Northern Lights Fund Trust IV. (INTL) CBOE BZX U.S. EQUITIES EXCHANGE
$21.97 (0.03) (-0.12%)
Market Cap: $112.20M
As of 04/17/24 04:00 PM EDT. Market closed.
Northern Lights Fund Trust IV. (INTL)
CBOE BZX U.S. EQUITIES EXCHANGE
$21.97
(0.03) (-0.12%)
Market Cap: $112.20M
As of 04/17/24 04:00 PM EDT. Market closed.
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COMPANY PROFILE
Sector
Industry
CEO Compensation (Base)
$500,000
CEO Compensation (Total)
$2.68M
URL
Address
.
Sector
Industry
CEO Compensation (Base)
$500,000
CEO Compensation (Total)
$2.68M
URL
Address
.
PRICE CHART FOR NORTHERN LIGHTS FUND TRUST IV
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To:
NEWS
INSIDEARBITRAGE ARTICLES
KEY STATS
Open
-
Previous Close
$22
Days Range
$21.94 - $21.99
52 week range
$18.45 - $23.29
Volume
3,059
Avg. Volume (30 days)
12,642
Market Cap
$112.20M
Dividend Yield
2.85%
P/E
-
Shares Outstanding
5,100,000
Open
-
Previous Close
$22
Days Range
$21.94 - $21.99
52 week range
$18.45 - $23.29
Volume
3,059
Avg. Volume (30 days)
12,642
Market Cap
$112.20M
Dividend Yield
2.85%
P/E
-
Shares Outstanding
5,100,000
FINANCIAL STATEMENTS FOR NORTHERN LIGHTS FUND TRUST IV
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INSIDER TRANSACTIONS FOR NORTHERN LIGHTS FUND TRUST IV
| Owner | Relationship | Date | Transaction | Cost | # Shares | Value($) | Total Shares | Form 4 |
| Smith Philip Andrew | Subsidiary CEO | Mar 21, 2024 | Sale | $69.73 | 7,000 | 488,141 | 233,898 | Mar 25, 2024, 04:33 PM |
| BRANCH SCOTT J | Retired Director | Mar 13, 2024 | Sale | $67.29 | 7,500 | 504,697 | 512,434 | Mar 15, 2024, 08:51 AM |
| Lyon Charles M | Subsidiary President and CEO | Mar 12, 2024 | Option Exercise | $30.00 | 6,787 | 203,610 | 68,344 | Mar 14, 2024, 08:28 AM |
| Lyon Charles M | Subsidiary President and CEO | Mar 12, 2024 | Sale | $67.52 | 6,787 | 458,285 | 61,557 | Mar 14, 2024, 08:28 AM |
| Lyon Charles M | Subsidiary President and CEO | Mar 11, 2024 | Option Exercise | $30.00 | 7,858 | 235,740 | 69,415 | Mar 12, 2024, 09:09 AM |
| Lyon Charles M | Subsidiary President and CEO | Mar 08, 2024 | Option Exercise | $30.00 | 10,338 | 310,140 | 71,895 | Mar 12, 2024, 09:09 AM |
| Lyon Charles M | Subsidiary President and CEO | Mar 08, 2024 | Sale | $68.53 | 10,338 | 708,428 | 61,557 | Mar 12, 2024, 09:09 AM |
| Lyon Charles M | Subsidiary President and CEO | Mar 11, 2024 | Sale | $68.11 | 7,858 | 535,225 | 61,557 | Mar 12, 2024, 09:09 AM |
| Lyon Charles M | Subsidiary President and CEO | Mar 06, 2024 | Option Exercise | $30.00 | 9,178 | 275,340 | 70,735 | Mar 08, 2024, 04:29 PM |
| Lyon Charles M | Subsidiary President and CEO | Mar 07, 2024 | Option Exercise | $30.00 | 6,998 | 209,940 | 68,555 | Mar 08, 2024, 04:29 PM |
| Lyon Charles M | Subsidiary President and CEO | Mar 07, 2024 | Sale | $68.59 | 6,998 | 479,970 | 61,557 | Mar 08, 2024, 04:29 PM |
| Lyon Charles M | Subsidiary President and CEO | Mar 06, 2024 | Sale | $68.22 | 9,178 | 626,099 | 61,557 | Mar 08, 2024, 04:29 PM |
| Lyon Charles M | Subsidiary President and CEO | Mar 05, 2024 | Option Exercise | $30.00 | 15,141 | 454,230 | 76,698 | Mar 06, 2024, 04:29 PM |
| Lyon Charles M | Subsidiary President and CEO | Mar 04, 2024 | Option Exercise | $30.00 | 4,852 | 145,560 | 66,409 | Mar 06, 2024, 04:29 PM |
| Lyon Charles M | Subsidiary President and CEO | Mar 05, 2024 | Sale | $68.68 | 15,141 | 1,039,829 | 61,557 | Mar 06, 2024, 04:29 PM |
| Lyon Charles M | Subsidiary President and CEO | Mar 04, 2024 | Sale | $68.62 | 4,852 | 332,949 | 61,557 | Mar 06, 2024, 04:29 PM |
| Lyon Charles M | President and CEO - subsidiary | Feb 12, 0024 | Option Exercise | $30.00 | 3,659 | 109,770 | 65,216 | Feb 14, 2024, 04:38 PM |
| Lyon Charles M | President and CEO - subsidiary | Feb 13, 2024 | Option Exercise | $30.00 | 15,552 | 466,560 | 77,109 | Feb 14, 2024, 04:38 PM |
| Lyon Charles M | President and CEO - subsidiary | Feb 12, 2024 | Sale | $67.29 | 3,659 | 246,203 | 61,557 | Feb 14, 2024, 04:38 PM |
| Lyon Charles M | President and CEO - subsidiary | Feb 13, 2024 | Sale | $65.11 | 15,552 | 1,012,530 | 61,557 | Feb 14, 2024, 04:38 PM |
| BRANCH SCOTT J | Director | Feb 07, 2024 | Sale | $63.87 | 7,500 | 479,005 | 519,934 | Feb 09, 2024, 04:37 PM |
| BRANCH SCOTT J | Director | Jan 08, 2024 | Sale | $70.09 | 7,500 | 525,644 | 527,434 | Jan 09, 2024, 04:17 PM |
| PARTHEMORE ERIC | Director | Dec 22, 2023 | Sale | $71.34 | 2,250 | 160,515 | 19,344 | Dec 27, 2023, 04:50 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 19, 2023 | Sale | $69.07 | 8,563 | 591,457 | 249,460 | Dec 21, 2023, 04:25 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 20, 2023 | Sale | $69.17 | 8,562 | 592,208 | 240,898 | Dec 21, 2023, 04:25 PM |
| PARTHEMORE ERIC | Director | Dec 14, 2023 | Sale | $68.00 | 2,140 | 145,520 | 21,594 | Dec 15, 2023, 04:45 PM |
| Maurer Mark Lowry | Chief Risk Officer | Dec 13, 2023 | Sale | $67.21 | 5,000 | 336,060 | 42,478 | Dec 15, 2023, 04:40 PM |
| FOWLER JOHN MOORE | Director | Dec 01, 2023 | Sale | $60.65 | 600 | 36,390 | 82,527 | Dec 01, 2023, 04:41 PM |
| PARTHEMORE ERIC | Director | Nov 14, 2023 | Sale | $102.00 | 73 | 7,446 | 15,823 | Nov 16, 2023, 04:04 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Sep 20, 2023 | Sale | $94.56 | 3,000 | 283,694 | 154,196 | Sep 21, 2023, 04:36 PM |
| Lyon Charles M | President and CEO - subsidiary | Sep 15, 2023 | Sale | $93.08 | 2,369 | 220,498 | 31,531 | Sep 18, 2023, 04:18 PM |
| Lyon Charles M | President and CEO - subsidiary | Sep 14, 2023 | Sale | $93.09 | 7,631 | 710,380 | 33,900 | Sep 18, 2023, 04:18 PM |
| FOWLER JOHN MOORE | Director | Sep 01, 2023 | Sale | $93.93 | 300 | 28,179 | 55,291 | Sep 05, 2023, 04:45 PM |
| FOWLER JOHN MOORE | Director | Jun 13, 2023 | Sale | $90.00 | 300 | 27,000 | 55,459 | Jun 14, 2023, 05:06 PM |
| RADZIWILL JOHN | Chairman of the Board | Jun 09, 2023 | Buy | $86.90 | 962 | 83,594 | 40,992 | Jun 12, 2023, 05:36 PM |
| RADZIWILL JOHN | Chairman of the Board | Jun 08, 2023 | Buy | $87.25 | 1,000 | 87,250 | 40,030 | Jun 12, 2023, 05:36 PM |
| Smith Philip Andrew | CEO - subsidiary entity | May 22, 2023 | Sale | $84.77 | 3,500 | 296,697 | 157,196 | May 23, 2023, 06:23 PM |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | May 09, 2023 | Buy | $84.18 | 3,000 | 252,530 | 52,201 | May 11, 2023, 05:30 PM |
| Dunaway William J | Chief Financial Officer | Mar 08, 2023 | Sale | $105.37 | 165 | 17,386 | 66,847 | Mar 09, 2023, 06:30 PM |
| Schroeder Aaron | Chief Accounting Officer | Mar 08, 2023 | Sale | $104.91 | 1,395 | 146,349 | 14,484 | Mar 09, 2023, 04:52 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Mar 01, 2023 | Sale | $101.98 | 3,000 | 305,935 | 160,696 | Mar 03, 2023, 08:09 AM |
| FOWLER JOHN MOORE | Director | Mar 01, 2023 | Sale | $100.53 | 300 | 30,159 | 54,642 | Mar 02, 2023, 08:16 AM |
| Dunaway William J | Chief Financial Officer | Feb 15, 2023 | Sale | $105.15 | 935 | 98,316 | 67,012 | Feb 17, 2023, 04:53 PM |
| Dunaway William J | Chief Financial Officer | Feb 10, 2023 | Sale | $103.12 | 736 | 75,895 | 67,947 | Feb 14, 2023, 04:32 PM |
| Dunaway William J | Chief Financial Officer | Feb 08, 2023 | Sale | $100.76 | 264 | 26,602 | 68,683 | Feb 10, 2023, 06:26 PM |
| Maurer Mark Lowry | Chief Risk Officer | Dec 30, 2022 | Sale | $95.27 | 4,381 | 417,361 | 31,652 | Jan 03, 2023, 04:31 PM |
| Dunaway William J | Chief Financial Officer | Dec 21, 2022 | Sale | $97.95 | 2,823 | 276,515 | 68,947 | Dec 22, 2022, 05:31 PM |
| Dunaway William J | Chief Financial Officer | Dec 15, 2022 | Sale | $91.95 | 600 | 55,170 | 72,770 | Dec 19, 2022, 05:19 PM |
| Maurer Mark Lowry | Chief Risk Officer | Dec 06, 2022 | Sale | $97.81 | 4,711 | 460,766 | 26,411 | Dec 08, 2022, 04:19 PM |
| FOWLER JOHN MOORE | Director | Dec 01, 2022 | Sale | $101.25 | 300 | 30,375 | 54,802 | Dec 02, 2022, 05:27 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Nov 22, 2022 | Sale | $101.34 | 18,600 | 1,884,887 | 331,659 | Nov 23, 2022, 07:09 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Nov 15, 2022 | Sale | $98.39 | 1,400 | 137,739 | 350,259 | Nov 17, 2022, 04:38 PM |
| Nguyen Xuong | Chief Operating Officer | Aug 12, 2022 | Sale | $95.00 | 10,000 | 950,000 | 36,953 | Aug 15, 2022, 07:05 PM |
| Lyon Charles M | President/CEO - subsidiary | Aug 11, 2022 | Sale | $92.65 | 4,489 | 415,922 | 29,050 | Aug 12, 2022, 05:04 PM |
| Lyon Charles M | President/CEO - subsidiary | Aug 10, 2022 | Sale | $92.27 | 3,511 | 323,948 | 33,539 | Aug 12, 2022, 05:04 PM |
| BRANCH SCOTT J | Director | Jul 29, 2022 | Sale | $88.07 | 25,000 | 2,201,750 | 376,165 | Aug 01, 2022, 04:50 PM |
| BRANCH SCOTT J | Director | Jul 28, 2022 | Sale | $87.02 | 25,000 | 2,175,500 | 401,165 | Aug 01, 2022, 04:50 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jul 28, 2022 | Sale | $86.31 | 12,898 | 1,113,262 | 351,659 | Jul 28, 2022, 05:27 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jul 27, 2022 | Sale | $85.38 | 6,200 | 529,363 | 364,557 | Jul 28, 2022, 05:27 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jul 26, 2022 | Sale | $85.05 | 602 | 51,198 | 370,757 | Jul 28, 2022, 05:27 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jul 19, 2022 | Sale | $85.15 | 300 | 25,546 | 371,359 | Jul 21, 2022, 04:39 PM |
| BRANCH SCOTT J | Director | Jul 19, 2022 | Sale | $84.06 | 15,000 | 1,260,906 | 426,165 | Jul 20, 2022, 04:28 PM |
| Nguyen Xuong | Chief Operating Officer | Jul 12, 2022 | Sale | $80.00 | 7,021 | 561,680 | 46,953 | Jul 13, 2022, 04:34 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jul 11, 2022 | Sale | $76.17 | 4,537 | 345,568 | 145,206 | Jul 12, 2022, 05:01 PM |
| Nguyen Xuong | Chief Operating Officer | Jul 01, 2022 | Sale | $80.00 | 11,262 | 900,960 | 53,974 | Jul 05, 2022, 04:55 PM |
| Nguyen Xuong | Chief Operating Officer | Jun 08, 2022 | Sale | $80.45 | 4,037 | 324,781 | 65,236 | Jun 10, 2022, 04:11 PM |
