANIEL C | SVP & General Counsel | 12/31/2012 | 665,480 |
| Sanders Philip James | SVP & Chief Investment Officer | 12/31/2012 | 577,316 |
| CONNEALY DANIEL P | SVP and CFO | 12/31/2012 | 271,004 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/31/2012 | 1,067,999 |
| Avery Michael L | President | 12/31/2012 | 1,172,598 |
| HERRMANN HENRY J | Chief Executive Officer | 12/31/2012 | 288,658 |
| REIMER RONALD C | Director | 12/24/2012 | 105,450 |
| REIMER RONALD C | Director | 12/24/2012 | 176,962 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 12/14/2012 | 375,725 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 12/14/2012 | 650,740 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 09/18/2012 | 1,273 |
| SCHULTE DANIEL C | SVP & General Counsel | 06/19/2012 | 288,293 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 05/07/2012 | 246,678 |
| Sanders Philip James | SVP & Chief Investment Officer | 04/02/2012 | 720,792 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 04/02/2012 | 114,544 |
| SCHULTE DANIEL C | SVP & General Counsel | 03/19/2012 | 16,500 |
| SCHULTE DANIEL C | SVP & General Counsel | 03/13/2012 | 40,316 |
| SCHULTE DANIEL C | SVP & General Counsel | 03/12/2012 | 119,872 |
| SCHULTE DANIEL C | SVP & General Counsel | 02/17/2012 | 156,635 |
| RAINES JAMES M | Director | 02/10/2012 | 136,679 |
| SCHULTE DANIEL C | SVP & General Counsel | 02/06/2012 | 92,940 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 02/03/2012 | 164,407 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/31/2011 | 297,067 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 12/31/2011 | 414,749 |
| SCHULTE DANIEL C | SVP & General Counsel | 12/31/2011 | 404,965 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/31/2011 | 687,888 |
| CONNEALY DANIEL P | SVP and CFO | 12/31/2011 | 422,081 |
| Avery Michael L | President | 12/31/2011 | 767,573 |
| HERRMANN HENRY J | Chief Executive Officer | 12/31/2011 | 602,332 |
| RAINES JAMES M | Director | 05/04/2011 | 75,356 |
| SCHIEBER MARK A | SVP & Controller | 04/02/2011 | 56,347 |
| Sanders Philip James | SVP & Chief Investment Officer | 04/02/2011 | 700,645 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 04/02/2011 | 107,534 |
| LOGUE DENNIS E | Director | 03/16/2011 | 191,700 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 02/16/2011 | 877,048 |
| SCHULTE DANIEL C | SVP & General Counsel | 02/02/2011 | 748,215 |
| RAINES JAMES M | Director | 02/02/2011 | 140,780 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/31/2010 | 381,944 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 12/31/2010 | 391,154 |
| SCHULTE DANIEL C | SVP & General Counsel | 12/31/2010 | 381,944 |
| HERRMANN HENRY J | Chief Executive Officer | 12/31/2010 | 858,147 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/31/2010 | 633,879 |
| Avery Michael L | President & CIO | 12/31/2010 | 699,095 |
| SUNDEEN JOHN E JR | SVP & CAO - Investments | 12/29/2010 | 104,554 |
| STROHM MICHAEL D | SVP & Chief Operations Officer | 12/29/2010 | 126,908 |
| SCHULTE DANIEL C | SVP & General Counsel | 12/29/2010 | 123,930 |
| HERRMANN HENRY J | Chief Executive Officer | 12/29/2010 | 277,604 |
| BUTCH THOMAS W | EVP & Chief Marketing Officer | 12/29/2010 | 198,273 |
| Avery Michael L | President & CIO | 12/29/2010 | 203,045 |
| ROGERS WILLIAM L | Director | 12/01/2010 | 247,298 |
| ROGERS WILLIAM L | Director | 12/01/2010 | 446,860 |
| ROGERS WILLIAM L | Director | 11/18/2010 | 219,937 |
| ROGERS WILLIAM L | Director | 11/18/2010 | 385,353 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 11/03/2010 | 77,890 |
| BLOSS BRENT K | SVP-Finance & Treasurer | 11/04/2010 | 103,816 |
| Avery Michael L | SVP & Chief Investment Officer | 09/15/2010 | 273,600 |
| Avery Michael L | SVP & Chief Investment Officer | 09/15/2010 | 273,600 |
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