| PARTHEMORE ERIC | Director | Jun 07, 2022 | Sale | $80.00 | 2,500 | 200,000 | 14,641 | Jun 08, 2022, 05:13 PM |
| BRANCH SCOTT J | Director | Jun 06, 2022 | Sale | $79.07 | 15,000 | 1,186,050 | 441,165 | Jun 08, 2022, 04:38 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Apr 18, 2022 | Sale | $71.32 | 4,500 | 320,932 | 149,743 | Apr 19, 2022, 07:19 PM |
| Perkins Abigail H | Chief Information Officer | Mar 11, 2022 | Buy | $71.74 | 750 | 53,805 | 4,153 | Mar 14, 2022, 04:25 PM |
| Perkins Abigail H | Chief Information Officer | Mar 11, 2022 | Buy | $71.79 | 250 | 17,947 | 250 | Mar 14, 2022, 04:25 PM |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | Mar 09, 2022 | Buy | $70.83 | 2,500 | 177,069 | 37,767 | Mar 10, 2022, 04:21 PM |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | Mar 08, 2022 | Buy | $69.45 | 2,500 | 173,622 | 35,267 | Mar 10, 2022, 04:21 PM |
| Rotsztain Diego | Chief Governance/Legal Officer | Mar 08, 2022 | Buy | $66.24 | 750 | 49,682 | 8,343 | Mar 09, 2022, 06:15 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Feb 14, 2022 | Sale | $73.48 | 6,000 | 440,890 | 154,243 | Feb 15, 2022, 06:02 PM |
| Schroeder Aaron | Chief Accounting Officer | Feb 08, 2022 | Sale | $73.67 | 1,899 | 139,895 | 14,708 | Feb 09, 2022, 04:54 PM |
| PARTHEMORE ERIC | Director | Feb 08, 2022 | Sale | $72.50 | 5,000 | 362,500 | 15,650 | Feb 09, 2022, 04:54 PM |
| Perkins Abigail H | Chief Information Officer | Dec 22, 2021 | Buy | $59.30 | 1,250 | 74,124 | 3,403 | Dec 23, 2021, 04:05 PM |
| Rotsztain Diego | Chief Governance/Legal Officer | Dec 20, 2021 | Buy | $57.00 | 877 | 49,989 | 7,593 | Dec 22, 2021, 04:34 PM |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | Dec 20, 2021 | Buy | $57.48 | 1,500 | 86,217 | 32,767 | Dec 22, 2021, 04:33 PM |
| Maurer Mark Lowry | Chief Risk Officer | Dec 15, 2021 | Sale | $60.66 | 4,000 | 242,632 | 25,695 | Dec 16, 2021, 09:03 AM |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | Dec 10, 2021 | Buy | $59.92 | 2,500 | 149,789 | 25,000 | Dec 14, 2021, 04:53 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 10, 2021 | Option Exercise | $25.91 | 7,500 | 194,325 | 160,972 | Dec 13, 2021, 04:29 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 09, 2021 | Option Exercise | $25.91 | 7,500 | 194,325 | 160,972 | Dec 13, 2021, 04:29 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 10, 2021 | Sale | $59.91 | 7,500 | 449,341 | 153,472 | Dec 13, 2021, 04:29 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 09, 2021 | Sale | $61.64 | 7,500 | 462,299 | 153,472 | Dec 13, 2021, 04:29 PM |
| Dunaway William J | Chief Financial Officer | Dec 10, 2021 | Option Exercise | $25.91 | 13,332 | 345,432 | 71,653 | Dec 13, 2021, 04:28 PM |
| Dunaway William J | Chief Financial Officer | Dec 10, 2021 | Sale | $59.91 | 13,332 | 798,756 | 58,321 | Dec 13, 2021, 04:28 PM |
| Dunaway William J | Chief Financial Officer | Dec 09, 2021 | Option Exercise | $25.91 | 13,332 | 345,432 | 71,653 | Dec 10, 2021, 04:39 PM |
| Dunaway William J | Chief Financial Officer | Dec 08, 2021 | Option Exercise | $25.91 | 13,336 | 345,536 | 71,657 | Dec 10, 2021, 04:39 PM |
| Dunaway William J | Chief Financial Officer | Dec 09, 2021 | Sale | $61.64 | 13,332 | 821,744 | 58,321 | Dec 10, 2021, 04:39 PM |
| Dunaway William J | Chief Financial Officer | Dec 08, 2021 | Sale | $63.59 | 13,336 | 848,078 | 58,321 | Dec 10, 2021, 04:39 PM |
| Thamodaran Dhamu R. | Director | Dec 09, 2021 | Buy | $63.05 | 5,000 | 315,250 | 10,585 | Dec 10, 2021, 04:39 PM |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | Dec 06, 2021 | Buy | $64.02 | 2,500 | 160,051 | 22,500 | Dec 08, 2021, 04:23 PM |
| Thamodaran Dhamu R. | Director | Dec 03, 2021 | Buy | $61.25 | 5,000 | 306,250 | 5,585 | Dec 07, 2021, 04:44 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 02, 2021 | Option Exercise | $25.91 | 5,000 | 129,550 | 153,472 | Dec 06, 2021, 04:50 PM |
| Rotsztain Diego | Chief Governance/Legal Officer | Dec 02, 2021 | Buy | $62.02 | 1,214 | 75,294 | 4,422 | Dec 06, 2021, 04:50 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Nov 03, 2021 | Sale | $72.00 | 3,000 | 216,006 | 148,472 | Nov 05, 2021, 04:33 PM |
| Harrod Patricia Marie | Retired Officer | Oct 26, 2021 | Sale | $71.08 | 4,221 | 300,044 | 12,066 | Oct 27, 2021, 04:26 PM |
| Dunaway William J | Chief Financial Officer | Oct 21, 2021 | Option Exercise | $25.91 | 3,583 | 92,836 | 61,904 | Oct 25, 2021, 04:17 PM |
| Dunaway William J | Chief Financial Officer | Oct 21, 2021 | Sale | $70.03 | 3,583 | 250,901 | 58,321 | Oct 25, 2021, 04:17 PM |
| Dunaway William J | Chief Financial Officer | Oct 18, 2021 | Option Exercise | $25.91 | 5,822 | 150,848 | 64,143 | Oct 20, 2021, 04:32 PM |
| Dunaway William J | Chief Financial Officer | Oct 18, 2021 | Sale | $70.00 | 5,822 | 407,546 | 58,321 | Oct 20, 2021, 04:32 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 15, 2021 | Option Exercise | $25.91 | 1,106 | 28,656 | 361,215 | Oct 18, 2021, 04:52 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 14, 2021 | Option Exercise | $25.91 | 3,375 | 87,446 | 362,536 | Oct 18, 2021, 04:52 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 15, 2021 | Sale | $68.70 | 800 | 54,958 | 360,415 | Oct 18, 2021, 04:52 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 14, 2021 | Sale | $68.85 | 2,427 | 167,097 | 360,109 | Oct 18, 2021, 04:52 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 13, 2021 | Option Exercise | $25.91 | 3,825 | 99,106 | 361,907 | Oct 14, 2021, 04:46 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 12, 2021 | Option Exercise | $25.91 | 3,069 | 79,518 | 360,282 | Oct 14, 2021, 04:46 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 12, 2021 | Sale | $68.24 | 2,200 | 150,134 | 358,082 | Oct 14, 2021, 04:46 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 13, 2021 | Sale | $67.94 | 2,746 | 186,564 | 359,161 | Oct 14, 2021, 04:46 PM |
| Dunaway William J | Chief Financial Officer | Oct 08, 2021 | Option Exercise | $25.91 | 4,035 | 104,547 | 62,356 | Oct 12, 2021, 05:16 PM |
| Dunaway William J | Chief Financial Officer | Oct 08, 2021 | Sale | $70.00 | 4,035 | 282,450 | 58,321 | Oct 12, 2021, 05:16 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 11, 2021 | Option Exercise | $25.91 | 3,700 | 95,867 | 359,860 | Oct 12, 2021, 04:13 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 08, 2021 | Option Exercise | $25.91 | 4,245 | 109,988 | 359,193 | Oct 12, 2021, 04:13 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 07, 2021 | Option Exercise | $25.91 | 7,850 | 203,393 | 360,557 | Oct 12, 2021, 04:13 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 11, 2021 | Sale | $68.66 | 2,647 | 181,752 | 357,213 | Oct 12, 2021, 04:13 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 08, 2021 | Sale | $69.60 | 3,033 | 211,083 | 356,160 | Oct 12, 2021, 04:13 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 07, 2021 | Sale | $69.08 | 5,609 | 387,445 | 354,948 | Oct 12, 2021, 04:13 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 06, 2021 | Option Exercise | $25.91 | 9,040 | 234,226 | 359,210 | Oct 07, 2021, 05:08 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 05, 2021 | Option Exercise | $25.91 | 19,400 | 502,654 | 364,187 | Oct 07, 2021, 05:08 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 05, 2021 | Sale | $66.14 | 14,017 | 927,041 | 350,170 | Oct 07, 2021, 05:08 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 06, 2021 | Sale | $67.26 | 6,503 | 437,370 | 352,707 | Oct 07, 2021, 05:08 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 01, 2021 | Option Exercise | $25.91 | 5,171 | 133,981 | 344,214 | Oct 05, 2021, 05:49 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 04, 2021 | Option Exercise | $25.91 | 15,485 | 401,216 | 355,970 | Oct 05, 2021, 05:49 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 04, 2021 | Sale | $66.00 | 11,183 | 738,078 | 344,787 | Oct 05, 2021, 05:49 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Oct 01, 2021 | Sale | $66.42 | 3,729 | 247,665 | 340,485 | Oct 05, 2021, 05:49 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Sep 24, 2021 | Option Exercise | $25.91 | 10,000 | 259,100 | 151,472 | Sep 27, 2021, 06:08 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Sep 10, 2021 | Option Exercise | $25.91 | 1,848 | 47,882 | 340,368 | Sep 16, 2021, 04:34 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Sep 09, 2021 | Option Exercise | $25.91 | 13,807 | 357,739 | 348,520 | Sep 16, 2021, 04:34 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Sep 10, 2021 | Sale | $68.00 | 1,325 | 90,100 | 339,043 | Sep 16, 2021, 04:34 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Sep 09, 2021 | Sale | $68.00 | 10,000 | 680,000 | 338,520 | Sep 16, 2021, 04:34 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Sep 10, 2021 | Option Exercise | $25.91 | 1,835 | 47,545 | 342,574 | Sep 13, 2021, 04:17 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Sep 09, 2021 | Option Exercise | $25.91 | 29,105 | 754,111 | 350,739 | Sep 13, 2021, 04:17 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Sep 10, 2021 | Sale | $68.00 | 1,325 | 90,100 | 341,249 | Sep 13, 2021, 04:17 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Sep 09, 2021 | Sale | $67.85 | 19,385 | 1,315,207 | 340,739 | Sep 13, 2021, 04:17 PM |
| Dunaway William J | Chief Financial Officer | Aug 31, 2021 | Option Exercise | $25.91 | 6,560 | 169,970 | 64,881 | Sep 02, 2021, 04:09 PM |
| Dunaway William J | Chief Financial Officer | Aug 31, 2021 | Sale | $70.00 | 6,560 | 459,200 | 58,321 | Sep 02, 2021, 04:09 PM |
| Schroeder Aaron | Chief Accounting Officer | Aug 31, 2021 | Sale | $70.00 | 1,000 | 70,000 | 15,310 | Sep 01, 2021, 05:28 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jul 27, 2021 | Option Exercise | $25.91 | 10,000 | 259,100 | 141,472 | Jul 29, 2021, 04:16 PM |
| Dunaway William J | Chief Financial Officer | Jun 16, 2021 | Option Exercise | $25.91 | 14,000 | 362,740 | 72,321 | Jun 17, 2021, 05:25 PM |
| Dunaway William J | Chief Financial Officer | Jun 15, 2021 | Option Exercise | $25.91 | 6,000 | 155,460 | 64,321 | Jun 17, 2021, 05:25 PM |
| Dunaway William J | Chief Financial Officer | Jun 16, 2021 | Sale | $65.16 | 14,000 | 912,198 | 58,321 | Jun 17, 2021, 05:25 PM |
| Dunaway William J | Chief Financial Officer | Jun 15, 2021 | Sale | $66.34 | 6,000 | 398,041 | 58,321 | Jun 17, 2021, 05:25 PM |
| Lyon Charles M | Executive VP - subsidiary | May 21, 2021 | Sale | $69.41 | 16,090 | 1,116,831 | 30,279 | May 25, 2021, 04:23 PM |
| OCONNOR SEAN MICHAEL | CEO/President | May 20, 2021 | Option Exercise | $25.91 | 2,851 | 73,869 | 333,073 | May 20, 2021, 09:34 PM |
| OCONNOR SEAN MICHAEL | CEO/President | May 18, 2021 | Option Exercise | $25.91 | 18,357 | 475,630 | 343,281 | May 20, 2021, 09:34 PM |
| OCONNOR SEAN MICHAEL | CEO/President | May 20, 2021 | Sale | $70.02 | 2,054 | 143,814 | 331,019 | May 20, 2021, 09:34 PM |
| OCONNOR SEAN MICHAEL | CEO/President | May 18, 2021 | Sale | $70.05 | 13,059 | 914,823 | 330,222 | May 20, 2021, 09:34 PM |
| Smith Philip Andrew | CEO - subsidiary entity | May 18, 2021 | Option Exercise | $25.91 | 15,672 | 406,062 | 147,144 | May 20, 2021, 05:32 PM |
| Smith Philip Andrew | CEO - subsidiary entity | May 19, 2021 | Option Exercise | $25.91 | 325 | 8,421 | 131,797 | May 20, 2021, 05:32 PM |
| Smith Philip Andrew | CEO - subsidiary entity | May 19, 2021 | Sale | $70.25 | 325 | 22,831 | 131,472 | May 20, 2021, 05:32 PM |
| Smith Philip Andrew | CEO - subsidiary entity | May 18, 2021 | Sale | $70.26 | 15,672 | 1,101,076 | 131,472 | May 20, 2021, 05:32 PM |
| FOWLER JOHN MOORE | Director | Mar 29, 2021 | Sale | $66.00 | 500 | 33,000 | 1,600 | Mar 30, 2021, 05:48 PM |
| Nguyen Xuong | Chief Operating Officer | Mar 18, 2021 | Option Exercise | $25.91 | 39,033 | 1,011,345 | 88,967 | Mar 22, 2021, 04:23 PM |
| Nguyen Xuong | Chief Operating Officer | Mar 18, 2021 | Sale | $65.00 | 29,357 | 1,908,254 | 63,305 | Mar 22, 2021, 04:23 PM |
| Nguyen Xuong | Chief Operating Officer | Mar 17, 2021 | Option Exercise | $25.91 | 5,410 | 140,173 | 56,742 | Mar 19, 2021, 04:11 PM |
| Nguyen Xuong | Chief Operating Officer | Mar 17, 2021 | Sale | $65.00 | 5,423 | 352,495 | 53,629 | Mar 19, 2021, 04:11 PM |
| Rotsztain Diego | Chief Governance/Legal Officer | Mar 16, 2021 | Buy | $63.68 | 1,500 | 95,520 | 2,481 | Mar 18, 2021, 04:39 PM |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | Mar 15, 2021 | Buy | $63.45 | 5,000 | 317,236 | 20,000 | Mar 16, 2021, 05:54 PM |
| Nguyen Xuong | Chief Operating Officer | Mar 12, 2021 | Option Exercise | $25.91 | 15,557 | 403,082 | 62,647 | Mar 16, 2021, 04:14 PM |
| Nguyen Xuong | Chief Operating Officer | Mar 12, 2021 | Sale | $65.00 | 13,000 | 845,000 | 53,642 | Mar 16, 2021, 04:14 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Feb 22, 2021 | Option Exercise | $25.91 | 10,000 | 259,100 | 141,472 | Feb 24, 2021, 05:07 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Feb 22, 2021 | Sale | $59.91 | 10,000 | 599,074 | 131,472 | Feb 24, 2021, 05:07 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jan 19, 2021 | Option Exercise | $25.91 | 2,598 | 67,314 | 322,752 | Jan 19, 2021, 04:37 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jan 15, 2021 | Option Exercise | $25.91 | 27,402 | 709,986 | 338,170 | Jan 19, 2021, 04:37 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jan 19, 2021 | Sale | $60.00 | 1,807 | 108,420 | 320,945 | Jan 19, 2021, 04:37 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jan 15, 2021 | Sale | $60.40 | 18,016 | 1,088,186 | 320,154 | Jan 19, 2021, 04:37 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Dec 17, 2020 | Option Exercise | $25.91 | 30,000 | 777,300 | 331,268 | Dec 18, 2020, 04:25 PM |
| Stevens Glenn Henry | CEO - subsidiary entity | Dec 14, 2020 | Buy | $50.79 | 6,000 | 304,740 | 6,000 | Dec 16, 2020, 06:17 PM |
| Stevens Glenn Henry | CEO - subsidiary entity | Dec 16, 2020 | Buy | $53.19 | 3,000 | 159,570 | 15,000 | Dec 16, 2020, 06:17 PM |
| Stevens Glenn Henry | CEO - subsidiary entity | Dec 15, 2020 | Buy | $52.44 | 6,000 | 314,640 | 12,000 | Dec 16, 2020, 06:17 PM |
| Rotsztain Diego | Chief Governance/Legal Officer | Dec 14, 2020 | Buy | $50.92 | 981 | 49,957 | 981 | Dec 16, 2020, 06:00 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Dec 09, 2020 | Sale | $65.00 | 5,234 | 340,218 | 277,768 | Dec 11, 2020, 05:07 PM |
| BRANCH SCOTT J | Director | Dec 08, 2020 | Sale | $64.20 | 4,390 | 281,838 | 391,487 | Dec 08, 2020, 04:21 PM |
| BRANCH SCOTT J | Director | Dec 07, 2020 | Sale | $64.26 | 13,223 | 849,722 | 395,877 | Dec 08, 2020, 04:21 PM |
| BRANCH SCOTT J | Director | Dec 04, 2020 | Sale | $64.20 | 7,387 | 474,245 | 409,100 | Dec 08, 2020, 04:21 PM |
| BRANCH SCOTT J | Director | Nov 24, 2020 | Sale | $62.20 | 25,000 | 1,554,887 | 416,487 | Nov 25, 2020, 04:34 PM |
| PARTHEMORE ERIC | Director | Nov 24, 2020 | Sale | $62.10 | 265 | 16,456 | 18,077 | Nov 25, 2020, 04:34 PM |
| PARTHEMORE ERIC | Director | Nov 18, 2020 | Sale | $62.00 | 1,528 | 94,736 | 18,342 | Nov 18, 2020, 06:04 PM |
| PARTHEMORE ERIC | Director | Nov 16, 2020 | Sale | $62.00 | 400 | 24,800 | 19,870 | Nov 18, 2020, 06:04 PM |
| PARTHEMORE ERIC | Director | Nov 11, 2020 | Sale | $62.00 | 307 | 19,034 | 20,270 | Nov 13, 2020, 04:29 PM |
| BRANCH SCOTT J | Director | Nov 10, 2020 | Sale | $60.40 | 5,038 | 304,296 | 441,487 | Nov 12, 2020, 04:39 PM |
| FOWLER JOHN MOORE | Director | Oct 22, 2020 | Sale | $56.10 | 992 | 55,651 | 57,977 | Oct 23, 2020, 05:05 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 16, 2020 | Sale | $54.97 | 4,444 | 244,300 | 424,515 | Oct 19, 2020, 05:00 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 14, 2020 | Sale | $54.60 | 5,326 | 290,775 | 428,959 | Oct 15, 2020, 04:51 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 13, 2020 | Sale | $54.79 | 1,194 | 65,414 | 434,285 | Oct 15, 2020, 04:51 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Oct 14, 2020 | Option Exercise | $25.91 | 10,000 | 259,100 | 117,962 | Oct 15, 2020, 04:51 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 12, 2020 | Sale | $54.32 | 11,891 | 645,949 | 435,479 | Oct 13, 2020, 04:42 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 09, 2020 | Sale | $54.11 | 11,207 | 606,386 | 447,370 | Oct 13, 2020, 04:42 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 07, 2020 | Sale | $53.44 | 10,000 | 534,446 | 478,577 | Oct 09, 2020, 04:43 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 08, 2020 | Sale | $53.58 | 20,000 | 1,071,578 | 458,577 | Oct 09, 2020, 04:43 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 06, 2020 | Sale | $53.82 | 10,902 | 586,775 | 488,577 | Oct 07, 2020, 04:43 PM |
| RADZIWILL JOHN | Chairman of the Board | Oct 05, 2020 | Sale | $52.00 | 19,892 | 1,034,350 | 499,479 | Oct 07, 2020, 04:43 PM |
| RADZIWILL JOHN | Chairman of the Board | Sep 30, 2020 | Sale | $51.80 | 6,907 | 357,763 | 519,371 | Oct 01, 2020, 04:30 PM |
| RADZIWILL JOHN | Chairman of the Board | Sep 29, 2020 | Sale | $51.02 | 6,487 | 330,953 | 526,278 | Oct 01, 2020, 04:30 PM |
| FOWLER JOHN MOORE | Director | Oct 01, 2020 | Sale | $51.00 | 1,042 | 53,142 | 58,969 | Oct 01, 2020, 04:29 PM |
| BRANCH SCOTT J | Director | Aug 25, 2020 | Sale | $60.40 | 19,962 | 1,205,705 | 453,625 | Aug 26, 2020, 04:24 PM |
| Harrod Patricia Marie | Chief Risk Officer | Aug 11, 2020 | Sale | $59.24 | 2,863 | 169,609 | 11,134 | Aug 13, 2020, 04:42 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jul 06, 2020 | Sale | $59.21 | 5,043 | 298,611 | 107,962 | Jul 08, 2020, 04:14 PM |
| Henze Daryl K | Retired Director | Jul 06, 2020 | Sale | $59.00 | 1,000 | 59,000 | 21,080 | Jul 08, 2020, 04:14 PM |
| PARTHEMORE ERIC | Director | Jun 08, 2020 | Sale | $57.03 | 2,500 | 142,584 | 20,188 | Jun 10, 2020, 04:51 PM |
| Nguyen Xuong | Chief Operating Officer | Jun 08, 2020 | Option Exercise | $25.91 | 20,000 | 518,200 | 58,823 | Jun 10, 2020, 04:51 PM |
| Nguyen Xuong | Chief Operating Officer | Jun 08, 2020 | Sale | $57.18 | 20,000 | 1,143,680 | 38,823 | Jun 10, 2020, 04:51 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jun 05, 2020 | Sale | $55.17 | 5,506 | 303,769 | 113,005 | Jun 08, 2020, 05:03 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jun 03, 2020 | Sale | $52.23 | 4,458 | 232,841 | 118,511 | Jun 05, 2020, 04:57 PM |
| PARTHEMORE ERIC | Director | Jun 04, 2020 | Sale | $52.02 | 2,500 | 130,042 | 22,688 | Jun 05, 2020, 04:57 PM |
| BRANCH SCOTT J | Director | Mar 10, 2020 | Option Exercise | $25.91 | 60,000 | 1,554,600 | 82,009 | Mar 12, 2020, 05:06 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Feb 19, 2020 | Sale | $52.23 | 292 | 15,251 | 122,969 | Feb 21, 2020, 04:07 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jan 22, 2020 | Sale | $52.23 | 250 | 13,057 | 123,261 | Jan 23, 2020, 04:47 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jan 09, 2020 | Sale | $49.93 | 3,805 | 189,965 | 123,511 | Jan 10, 2020, 04:16 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jan 08, 2020 | Sale | $49.92 | 1,195 | 59,655 | 127,316 | Jan 10, 2020, 04:16 PM |
| Nguyen Xuong | Chief Operating Officer | Dec 18, 2019 | Sale | $50.02 | 300 | 15,007 | 38,823 | Dec 19, 2019, 04:54 PM |
| Nguyen Xuong | Chief Operating Officer | Dec 17, 2019 | Sale | $50.25 | 1,700 | 85,427 | 39,123 | Dec 19, 2019, 04:54 PM |
| PARTHEMORE ERIC | Director | Sep 17, 2019 | Sale | $43.79 | 260 | 11,386 | 22,989 | Sep 18, 2019, 05:06 PM |
| Lyon Charles M | Executive VP - subsidiary | Sep 11, 2019 | Sale | $42.97 | 3,973 | 170,706 | 26,618 | Sep 12, 2019, 04:27 PM |
| Lyon Charles M | Executive VP - subsidiary | Sep 12, 2019 | Sale | $43.84 | 3,468 | 152,037 | 23,150 | Sep 12, 2019, 04:27 PM |
| BRANCH SCOTT J | Director | Aug 27, 2019 | Buy | $36.63 | 5,853 | 214,395 | 376,000 | Aug 27, 2019, 08:13 PM |
| BRANCH SCOTT J | Director | Aug 23, 2019 | Buy | $37.25 | 5,000 | 186,250 | 370,147 | Aug 27, 2019, 08:13 PM |
| Harrod Patricia Marie | Chief Risk Officer | Aug 27, 2019 | Sale | $36.97 | 1,091 | 40,329 | 8,153 | Aug 27, 2019, 04:42 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Aug 19, 2019 | Sale | $38.20 | 6,067 | 231,764 | 118,802 | Aug 20, 2019, 04:36 PM |
| FOWLER JOHN MOORE | Director | Mar 28, 2019 | Buy | $38.75 | 500 | 19,375 | 2,100 | Mar 29, 2019, 04:24 PM |
| BRANCH SCOTT J | Director | Dec 20, 2018 | Option Exercise | $35.92 | 15,000 | 538,800 | 498,410 | Dec 21, 2018, 04:31 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Dec 14, 2018 | Option Exercise | $37.56 | 750 | 28,170 | 317,452 | Dec 17, 2018, 08:05 PM |
| sephton brian T | Chief Legal Officer | Jul 18, 2018 | Sale | $55.00 | 5,000 | 275,000 | 108,137 | Jul 19, 2018, 04:53 PM |
| Dunaway William J | Chief Financial Officer | Jul 18, 2018 | Sale | $55.00 | 2,500 | 137,500 | 31,058 | Jul 19, 2018, 04:53 PM |
| Anderson Paul G | Director | Jul 05, 2018 | Sale | $51.54 | 1,320 | 68,034 | 17,867 | Jul 05, 2018, 04:42 PM |
| Anderson Paul G | Director | Jul 03, 2018 | Sale | $51.92 | 5,000 | 259,594 | 19,187 | Jul 05, 2018, 04:42 PM |
| Anderson Paul G | Director | Jul 02, 2018 | Sale | $51.56 | 3,000 | 154,680 | 24,187 | Jul 05, 2018, 04:42 PM |
| BRANCH SCOTT J | Director | Jun 29, 2018 | Option Exercise | $51.71 | 28,000 | 1,447,880 | 513,410 | Jul 02, 2018, 04:38 PM |
| FOWLER JOHN MOORE | Director | Jun 26, 2018 | Option Exercise | $51.98 | 200 | 10,396 | 55,065 | Jun 27, 2018, 04:32 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jun 18, 2018 | Sale | $52.00 | 19,215 | 999,180 | 299,139 | Jun 18, 2018, 05:00 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jun 14, 2018 | Sale | $52.00 | 10,585 | 550,420 | 318,354 | Jun 18, 2018, 05:00 PM |
| BRANCH SCOTT J | Director | Jun 18, 2018 | Sale | $52.18 | 44,884 | 2,341,868 | 541,410 | Jun 18, 2018, 05:00 PM |
| BRANCH SCOTT J | Director | Jun 14, 2018 | Sale | $52.00 | 1,516 | 78,832 | 586,294 | Jun 18, 2018, 05:00 PM |
| Schroeder Aaron | Chief Accounting Officer | Jun 14, 2018 | Option Exercise | $20.54 | 1,000 | 20,540 | 11,133 | Jun 14, 2018, 05:06 PM |
| Schroeder Aaron | Chief Accounting Officer | Jun 14, 2018 | Sale | $51.80 | 1,000 | 51,804 | 10,133 | Jun 14, 2018, 05:06 PM |
| FOWLER JOHN MOORE | Director | Jun 11, 2018 | Option Exercise | $51.45 | 500 | 25,725 | 55,265 | Jun 13, 2018, 04:37 PM |
| Nguyen Xuong | Chief Operating Officer | Jun 13, 2018 | Sale | $50.50 | 1,500 | 75,754 | 22,548 | Jun 13, 2018, 04:36 PM |
| BRANCH SCOTT J | Director | Jun 06, 2018 | Sale | $52.00 | 3,600 | 187,200 | 587,810 | Jun 08, 2018, 05:47 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Jun 06, 2018 | Sale | $52.00 | 200 | 10,400 | 328,939 | Jun 08, 2018, 05:47 PM |
| Henze Daryl K | Director | Jun 07, 2018 | Sale | $51.34 | 1,046 | 53,706 | 20,368 | Jun 08, 2018, 05:46 PM |
| Dunaway William J | Chief Financial Officer | May 31, 2018 | Sale | $50.00 | 1,000 | 50,001 | 33,558 | Jun 01, 2018, 04:23 PM |
| Harrod Patricia Marie | Chief Risk Officer | May 22, 2018 | Option Exercise | $20.54 | 2,000 | 41,080 | 7,007 | May 23, 2018, 04:36 PM |
| Harrod Patricia Marie | Chief Risk Officer | May 22, 2018 | Sale | $48.75 | 2,000 | 97,507 | 5,007 | May 23, 2018, 04:36 PM |
| Lyon Charles M | Executive VP - subsidiary | May 11, 2018 | Sale | $46.57 | 19,622 | 913,889 | 19,950 | May 15, 2018, 07:23 PM |
| BRANCH SCOTT J | Director | May 09, 2018 | Sale | $47.00 | 24,196 | 1,137,299 | 617,214 | May 11, 2018, 06:07 PM |
| BRANCH SCOTT J | Director | May 10, 2018 | Sale | $47.03 | 25,804 | 1,213,518 | 591,410 | May 11, 2018, 06:07 PM |
| Smith Philip Andrew | CEO - subsidiary entity | May 10, 2018 | Sale | $47.06 | 1,100 | 51,761 | 114,278 | May 11, 2018, 06:06 PM |
| Smith Philip Andrew | CEO - subsidiary entity | May 09, 2018 | Sale | $47.03 | 3,260 | 153,310 | 115,378 | May 11, 2018, 06:06 PM |
| Dunaway William J | Chief Financial Officer | Mar 13, 2018 | Sale | $46.37 | 750 | 34,780 | 34,558 | Mar 14, 2018, 06:55 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Mar 12, 2018 | Sale | $45.64 | 1,433 | 65,405 | 118,638 | Mar 13, 2018, 04:18 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Mar 09, 2018 | Sale | $45.62 | 1,567 | 71,487 | 120,071 | Mar 13, 2018, 04:18 PM |
| sephton brian T | Chief Legal Officer | Mar 09, 2018 | Sale | $45.00 | 2,500 | 112,500 | 115,537 | Mar 12, 2018, 04:08 PM |
| BRANCH SCOTT J | Director | Mar 07, 2018 | Sale | $43.12 | 50,000 | 2,156,240 | 641,410 | Mar 08, 2018, 05:03 PM |
| sephton brian T | Chief Legal Officer | Mar 06, 2018 | Sale | $42.50 | 2,500 | 106,250 | 118,037 | Mar 07, 2018, 04:30 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jan 17, 2018 | Sale | $44.10 | 5,000 | 220,520 | 121,638 | Jan 18, 2018, 04:37 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jan 03, 2018 | Sale | $42.79 | 2,773 | 118,660 | 126,638 | Jan 04, 2018, 05:29 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Jan 02, 2018 | Sale | $42.80 | 2,551 | 109,171 | 129,411 | Jan 04, 2018, 05:29 PM |
| Schroeder Aaron | Chief Accounting Officer | Dec 28, 2017 | Option Exercise | $19.24 | 1,000 | 19,240 | 10,594 | Dec 29, 2017, 04:18 PM |
| Schroeder Aaron | Chief Accounting Officer | Dec 28, 2017 | Sale | $42.63 | 461 | 19,651 | 10,133 | Dec 29, 2017, 04:18 PM |
| BRANCH SCOTT J | Director | Dec 22, 2017 | Option Exercise | $41.75 | 6,800 | 283,900 | 690,401 | Dec 26, 2017, 04:33 PM |
| Nguyen Xuong | Chief Operating Officer | Dec 15, 2017 | Option Exercise | $41.89 | 548 | 22,956 | 24,048 | Dec 18, 2017, 05:45 PM |
| Nguyen Xuong | Chief Operating Officer | Dec 14, 2017 | Option Exercise | $41.00 | 1,883 | 77,203 | 24,596 | Dec 18, 2017, 05:45 PM |
| Schroeder Aaron | Chief Accounting Officer | Dec 15, 2017 | Option Exercise | $41.89 | 200 | 8,378 | 8,666 | Dec 18, 2017, 05:44 PM |
| Schroeder Aaron | Chief Accounting Officer | Dec 14, 2017 | Option Exercise | $41.00 | 378 | 15,498 | 8,866 | Dec 18, 2017, 05:44 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 14, 2017 | Option Exercise | $41.00 | 2,846 | 116,686 | 133,259 | Dec 18, 2017, 05:44 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 15, 2017 | Option Exercise | $41.89 | 1,297 | 54,331 | 131,962 | Dec 18, 2017, 05:44 PM |
| Maurer Mark Lowry | CEO - subsidiary entity | Dec 14, 2017 | Option Exercise | $41.00 | 388 | 15,908 | 4,550 | Dec 18, 2017, 05:44 PM |
| Harrod Patricia Marie | Chief Risk Officer | Dec 15, 2017 | Option Exercise | $41.89 | 140 | 5,865 | 5,007 | Dec 18, 2017, 05:43 PM |
| Harrod Patricia Marie | Chief Risk Officer | Dec 14, 2017 | Option Exercise | $41.00 | 300 | 12,300 | 5,147 | Dec 18, 2017, 05:43 PM |
| Dunaway William J | Chief Financial Officer | Dec 15, 2017 | Option Exercise | $41.89 | 582 | 24,380 | 35,308 | Dec 18, 2017, 05:43 PM |
| Dunaway William J | Chief Financial Officer | Dec 14, 2017 | Option Exercise | $41.00 | 1,652 | 67,732 | 35,890 | Dec 18, 2017, 05:43 PM |
| sephton brian T | Chief Legal Officer | Dec 14, 2017 | Option Exercise | $41.00 | 1,254 | 51,414 | 123,401 | Dec 18, 2017, 05:43 PM |
| sephton brian T | Chief Legal Officer | Dec 15, 2017 | Option Exercise | $41.89 | 464 | 19,437 | 122,937 | Dec 18, 2017, 05:43 PM |
| Lyon Charles M | Executive VP - subsidiary | Dec 14, 2017 | Option Exercise | $41.00 | 1,495 | 61,295 | 39,572 | Dec 18, 2017, 05:43 PM |
| Maurer Mark Lowry | CEO - subsidiary entity | Aug 29, 2017 | Option Exercise | $19.24 | 3,000 | 57,720 | 6,596 | Aug 30, 2017, 04:39 PM |
| Maurer Mark Lowry | CEO - subsidiary entity | Aug 29, 2017 | Sale | $35.57 | 1,658 | 58,970 | 4,938 | Aug 30, 2017, 04:39 PM |
| Harrod Patricia Marie | Chief Risk Officer | Aug 04, 2017 | Option Exercise | $38.47 | 667 | 25,659 | 5,447 | Aug 07, 2017, 05:13 PM |
| Harrod Patricia Marie | Chief Risk Officer | Aug 04, 2017 | Option Exercise | $19.24 | 1,333 | 25,647 | 6,114 | Aug 07, 2017, 05:13 PM |
| FOWLER JOHN MOORE | Director | Jun 21, 2017 | Option Exercise | $37.80 | 400 | 15,120 | 54,234 | Jun 23, 2017, 04:42 PM |
| BRANCH SCOTT J | Director | Dec 20, 2016 | Option Exercise | $41.42 | 20,000 | 828,400 | 696,105 | Dec 21, 2016, 04:33 PM |
| BRANCH SCOTT J | Director | Dec 19, 2016 | Option Exercise | $25.91 | 40,000 | 1,036,400 | 716,105 | Dec 21, 2016, 04:33 PM |
| Anderson Paul G | Director | Dec 20, 2016 | Option Exercise | $41.42 | 6,000 | 248,520 | 25,082 | Dec 21, 2016, 04:32 PM |
| Anderson Paul G | Director | Dec 20, 2016 | Sale | $41.62 | 13,377 | 556,741 | 31,082 | Dec 21, 2016, 04:32 PM |
| Anderson Paul G | Director | Dec 19, 2016 | Sale | $41.65 | 623 | 25,949 | 44,459 | Dec 21, 2016, 04:32 PM |
| Schroeder Aaron | Chief Accounting Officer | Dec 21, 2016 | Sale | $41.62 | 2,000 | 83,234 | 9,244 | Dec 21, 2016, 04:32 PM |
| Schroeder Aaron | Chief Accounting Officer | Dec 21, 2016 | Option Exercise | $19.24 | 2,000 | 38,480 | 11,244 | Dec 21, 2016, 04:32 PM |
| Lyon Charles M | Executive VP - subsidiary | Dec 19, 2016 | Sale | $41.64 | 5,819 | 242,303 | 41,067 | Dec 20, 2016, 04:39 PM |
| Wilde Malcolm James | CEO-subsidiary (retired) | Dec 16, 2016 | Option Exercise | $23.55 | 20,000 | 471,000 | 62,698 | Dec 19, 2016, 05:43 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Nov 23, 2016 | Sale | $40.00 | 4,272 | 170,880 | 129,814 | Nov 23, 2016, 04:20 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Nov 22, 2016 | Sale | $40.00 | 3,628 | 145,120 | 134,086 | Nov 23, 2016, 04:20 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Nov 21, 2016 | Sale | $40.00 | 2,100 | 84,000 | 137,714 | Nov 23, 2016, 04:20 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Nov 23, 2016 | Sale | $40.00 | 22,825 | 913,009 | 318,046 | Nov 23, 2016, 04:20 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Nov 22, 2016 | Sale | $40.00 | 6,675 | 267,000 | 340,871 | Nov 23, 2016, 04:20 PM |
| OCONNOR SEAN MICHAEL | CEO/President | Nov 21, 2016 | Sale | $40.00 | 500 | 20,000 | 347,546 | Nov 23, 2016, 04:20 PM |
| BRANCH SCOTT J | Director | Nov 22, 2016 | Sale | $40.00 | 23,634 | 945,360 | 684,424 | Nov 23, 2016, 04:20 PM |
| BRANCH SCOTT J | Director | Nov 21, 2016 | Sale | $40.00 | 11,756 | 470,240 | 708,058 | Nov 23, 2016, 04:20 PM |
| BRANCH SCOTT J | Director | Nov 23, 2016 | Sale | $40.00 | 14,610 | 584,400 | 669,814 | Nov 23, 2016, 04:20 PM |
| Wilde Malcolm James | CEO-subsidiary (retired) | Nov 22, 2016 | Sale | $40.00 | 3,923 | 156,920 | 47,359 | Nov 23, 2016, 04:20 PM |
| Wilde Malcolm James | CEO-subsidiary (retired) | Nov 21, 2016 | Sale | $40.00 | 1,416 | 56,640 | 51,282 | Nov 23, 2016, 04:20 PM |
| Wilde Malcolm James | CEO-subsidiary (retired) | Nov 23, 2016 | Sale | $40.00 | 4,661 | 186,440 | 42,698 | Nov 23, 2016, 04:20 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Sep 06, 2016 | Sale | $37.01 | 1,300 | 48,108 | 139,814 | Sep 07, 2016, 06:09 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Aug 30, 2016 | Sale | $37.02 | 3,700 | 136,974 | 141,114 | Sep 01, 2016, 04:45 PM |
| Wilde Malcolm James | CEO - subsidiary entity | Aug 30, 2016 | Sale | $36.50 | 10,000 | 365,000 | 52,698 | Aug 30, 2016, 05:59 PM |
| Wilde Malcolm James | CEO - subsidiary entity | Aug 19, 2016 | Sale | $35.13 | 10,000 | 351,343 | 62,698 | Aug 23, 2016, 04:32 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Aug 12, 2016 | Sale | $32.61 | 3,254 | 106,099 | 144,814 | Aug 12, 2016, 05:34 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Aug 11, 2016 | Sale | $32.58 | 3,254 | 106,002 | 148,068 | Aug 12, 2016, 05:34 PM |
| Anderson Paul G | Director | Jun 02, 2016 | Option Exercise | $18.64 | 10,070 | 187,705 | 45,082 | Jun 06, 2016, 04:39 PM |
| Dunaway William J | Chief Financial Officer | May 31, 2016 | Option Exercise | $18.64 | 9,735 | 181,460 | 40,230 | Jun 02, 2016, 04:09 PM |
| Dunaway William J | Chief Financial Officer | May 31, 2016 | Sale | $27.92 | 7,628 | 212,988 | 32,602 | Jun 02, 2016, 04:09 PM |
| Harrod Patricia Marie | Chief Risk Officer | May 11, 2016 | Sale | $26.42 | 909 | 24,016 | 2,311 | May 11, 2016, 08:09 PM |
| Schroeder Aaron | Chief Accounting Officer | Mar 17, 2016 | Option Exercise | $18.64 | 2,000 | 37,280 | 9,486 | Mar 21, 2016, 04:34 PM |
| Schroeder Aaron | Chief Accounting Officer | Mar 17, 2016 | Sale | $27.17 | 1,656 | 44,994 | 7,830 | Mar 21, 2016, 04:34 PM |
| Lyon Charles M | Executive VP - subsidiary | Feb 12, 2016 | Buy | $25.18 | 6,000 | 151,106 | 40,595 | Feb 12, 2016, 05:10 PM |
| Lyon Charles M | Executive VP - subsidiary | Feb 12, 2016 | Buy | $25.18 | 6,000 | 151,106 | 40,595 | Feb 12, 2016, 04:17 PM |
| Anderson Paul G | Director | Dec 10, 2015 | Option Exercise | $18.64 | 6,330 | 117,991 | 47,395 | Dec 14, 2015, 09:26 AM |
| Anderson Paul G | Director | Dec 10, 2015 | Sale | $36.11 | 6,330 | 228,547 | 41,065 | Dec 14, 2015, 09:26 AM |
| Anderson Paul G | Director | Dec 07, 2015 | Option Exercise | $18.64 | 2,600 | 48,464 | 43,665 | Dec 09, 2015, 08:44 AM |
| Anderson Paul G | Director | Dec 07, 2015 | Sale | $36.11 | 2,600 | 93,896 | 41,065 | Dec 09, 2015, 08:44 AM |
| Anderson Paul G | Director | Dec 02, 2015 | Option Exercise | $18.64 | 2,700 | 50,328 | 43,765 | Dec 03, 2015, 05:30 PM |
| Anderson Paul G | Director | Dec 02, 2015 | Sale | $36.01 | 2,700 | 97,236 | 41,065 | Dec 03, 2015, 05:30 PM |
| Anderson Paul G | Director | Nov 27, 2015 | Option Exercise | $18.64 | 1,940 | 36,162 | 43,005 | Dec 01, 2015, 04:32 PM |
| Anderson Paul G | Director | Nov 30, 2015 | Option Exercise | $18.64 | 100 | 1,864 | 41,165 | Dec 01, 2015, 04:32 PM |
| Anderson Paul G | Director | Nov 27, 2015 | Sale | $36.04 | 2,040 | 73,522 | 41,065 | Dec 01, 2015, 04:32 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Nov 06, 2015 | Sale | $34.06 | 5,000 | 170,300 | 139,454 | Nov 10, 2015, 04:25 PM |
| Anderson Paul G | Director | Nov 06, 2015 | Option Exercise | $18.64 | 20,000 | 372,800 | 61,065 | Nov 09, 2015, 04:25 PM |
| Anderson Paul G | Director | Nov 06, 2015 | Sale | $33.00 | 20,000 | 660,000 | 41,065 | Nov 09, 2015, 04:25 PM |
| KREHBIEL BRUCE | Director | Oct 26, 2015 | Option Exercise | $18.64 | 6,500 | 121,160 | 23,704 | Oct 27, 2015, 05:00 PM |
| KREHBIEL BRUCE | Director | Oct 23, 2015 | Option Exercise | $18.64 | 6,480 | 120,787 | 23,684 | Oct 27, 2015, 05:00 PM |
| KREHBIEL BRUCE | Director | Oct 26, 2015 | Sale | $31.70 | 6,500 | 206,069 | 17,204 | Oct 27, 2015, 05:00 PM |
| KREHBIEL BRUCE | Director | Oct 23, 2015 | Sale | $31.80 | 6,480 | 206,032 | 17,204 | Oct 27, 2015, 05:00 PM |
| Anderson Paul G | Director | Oct 13, 2015 | Option Exercise | $18.64 | 20,000 | 372,800 | 61,065 | Oct 14, 2015, 05:13 PM |
| Anderson Paul G | Director | Oct 13, 2015 | Sale | $30.00 | 20,000 | 600,000 | 41,065 | Oct 14, 2015, 05:13 PM |
| sephton brian T | Chief Legal Officer | Sep 16, 2015 | Buy | $25.99 | 4,000 | 103,960 | 10,800 | Sep 16, 2015, 05:25 PM |
| sephton brian T | Chief Legal Officer | Sep 16, 2015 | Sale | $25.99 | 8,000 | 207,920 | 110,907 | Sep 16, 2015, 05:25 PM |
| sephton brian T | Chief Legal Officer | Aug 27, 2015 | Sale | $26.04 | 4,548 | 118,433 | 118,907 | Aug 28, 2015, 06:02 PM |
| sephton brian T | Chief Legal Officer | Aug 24, 2015 | Sale | $26.15 | 15,000 | 392,294 | 123,455 | Aug 25, 2015, 05:49 PM |
| sephton brian T | Chief Legal Officer | Aug 17, 2015 | Option Exercise | $28.40 | 4,000 | 113,600 | 128,455 | Aug 19, 2015, 04:51 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Aug 14, 2015 | Sale | $29.01 | 5,000 | 145,053 | 144,454 | Aug 18, 2015, 05:14 PM |
| Lyon Charles M | Executive VP - subsidiary | Aug 11, 2015 | Buy | $28.08 | 2,319 | 65,121 | 24,500 | Aug 12, 2015, 04:27 PM |
| Lyon Charles M | Executive VP - subsidiary | Aug 10, 2015 | Buy | $28.16 | 3,500 | 98,562 | 22,181 | Aug 12, 2015, 04:27 PM |
| OCONNOR SEAN MICHAEL | CEO | May 11, 2015 | Sale | $35.00 | 30,000 | 1,050,000 | 326,642 | May 13, 2015, 05:22 PM |
| BRANCH SCOTT J | President | May 11, 2015 | Sale | $35.00 | 30,000 | 1,050,000 | 720,410 | May 13, 2015, 05:22 PM |
| PARTHEMORE ERIC | Director | May 08, 2015 | Option Exercise | $18.64 | 9,912 | 184,760 | 25,314 | May 11, 2015, 04:58 PM |
| PARTHEMORE ERIC | Director | May 08, 2015 | Sale | $34.00 | 9,912 | 337,008 | 15,402 | May 11, 2015, 04:58 PM |
| BRANCH SCOTT J | President | Apr 07, 2015 | Sale | $30.00 | 12,008 | 360,240 | 750,410 | Apr 07, 2015, 04:42 PM |
| BRANCH SCOTT J | President | Apr 06, 2015 | Sale | $30.00 | 17,992 | 539,760 | 762,418 | Apr 07, 2015, 04:42 PM |
| BRANCH SCOTT J | President | Mar 12, 2015 | Sale | $30.20 | 10,000 | 301,975 | 780,410 | Mar 16, 2015, 04:17 PM |
| Schroeder Aaron | Group Controller | Mar 12, 2015 | Option Exercise | $18.64 | 1,392 | 25,947 | 6,930 | Mar 16, 2015, 04:17 PM |
| Schroeder Aaron | Group Controller | Mar 12, 2015 | Sale | $30.27 | 1,392 | 42,131 | 5,538 | Mar 16, 2015, 04:17 PM |
| sephton brian T | Chief Legal Officer | Mar 11, 2015 | Sale | $29.55 | 3,815 | 112,733 | 132,455 | Mar 11, 2015, 04:33 PM |
| OCONNOR SEAN MICHAEL | CEO | Mar 05, 2015 | Sale | $29.00 | 20,000 | 580,000 | 356,642 | Mar 06, 2015, 04:35 PM |
| Anderson Paul G | Director | Mar 04, 2015 | Option Exercise | $18.64 | 32,900 | 613,256 | 73,965 | Mar 05, 2015, 04:25 PM |
| Anderson Paul G | Director | Mar 03, 2015 | Option Exercise | $18.64 | 1,050 | 19,572 | 42,115 | Mar 05, 2015, 04:25 PM |
| Anderson Paul G | Director | Mar 05, 2015 | Option Exercise | $18.64 | 1,050 | 19,572 | 42,115 | Mar 05, 2015, 04:25 PM |
| Anderson Paul G | Director | Mar 03, 2015 | Sale | $27.87 | 1,050 | 29,266 | 41,065 | Mar 05, 2015, 04:25 PM |
| Anderson Paul G | Director | Mar 05, 2015 | Sale | $27.63 | 1,050 | 29,011 | 41,065 | Mar 05, 2015, 04:25 PM |
| Anderson Paul G | Director | Mar 04, 2015 | Sale | $27.48 | 32,900 | 903,931 | 41,065 | Mar 05, 2015, 04:25 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 19, 2015 | Sale | $25.00 | 4,012 | 100,300 | 376,642 | Feb 20, 2015, 04:24 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 18, 2015 | Sale | $25.00 | 15,988 | 399,700 | 380,654 | Feb 20, 2015, 04:24 PM |
| Nguyen Xuong | CEO - subsidiary entity | Feb 19, 2015 | Sale | $25.00 | 1,900 | 47,500 | 7,484 | Feb 20, 2015, 04:24 PM |
| Nguyen Xuong | CEO - subsidiary entity | Feb 18, 2015 | Sale | $25.00 | 2,125 | 53,125 | 9,384 | Feb 20, 2015, 04:24 PM |
| Lyon Charles M | CEO - subsidiary entity | Feb 13, 2015 | Buy | $23.31 | 7,080 | 165,059 | 18,681 | Feb 17, 2015, 09:34 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 12, 2015 | Option Exercise | $22.97 | 1,200 | 27,564 | 416,642 | Feb 17, 2015, 08:51 AM |
| OCONNOR SEAN MICHAEL | CEO | Feb 13, 2015 | Sale | $23.00 | 20,000 | 460,000 | 396,642 | Feb 17, 2015, 08:51 AM |
| Lyon Charles M | CEO - subsidiary entity | Dec 31, 2014 | Buy | $20.54 | 452 | 9,284 | 8,633 | Jan 05, 2015, 04:45 PM |
| OCONNOR SEAN MICHAEL | CEO | Dec 19, 2014 | Sale | $20.04 | 28,967 | 580,531 | 418,842 | Dec 22, 2014, 05:17 PM |
| OCONNOR SEAN MICHAEL | CEO | Dec 18, 2014 | Sale | $20.00 | 1,033 | 20,660 | 447,809 | Dec 22, 2014, 05:17 PM |
| BRANCH SCOTT J | President | Dec 19, 2014 | Option Exercise | $20.12 | 2,500 | 50,300 | 365,147 | Dec 22, 2014, 05:17 PM |
| sephton brian T | Chief Legal Officer | Dec 17, 2014 | Option Exercise | $20.00 | 6,000 | 120,000 | 136,270 | Dec 17, 2014, 05:09 PM |
| OCONNOR SEAN MICHAEL | CEO | Dec 16, 2014 | Option Exercise | $19.01 | 1,300 | 24,713 | 448,842 | Dec 17, 2014, 05:09 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 15, 2014 | Sale | $18.27 | 10,000 | 182,668 | 153,118 | Dec 17, 2014, 05:08 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Dec 16, 2014 | Sale | $18.91 | 3,664 | 69,289 | 150,899 | Dec 17, 2014, 05:08 PM |
| RADZIWILL JOHN | Chairman of the Board | Dec 04, 2014 | Option Exercise | $6.99 | 5,000 | 34,925 | 20,224 | Dec 05, 2014, 04:53 PM |
| OCONNOR SEAN MICHAEL | CEO | Nov 26, 2014 | Option Exercise | $18.08 | 39,950 | 722,296 | 437,070 | Dec 01, 2014, 04:29 PM |
| OCONNOR SEAN MICHAEL | CEO | Nov 26, 2014 | Option Exercise | $7.28 | 80,000 | 582,560 | 477,020 | Dec 01, 2014, 04:29 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Nov 19, 2014 | Option Exercise | $17.11 | 13,664 | 233,791 | 154,839 | Nov 21, 2014, 04:24 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Nov 19, 2014 | Option Exercise | $6.62 | 35,315 | 233,785 | 168,503 | Nov 21, 2014, 04:24 PM |
| sephton brian T | Chief Legal Officer | Nov 20, 2014 | Option Exercise | $17.07 | 25,782 | 440,099 | 137,186 | Nov 21, 2014, 04:24 PM |
| sephton brian T | Chief Legal Officer | Nov 20, 2014 | Option Exercise | $6.62 | 60,000 | 397,200 | 162,968 | Nov 21, 2014, 04:24 PM |
| FOWLER JOHN MOORE | Director | Sep 15, 2014 | Option Exercise | $6.35 | 1,666 | 10,579 | 48,835 | Sep 16, 2014, 04:29 PM |
| FOWLER JOHN MOORE | Director | Jun 13, 2014 | Sale | $19.00 | 1,600 | 30,400 | 1,600 | Jun 16, 2014, 04:44 PM |
| Nessler Peter J. Jr. | Formerly Executive VP | Apr 28, 2014 | Option Exercise | $18.64 | 4,425 | 82,482 | 4,425 | Apr 29, 2014, 05:35 PM |
| BRANCH SCOTT J | President | Mar 14, 2014 | Option Exercise | $7.28 | 80,000 | 582,560 | 777,338 | Mar 18, 2014, 05:12 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Mar 06, 2014 | Buy | $18.49 | 220 | 4,068 | 128,293 | Mar 10, 2014, 04:36 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Mar 07, 2014 | Option Exercise | $6.62 | 4,895 | 32,405 | 133,188 | Mar 10, 2014, 04:36 PM |
| Nessler Peter J. Jr. | Formerly Executive VP | Feb 13, 2014 | Sale | $17.77 | 14,667 | 260,628 | 0 | Feb 14, 2014, 04:41 PM |
| VEITIA DIEGO J | Director | Jan 17, 2014 | Sale | $18.76 | 20,209 | 379,202 | 0 | Jan 21, 2014, 04:12 PM |
| VEITIA DIEGO J | Director | Jan 16, 2014 | Sale | $18.64 | 3,333 | 62,123 | 6,835 | Jan 21, 2014, 04:12 PM |
| VEITIA DIEGO J | Director | Jan 16, 2014 | Option Exercise | $6.35 | 3,333 | 21,165 | 10,168 | Jan 21, 2014, 04:12 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Nov 22, 2013 | Option Exercise | $15.56 | 11,445 | 178,084 | 124,174 | Nov 25, 2013, 04:36 PM |
| Hanley George P. | Former CEO - subsidiary entity | Oct 16, 2013 | Sale | $20.61 | 43,332 | 892,964 | 68,757 | Oct 18, 2013, 06:11 PM |
| Smith Philip Andrew | CEO - subsidiary entity | Oct 11, 2013 | Option Exercise | $6.62 | 10,000 | 66,200 | 112,729 | Oct 11, 2013, 04:35 PM |
| OCONNOR SEAN MICHAEL | CEO | Sep 10, 2013 | Sale | $20.00 | 11,449 | 228,980 | 390,847 | Sep 10, 2013, 05:33 PM |
| OCONNOR SEAN MICHAEL | CEO | Aug 26, 2013 | Sale | $20.00 | 3,551 | 71,020 | 402,296 | Aug 28, 2013, 04:04 PM |
| OCONNOR SEAN MICHAEL | CEO | Jul 17, 2013 | Sale | $18.52 | 76 | 1,408 | 405,847 | Jul 17, 2013, 04:19 PM |
| OCONNOR SEAN MICHAEL | CEO | Jul 16, 2013 | Sale | $18.50 | 14,924 | 276,095 | 405,923 | Jul 17, 2013, 04:19 PM |
| OCONNOR SEAN MICHAEL | CEO | Jul 11, 2013 | Sale | $18.00 | 1,769 | 31,842 | 420,847 | Jul 15, 2013, 05:49 PM |
| OCONNOR SEAN MICHAEL | CEO | Jun 13, 2013 | Sale | $18.00 | 179 | 3,222 | 422,616 | Jun 13, 2013, 05:34 PM |
| OCONNOR SEAN MICHAEL | CEO | Jun 12, 2013 | Sale | $18.00 | 764 | 13,752 | 422,795 | Jun 13, 2013, 05:34 PM |
| OCONNOR SEAN MICHAEL | CEO | Jun 11, 2013 | Sale | $18.00 | 2,100 | 37,800 | 423,559 | Jun 13, 2013, 05:34 PM |
| OCONNOR SEAN MICHAEL | CEO | Jun 10, 2013 | Sale | $18.00 | 4,182 | 75,276 | 425,659 | Jun 10, 2013, 06:37 PM |
| OCONNOR SEAN MICHAEL | CEO | Jun 07, 2013 | Sale | $18.00 | 212 | 3,816 | 429,841 | Jun 10, 2013, 06:37 PM |
| OCONNOR SEAN MICHAEL | CEO | Jun 06, 2013 | Sale | $18.00 | 794 | 14,292 | 430,053 | Jun 10, 2013, 06:37 PM |
| FRIEDMAN JACK | Former Director | May 03, 2013 | Buy | $17.25 | 200 | 3,450 | 20,498 | May 03, 2013, 04:21 PM |
| FOWLER JOHN MOORE | Director | Mar 20, 2013 | Sale | $17.25 | 2,000 | 34,503 | 3,200 | Mar 22, 2013, 09:11 AM |
| Tivy James William | Formerly Group Controller | Mar 14, 2013 | Sale | $17.40 | 4,335 | 75,416 | 126 | Mar 14, 2013, 04:32 PM |
| OCONNOR SEAN MICHAEL | CEO | Mar 08, 2013 | Sale | $17.79 | 3,100 | 55,162 | 430,847 | Mar 11, 2013, 05:31 PM |
| OCONNOR SEAN MICHAEL | CEO | Mar 07, 2013 | Sale | $17.76 | 7,200 | 127,889 | 433,947 | Mar 11, 2013, 05:31 PM |
| OCONNOR SEAN MICHAEL | CEO | Mar 05, 2013 | Sale | $17.79 | 2,600 | 46,259 | 411,347 | Mar 06, 2013, 04:58 PM |
| OCONNOR SEAN MICHAEL | CEO | Mar 06, 2013 | Sale | $17.75 | 200 | 3,550 | 411,147 | Mar 06, 2013, 04:58 PM |
| OCONNOR SEAN MICHAEL | CEO | Mar 04, 2013 | Option Exercise | $2.50 | 36,993 | 92,483 | 413,947 | Mar 06, 2013, 04:58 PM |
| OCONNOR SEAN MICHAEL | CEO | Mar 06, 2013 | Option Exercise | $2.50 | 30,000 | 75,000 | 441,147 | Mar 06, 2013, 04:58 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 27, 2013 | Sale | $18.50 | 9 | 167 | 376,954 | Feb 27, 2013, 05:46 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 26, 2013 | Sale | $18.50 | 100 | 1,850 | 376,954 | Feb 27, 2013, 05:46 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 25, 2013 | Sale | $18.50 | 1,272 | 23,532 | 376,954 | Feb 27, 2013, 05:46 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 25, 2013 | Option Exercise | $2.50 | 1,272 | 3,180 | 378,226 | Feb 27, 2013, 05:46 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 27, 2013 | Option Exercise | $2.50 | 9 | 23 | 376,963 | Feb 27, 2013, 05:46 PM |
| OCONNOR SEAN MICHAEL | CEO | Feb 26, 2013 | Option Exercise | $2.50 | 100 | 250 | 377,054 | Feb 27, 2013, 05:46 PM |
| Tivy James William | Formerly Group Controller | Dec 28, 2012 | Sale | $17.28 | 1,780 | 30,757 | 4,461 | Dec 28, 2012, 04:20 PM |
| FOWLER JOHN MOORE | Director | Dec 20, 2012 | Option Exercise | $6.35 | 3,334 | 21,171 | 41,013 | Dec 21, 2012, 04:42 PM |
| VEITIA DIEGO J | Director | Sep 24, 2012 | Sale | $19.37 | 4,405 | 85,309 | 5,238 | Sep 24, 2012, 04:56 PM |
| VEITIA DIEGO J | Director | Sep 21, 2012 | Sale | $19.26 | 10,000 | 192,558 | 9,643 | Sep 24, 2012, 04:56 PM |
| MILLER ROBERT A | Retired Director | Jul 05, 2012 | Sale | $19.86 | 117 | 2,324 | 25,630 | Jul 09, 2012, 08:29 AM |
| MILLER ROBERT A | Retired Director | Jul 06, 2012 | Sale | $19.26 | 2,179 | 41,968 | 23,451 | Jul 09, 2012, 08:29 AM |
| OCONNOR SEAN MICHAEL | CEO | Apr 09, 2012 | Option Exercise | $2.50 | 44,126 | 110,315 | 371,678 | Apr 10, 2012, 04:11 PM |
| VEITIA DIEGO J | Director | Mar 29, 2012 | Sale | $21.34 | 5,432 | 115,914 | 20,176 | Apr 02, 2012, 04:32 PM |
| VEITIA DIEGO J | Director | Mar 22, 2012 | Sale | $21.84 | 1,875 | 40,959 | 25,608 | Mar 23, 2012, 04:39 PM |
| VEITIA DIEGO J | Director | Mar 21, 2012 | Sale | $22.03 | 2,517 | 55,449 | 27,483 | Mar 23, 2012, 04:39 PM |
| VEITIA DIEGO J | Director | Mar 15, 2012 | Sale | $22.26 | 5,000 | 111,287 | 35,000 | Mar 19, 2012, 04:21 PM |
| VEITIA DIEGO J | Director | Mar 16, 2012 | Sale | $22.25 | 5,000 | 111,266 | 30,000 | Mar 19, 2012, 04:21 PM |
| BRANCH SCOTT J | COO | Mar 13, 2012 | Sale | $22.13 | 10,500 | 232,331 | 685,889 | Mar 14, 2012, 04:05 PM |
| BRANCH SCOTT J | COO | Mar 13, 2012 | Option Exercise | $2.50 | 53,374 | 133,435 | 696,389 | Mar 14, 2012, 04:05 PM |
| Bolte David Albert | Secretary | Mar 12, 2012 | Buy | $22.12 | 100 | 2,212 | 600 | Mar 13, 2012, 05:00 PM |
| Bolte David Albert | Secretary | Mar 12, 2012 | Buy | $22.10 | 400 | 8,840 | 8,704 | Mar 13, 2012, 05:00 PM |
| VEITIA DIEGO J | Director | Mar 09, 2012 | Sale | $22.25 | 5,000 | 111,238 | 40,000 | Mar 13, 2012, 05:00 PM |
| VEITIA DIEGO J | Director | Mar 08, 2012 | Sale | $22.00 | 5,501 | 121,022 | 45,000 | Mar 09, 2012, 04:14 PM |
| VEITIA DIEGO J | Director | Mar 07, 2012 | Sale | $22.00 | 9,499 | 208,978 | 50,501 | Mar 09, 2012, 04:14 PM |
| MILLER ROBERT A | Retired Director | Mar 06, 2012 | Option Exercise | $6.35 | 3,333 | 21,165 | 25,747 | Mar 08, 2012, 04:17 PM |
| FOWLER JOHN MOORE | Director | Mar 05, 2012 | Option Exercise | $21.95 | 200 | 4,390 | 5,200 | Mar 06, 2012, 04:40 PM |
| VEITIA DIEGO J | Director | Mar 05, 2012 | Sale | $22.05 | 10,000 | 220,546 | 60,000 | Mar 06, 2012, 04:40 PM |
| FOWLER JOHN MOORE | Director | Mar 02, 2012 | Option Exercise | $22.60 | 200 | 4,520 | 5,000 | Mar 05, 2012, 04:12 PM |
| MILLER ROBERT A | Retired director | Mar 02, 2012 | Sale | $22.47 | 6,175 | 138,736 | 22,414 | Mar 05, 2012, 04:12 PM |
| VEITIA DIEGO J | Director | Feb 27, 2012 | Sale | $23.26 | 10,000 | 232,624 | 70,000 | Feb 28, 2012, 04:30 PM |
| FOWLER JOHN MOORE | Director | Feb 22, 2012 | Option Exercise | $22.83 | 500 | 11,413 | 4,800 | Feb 24, 2012, 08:58 AM |
| FOWLER JOHN MOORE | Director | Feb 15, 2012 | Option Exercise | $22.62 | 2,300 | 52,026 | 35,208 | Feb 17, 2012, 04:14 PM |
| FOWLER JOHN MOORE | Director | Feb 14, 2012 | Option Exercise | $22.75 | 2,200 | 50,048 | 32,908 | Feb 15, 2012, 04:28 PM |
| FOWLER JOHN MOORE | Director | Feb 13, 2012 | Option Exercise | $22.86 | 500 | 11,430 | 4,300 | Feb 15, 2012, 04:28 PM |
| FOWLER JOHN MOORE | Director | Feb 13, 2012 | Option Exercise | $22.73 | 500 | 11,363 | 30,708 | Feb 15, 2012, 04:28 PM |
| McMurtry Nancey M. | VP | Feb 09, 2012 | Option Exercise | $1.40 | 3,000 | 4,200 | 48,909 | Feb 10, 2012, 04:09 PM |
| VEITIA DIEGO J | Director | Jan 06, 2012 | Sale | $23.90 | 1,550 | 37,045 | 16,660 | Jan 09, 2012, 04:48 PM |
| RADZIWILL JOHN | Director | Dec 22, 2011 | Buy | $23.00 | 666 | 15,318 | 282,437 | Dec 23, 2011, 04:05 PM |
| McMurtry Nancey M. | VP | Dec 22, 2011 | Sale | $24.34 | 3,000 | 73,022 | 45,909 | Dec 23, 2011, 04:05 PM |
| Wheeler Justin Rex | Director | Dec 21, 2011 | Option Exercise | $23.74 | 5,500 | 130,570 | 5,957 | Dec 22, 2011, 04:58 PM |
| sephton brian T | Chief Legal Officer | Dec 21, 2011 | Option Exercise | $23.74 | 1,600 | 37,984 | 98,476 | Dec 22, 2011, 04:57 PM |
| MILLER ROBERT A | Director | Dec 20, 2011 | Option Exercise | $6.35 | 1,667 | 10,585 | 30,061 | Dec 22, 2011, 04:57 PM |
| MILLER ROBERT A | Director | Dec 20, 2011 | Sale | $23.27 | 1,667 | 38,787 | 28,394 | Dec 22, 2011, 04:57 PM |
| VEITIA DIEGO J | Director | Sep 29, 2011 | Sale | $21.41 | 5,000 | 107,058 | 80,000 | Sep 30, 2011, 05:48 PM |
| VEITIA DIEGO J | Director | Sep 28, 2011 | Sale | $21.02 | 5,000 | 105,120 | 85,000 | Sep 29, 2011, 04:15 PM |
| VEITIA DIEGO J | Director | Sep 27, 2011 | Sale | $22.16 | 5,000 | 110,790 | 18,008 | Sep 28, 2011, 04:44 PM |
| Tivy James William | Group Controller | Jun 16, 2011 | Sale | $23.45 | 2,000 | 46,899 | 6,241 | Jun 20, 2011, 04:21 PM |
| Bolte David Albert | Secretary | Jun 14, 2011 | Buy | $24.47 | 1,000 | 24,466 | 7,777 | Jun 15, 2011, 04:10 PM |
| Tivy James William | Group Controller | Jun 10, 2011 | Sale | $24.22 | 875 | 21,195 | 8,241 | Jun 14, 2011, 04:34 PM |
| VEITIA DIEGO J | Director | Jun 09, 2011 | Sale | $24.70 | 700 | 17,290 | 23,600 | Jun 10, 2011, 04:07 PM |
| VEITIA DIEGO J | Director | Jun 10, 2011 | Sale | $24.62 | 800 | 19,696 | 22,800 | Jun 10, 2011, 04:07 PM |
| McMurtry Nancey M. | VP | Jun 06, 2011 | Sale | $25.02 | 1,000 | 25,020 | 48,909 | Jun 07, 2011, 01:09 PM |
| McMurtry Nancey M. | VP | May 17, 2011 | Sale | $25.08 | 2,000 | 50,158 | 49,909 | May 19, 2011, 04:52 PM |
| VEITIA DIEGO J | Director | May 17, 2011 | Sale | $25.20 | 615 | 15,498 | 24,300 | May 18, 2011, 05:08 PM |
| VEITIA DIEGO J | Director | May 16, 2011 | Sale | $24.79 | 385 | 9,544 | 24,915 | May 18, 2011, 05:08 PM |
| OCONNOR SEAN MICHAEL | CEO | May 13, 2011 | Option Exercise | $25.14 | 800 | 20,112 | 310,587 | May 16, 2011, 05:10 PM |
| Tivy James William | Group Controller | Mar 04, 2011 | Sale | $25.30 | 1,976 | 49,993 | 9,116 | Mar 07, 2011, 04:41 PM |
| VEITIA DIEGO J | Director | Feb 28, 2011 | Sale | $24.25 | 1,000 | 24,253 | 25,108 | Mar 02, 2011, 04:36 PM |
| Bolte David Albert | Secretary | Feb 16, 2011 | Buy | $24.78 | 350 | 8,674 | 500 | Feb 18, 2011, 04:16 PM |
| Bolte David Albert | Secretary | Feb 16, 2011 | Buy | $24.89 | 150 | 3,733 | 809 | Feb 18, 2011, 04:16 PM |
| BRANCH SCOTT J | COO | Feb 09, 2011 | Option Exercise | $2.50 | 25,000 | 62,500 | 625,070 | Feb 11, 2011, 04:26 PM |
| OCONNOR SEAN MICHAEL | CEO | Jan 28, 2011 | Option Exercise | $2.50 | 20,000 | 50,000 | 311,387 | Feb 01, 2011, 01:10 PM |
| MILLER ROBERT A | Director | Jan 24, 2011 | Option Exercise | $0.90 | 1,000 | 900 | 27,820 | Jan 26, 2011, 09:05 AM |
| MILLER ROBERT A | Director | Jan 24, 2011 | Sale | $24.43 | 1,000 | 24,430 | 26,820 | Jan 26, 2011, 09:05 AM |
| OCONNOR SEAN MICHAEL | CEO | Jan 14, 2011 | Sale | $25.00 | 14,284 | 357,100 | 291,387 | Jan 14, 2011, 04:26 PM |
| OCONNOR SEAN MICHAEL | CEO | Jan 12, 2011 | Sale | $25.00 | 716 | 17,900 | 305,671 | Jan 14, 2011, 04:26 PM |
| McMurtry Nancey M. | VP | Dec 17, 2010 | Sale | $23.27 | 500 | 11,636 | 43,209 | Dec 20, 2010, 06:14 PM |
| Tivy James William | Group Controller | Nov 30, 2010 | Option Exercise | $23.49 | 280 | 6,577 | 11,092 | Dec 10, 2010, 05:43 PM |
| McMurtry Nancey M. | VP | Nov 30, 2010 | Option Exercise | $23.49 | 280 | 6,577 | 43,709 | Dec 10, 2010, 05:42 PM |
| RADZIWILL JOHN | Director | Nov 22, 2010 | Buy | $23.00 | 2,001 | 46,023 | 6,118 | Nov 24, 2010, 12:51 PM |
| FOWLER JOHN MOORE | Director | Oct 19, 2010 | Buy | $21.68 | 1,000 | 21,680 | 3,000 | Oct 21, 2010, 04:04 PM |
| MILLER ROBERT A | Director | Oct 18, 2010 | Option Exercise | $0.90 | 1,000 | 900 | 27,707 | Oct 20, 2010, 04:03 PM |
| MILLER ROBERT A | Director | Oct 18, 2010 | Sale | $21.99 | 1,000 | 21,986 | 26,707 | Oct 20, 2010, 04:03 PM |
| MILLER ROBERT A | Director | Oct 18, 2010 | Sale | $21.99 | 1,000 | 21,986 | 25,707 | Oct 19, 2010, 04:23 PM |
| VEITIA DIEGO J | Chairman | Oct 08, 2010 | Sale | $19.96 | 2,579 | 51,476 | 89,495 | Oct 12, 2010, 04:27 PM |
| VEITIA DIEGO J | Chairman | Oct 07, 2010 | Sale | $19.71 | 2,116 | 41,698 | 92,190 | Oct 12, 2010, 04:27 PM |
| VEITIA DIEGO J | Chairman | Oct 07, 2010 | Sale | $19.85 | 1,500 | 29,782 | 24,807 | Oct 12, 2010, 04:27 PM |
| MILLER ROBERT A | Director | Sep 23, 2010 | Option Exercise | $0.90 | 1,000 | 900 | 27,707 | Sep 24, 2010, 04:40 PM |
| MILLER ROBERT A | Director | Sep 23, 2010 | Sale | $18.20 | 1,000 | 18,202 | 26,707 | Sep 24, 2010, 04:40 PM |
Load More Insider Transactions
Buy
Sale
Option Exercise
| Owner | Relationship | Date | Value($) |
| Smith Philip Andrew | Subsidiary CEO | 03/21/2024 | 488,141 |
| BRANCH SCOTT J | Retired Director | 03/13/2024 | 504,697 |
| Lyon Charles M | Subsidiary President and CEO | 03/12/2024 | 203,610 |
| Lyon Charles M | Subsidiary President and CEO | 03/12/2024 | 458,285 |
| Lyon Charles M | Subsidiary President and CEO | 03/11/2024 | 235,740 |
| Lyon Charles M | Subsidiary President and CEO | 03/08/2024 | 310,140 |
| Lyon Charles M | Subsidiary President and CEO | 03/08/2024 | 708,428 |
| Lyon Charles M | Subsidiary President and CEO | 03/11/2024 | 535,225 |
| Lyon Charles M | Subsidiary President and CEO | 03/06/2024 | 275,340 |
| Lyon Charles M | Subsidiary President and CEO | 03/07/2024 | 209,940 |
| Lyon Charles M | Subsidiary President and CEO | 03/07/2024 | 479,970 |
| Lyon Charles M | Subsidiary President and CEO | 03/06/2024 | 626,099 |
| Lyon Charles M | Subsidiary President and CEO | 03/05/2024 | 454,230 |
| Lyon Charles M | Subsidiary President and CEO | 03/04/2024 | 145,560 |
| Lyon Charles M | Subsidiary President and CEO | 03/05/2024 | 1,039,829 |
| Lyon Charles M | Subsidiary President and CEO | 03/04/2024 | 332,949 |
| Lyon Charles M | President and CEO - subsidiary | 02/12/0024 | 109,770 |
| Lyon Charles M | President and CEO - subsidiary | 02/13/2024 | 466,560 |
| Lyon Charles M | President and CEO - subsidiary | 02/12/2024 | 246,203 |
| Lyon Charles M | President and CEO - subsidiary | 02/13/2024 | 1,012,530 |
| BRANCH SCOTT J | Director | 02/07/2024 | 479,005 |
| BRANCH SCOTT J | Director | 01/08/2024 | 525,644 |
| PARTHEMORE ERIC | Director | 12/22/2023 | 160,515 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/19/2023 | 591,457 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/20/2023 | 592,208 |
| PARTHEMORE ERIC | Director | 12/14/2023 | 145,520 |
| Maurer Mark Lowry | Chief Risk Officer | 12/13/2023 | 336,060 |
| FOWLER JOHN MOORE | Director | 12/01/2023 | 36,390 |
| PARTHEMORE ERIC | Director | 11/14/2023 | 7,446 |
| Smith Philip Andrew | CEO - subsidiary entity | 09/20/2023 | 283,694 |
| Lyon Charles M | President and CEO - subsidiary | 09/15/2023 | 220,498 |
| Lyon Charles M | President and CEO - subsidiary | 09/14/2023 | 710,380 |
| FOWLER JOHN MOORE | Director | 09/01/2023 | 28,179 |
| FOWLER JOHN MOORE | Director | 06/13/2023 | 27,000 |
| RADZIWILL JOHN | Chairman of the Board | 06/09/2023 | 83,594 |
| RADZIWILL JOHN | Chairman of the Board | 06/08/2023 | 87,250 |
| Smith Philip Andrew | CEO - subsidiary entity | 05/22/2023 | 296,697 |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | 05/09/2023 | 252,530 |
| Dunaway William J | Chief Financial Officer | 03/08/2023 | 17,386 |
| Schroeder Aaron | Chief Accounting Officer | 03/08/2023 | 146,349 |
| Smith Philip Andrew | CEO - subsidiary entity | 03/01/2023 | 305,935 |
| FOWLER JOHN MOORE | Director | 03/01/2023 | 30,159 |
| Dunaway William J | Chief Financial Officer | 02/15/2023 | 98,316 |
| Dunaway William J | Chief Financial Officer | 02/10/2023 | 75,895 |
| Dunaway William J | Chief Financial Officer | 02/08/2023 | 26,602 |
| Maurer Mark Lowry | Chief Risk Officer | 12/30/2022 | 417,361 |
| Dunaway William J | Chief Financial Officer | 12/21/2022 | 276,515 |
| Dunaway William J | Chief Financial Officer | 12/15/2022 | 55,170 |
| Maurer Mark Lowry | Chief Risk Officer | 12/06/2022 | 460,766 |
| FOWLER JOHN MOORE | Director | 12/01/2022 | 30,375 |
| OCONNOR SEAN MICHAEL | CEO/President | 11/22/2022 | 1,884,887 |
| OCONNOR SEAN MICHAEL | CEO/President | 11/15/2022 | 137,739 |
| Nguyen Xuong | Chief Operating Officer | 08/12/2022 | 950,000 |
| Lyon Charles M | President/CEO - subsidiary | 08/11/2022 | 415,922 |
| Lyon Charles M | President/CEO - subsidiary | 08/10/2022 | 323,948 |
| BRANCH SCOTT J | Director | 07/29/2022 | 2,201,750 |
| BRANCH SCOTT J | Director | 07/28/2022 | 2,175,500 |
| OCONNOR SEAN MICHAEL | CEO/President | 07/28/2022 | 1,113,262 |
| OCONNOR SEAN MICHAEL | CEO/President | 07/27/2022 | 529,363 |
| OCONNOR SEAN MICHAEL | CEO/President | 07/26/2022 | 51,198 |
| OCONNOR SEAN MICHAEL | CEO/President | 07/19/2022 | 25,546 |
| BRANCH SCOTT J | Director | 07/19/2022 | 1,260,906 |
| Nguyen Xuong | Chief Operating Officer | 07/12/2022 | 561,680 |
| Smith Philip Andrew | CEO - subsidiary entity | 07/11/2022 | 345,568 |
| Nguyen Xuong | Chief Operating Officer | 07/01/2022 | 900,960 |
| Nguyen Xuong | Chief Operating Officer | 06/08/2022 | 324,781 |
| PARTHEMORE ERIC | Director | 06/07/2022 | 200,000 |
| BRANCH SCOTT J | Director | 06/06/2022 | 1,186,050 |
| Smith Philip Andrew | CEO - subsidiary entity | 04/18/2022 | 320,932 |
| Perkins Abigail H | Chief Information Officer | 03/11/2022 | 53,805 |
| Perkins Abigail H | Chief Information Officer | 03/11/2022 | 17,947 |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | 03/09/2022 | 177,069 |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | 03/08/2022 | 173,622 |
| Rotsztain Diego | Chief Governance/Legal Officer | 03/08/2022 | 49,682 |
| Smith Philip Andrew | CEO - subsidiary entity | 02/14/2022 | 440,890 |
| Schroeder Aaron | Chief Accounting Officer | 02/08/2022 | 139,895 |
| PARTHEMORE ERIC | Director | 02/08/2022 | 362,500 |
| Perkins Abigail H | Chief Information Officer | 12/22/2021 | 74,124 |
| Rotsztain Diego | Chief Governance/Legal Officer | 12/20/2021 | 49,989 |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | 12/20/2021 | 86,217 |
| Maurer Mark Lowry | Chief Risk Officer | 12/15/2021 | 242,632 |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | 12/10/2021 | 149,789 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/10/2021 | 194,325 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/09/2021 | 194,325 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/10/2021 | 449,341 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/09/2021 | 462,299 |
| Dunaway William J | Chief Financial Officer | 12/10/2021 | 345,432 |
| Dunaway William J | Chief Financial Officer | 12/10/2021 | 798,756 |
| Dunaway William J | Chief Financial Officer | 12/09/2021 | 345,432 |
| Dunaway William J | Chief Financial Officer | 12/08/2021 | 345,536 |
| Dunaway William J | Chief Financial Officer | 12/09/2021 | 821,744 |
| Dunaway William J | Chief Financial Officer | 12/08/2021 | 848,078 |
| Thamodaran Dhamu R. | Director | 12/09/2021 | 315,250 |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | 12/06/2021 | 160,051 |
| Thamodaran Dhamu R. | Director | 12/03/2021 | 306,250 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/02/2021 | 129,550 |
| Rotsztain Diego | Chief Governance/Legal Officer | 12/02/2021 | 75,294 |
| Smith Philip Andrew | CEO - subsidiary entity | 11/03/2021 | 216,006 |
| Harrod Patricia Marie | Retired Officer | 10/26/2021 | 300,044 |
| Dunaway William J | Chief Financial Officer | 10/21/2021 | 92,836 |
| Dunaway William J | Chief Financial Officer | 10/21/2021 | 250,901 |
| Dunaway William J | Chief Financial Officer | 10/18/2021 | 150,848 |
| Dunaway William J | Chief Financial Officer | 10/18/2021 | 407,546 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/15/2021 | 28,656 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/14/2021 | 87,446 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/15/2021 | 54,958 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/14/2021 | 167,097 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/13/2021 | 99,106 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/12/2021 | 79,518 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/12/2021 | 150,134 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/13/2021 | 186,564 |
| Dunaway William J | Chief Financial Officer | 10/08/2021 | 104,547 |
| Dunaway William J | Chief Financial Officer | 10/08/2021 | 282,450 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/11/2021 | 95,867 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/08/2021 | 109,988 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/07/2021 | 203,393 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/11/2021 | 181,752 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/08/2021 | 211,083 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/07/2021 | 387,445 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/06/2021 | 234,226 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/05/2021 | 502,654 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/05/2021 | 927,041 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/06/2021 | 437,370 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/01/2021 | 133,981 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/04/2021 | 401,216 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/04/2021 | 738,078 |
| OCONNOR SEAN MICHAEL | CEO/President | 10/01/2021 | 247,665 |
| Smith Philip Andrew | CEO - subsidiary entity | 09/24/2021 | 259,100 |
| OCONNOR SEAN MICHAEL | CEO/President | 09/10/2021 | 47,882 |
| OCONNOR SEAN MICHAEL | CEO/President | 09/09/2021 | 357,739 |
| OCONNOR SEAN MICHAEL | CEO/President | 09/10/2021 | 90,100 |
| OCONNOR SEAN MICHAEL | CEO/President | 09/09/2021 | 680,000 |
| OCONNOR SEAN MICHAEL | CEO/President | 09/10/2021 | 47,545 |
| OCONNOR SEAN MICHAEL | CEO/President | 09/09/2021 | 754,111 |
| OCONNOR SEAN MICHAEL | CEO/President | 09/10/2021 | 90,100 |
| OCONNOR SEAN MICHAEL | CEO/President | 09/09/2021 | 1,315,207 |
| Dunaway William J | Chief Financial Officer | 08/31/2021 | 169,970 |
| Dunaway William J | Chief Financial Officer | 08/31/2021 | 459,200 |
| Schroeder Aaron | Chief Accounting Officer | 08/31/2021 | 70,000 |
| Smith Philip Andrew | CEO - subsidiary entity | 07/27/2021 | 259,100 |
| Dunaway William J | Chief Financial Officer | 06/16/2021 | 362,740 |
| Dunaway William J | Chief Financial Officer | 06/15/2021 | 155,460 |
| Dunaway William J | Chief Financial Officer | 06/16/2021 | 912,198 |
| Dunaway William J | Chief Financial Officer | 06/15/2021 | 398,041 |
| Lyon Charles M | Executive VP - subsidiary | 05/21/2021 | 1,116,831 |
| OCONNOR SEAN MICHAEL | CEO/President | 05/20/2021 | 73,869 |
| OCONNOR SEAN MICHAEL | CEO/President | 05/18/2021 | 475,630 |
| OCONNOR SEAN MICHAEL | CEO/President | 05/20/2021 | 143,814 |
| OCONNOR SEAN MICHAEL | CEO/President | 05/18/2021 | 914,823 |
| Smith Philip Andrew | CEO - subsidiary entity | 05/18/2021 | 406,062 |
| Smith Philip Andrew | CEO - subsidiary entity | 05/19/2021 | 8,421 |
| Smith Philip Andrew | CEO - subsidiary entity | 05/19/2021 | 22,831 |
| Smith Philip Andrew | CEO - subsidiary entity | 05/18/2021 | 1,101,076 |
| FOWLER JOHN MOORE | Director | 03/29/2021 | 33,000 |
| Nguyen Xuong | Chief Operating Officer | 03/18/2021 | 1,011,345 |
| Nguyen Xuong | Chief Operating Officer | 03/18/2021 | 1,908,254 |
| Nguyen Xuong | Chief Operating Officer | 03/17/2021 | 140,173 |
| Nguyen Xuong | Chief Operating Officer | 03/17/2021 | 352,495 |
| Rotsztain Diego | Chief Governance/Legal Officer | 03/16/2021 | 95,520 |
| Stevens Glenn Henry | Head-Retail & Foreign Exchange | 03/15/2021 | 317,236 |
| Nguyen Xuong | Chief Operating Officer | 03/12/2021 | 403,082 |
| Nguyen Xuong | Chief Operating Officer | 03/12/2021 | 845,000 |
| Smith Philip Andrew | CEO - subsidiary entity | 02/22/2021 | 259,100 |
| Smith Philip Andrew | CEO - subsidiary entity | 02/22/2021 | 599,074 |
| OCONNOR SEAN MICHAEL | CEO/President | 01/19/2021 | 67,314 |
| OCONNOR SEAN MICHAEL | CEO/President | 01/15/2021 | 709,986 |
| OCONNOR SEAN MICHAEL | CEO/President | 01/19/2021 | 108,420 |
| OCONNOR SEAN MICHAEL | CEO/President | 01/15/2021 | 1,088,186 |
| OCONNOR SEAN MICHAEL | CEO/President | 12/17/2020 | 777,300 |
| Stevens Glenn Henry | CEO - subsidiary entity | 12/14/2020 | 304,740 |
| Stevens Glenn Henry | CEO - subsidiary entity | 12/16/2020 | 159,570 |
| Stevens Glenn Henry | CEO - subsidiary entity | 12/15/2020 | 314,640 |
| Rotsztain Diego | Chief Governance/Legal Officer | 12/14/2020 | 49,957 |
| OCONNOR SEAN MICHAEL | CEO/President | 12/09/2020 | 340,218 |
| BRANCH SCOTT J | Director | 12/08/2020 | 281,838 |
| BRANCH SCOTT J | Director | 12/07/2020 | 849,722 |
| BRANCH SCOTT J | Director | 12/04/2020 | 474,245 |
| BRANCH SCOTT J | Director | 11/24/2020 | 1,554,887 |
| PARTHEMORE ERIC | Director | 11/24/2020 | 16,456 |
| PARTHEMORE ERIC | Director | 11/18/2020 | 94,736 |
| PARTHEMORE ERIC | Director | 11/16/2020 | 24,800 |
| PARTHEMORE ERIC | Director | 11/11/2020 | 19,034 |
| BRANCH SCOTT J | Director | 11/10/2020 | 304,296 |
| FOWLER JOHN MOORE | Director | 10/22/2020 | 55,651 |
| RADZIWILL JOHN | Chairman of the Board | 10/16/2020 | 244,300 |
| RADZIWILL JOHN | Chairman of the Board | 10/14/2020 | 290,775 |
| RADZIWILL JOHN | Chairman of the Board | 10/13/2020 | 65,414 |
| Smith Philip Andrew | CEO - subsidiary entity | 10/14/2020 | 259,100 |
| RADZIWILL JOHN | Chairman of the Board | 10/12/2020 | 645,949 |
| RADZIWILL JOHN | Chairman of the Board | 10/09/2020 | 606,386 |
| RADZIWILL JOHN | Chairman of the Board | 10/07/2020 | 534,446 |
| RADZIWILL JOHN | Chairman of the Board | 10/08/2020 | 1,071,578 |
| RADZIWILL JOHN | Chairman of the Board | 10/06/2020 | 586,775 |
| RADZIWILL JOHN | Chairman of the Board | 10/05/2020 | 1,034,350 |
| RADZIWILL JOHN | Chairman of the Board | 09/30/2020 | 357,763 |
| RADZIWILL JOHN | Chairman of the Board | 09/29/2020 | 330,953 |
| FOWLER JOHN MOORE | Director | 10/01/2020 | 53,142 |
| BRANCH SCOTT J | Director | 08/25/2020 | 1,205,705 |
| Harrod Patricia Marie | Chief Risk Officer | 08/11/2020 | 169,609 |
| Smith Philip Andrew | CEO - subsidiary entity | 07/06/2020 | 298,611 |
| Henze Daryl K | Retired Director | 07/06/2020 | 59,000 |
| PARTHEMORE ERIC | Director | 06/08/2020 | 142,584 |
| Nguyen Xuong | Chief Operating Officer | 06/08/2020 | 518,200 |
| Nguyen Xuong | Chief Operating Officer | 06/08/2020 | 1,143,680 |
| Smith Philip Andrew | CEO - subsidiary entity | 06/05/2020 | 303,769 |
| Smith Philip Andrew | CEO - subsidiary entity | 06/03/2020 | 232,841 |
| PARTHEMORE ERIC | Director | 06/04/2020 | 130,042 |
| BRANCH SCOTT J | Director | 03/10/2020 | 1,554,600 |
| Smith Philip Andrew | CEO - subsidiary entity | 02/19/2020 | 15,251 |
| Smith Philip Andrew | CEO - subsidiary entity | 01/22/2020 | 13,057 |
| Smith Philip Andrew | CEO - subsidiary entity | 01/09/2020 | 189,965 |
| Smith Philip Andrew | CEO - subsidiary entity | 01/08/2020 | 59,655 |
| Nguyen Xuong | Chief Operating Officer | 12/18/2019 | 15,007 |
| Nguyen Xuong | Chief Operating Officer | 12/17/2019 | 85,427 |
| PARTHEMORE ERIC | Director | 09/17/2019 | 11,386 |
| Lyon Charles M | Executive VP - subsidiary | 09/11/2019 | 170,706 |
| Lyon Charles M | Executive VP - subsidiary | 09/12/2019 | 152,037 |
| BRANCH SCOTT J | Director | 08/27/2019 | 214,395 |
| BRANCH SCOTT J | Director | 08/23/2019 | 186,250 |
| Harrod Patricia Marie | Chief Risk Officer | 08/27/2019 | 40,329 |
| Smith Philip Andrew | CEO - subsidiary entity | 08/19/2019 | 231,764 |
| FOWLER JOHN MOORE | Director | 03/28/2019 | 19,375 |
| BRANCH SCOTT J | Director | 12/20/2018 | 538,800 |
| OCONNOR SEAN MICHAEL | CEO/President | 12/14/2018 | 28,170 |
| sephton brian T | Chief Legal Officer | 07/18/2018 | 275,000 |
| Dunaway William J | Chief Financial Officer | 07/18/2018 | 137,500 |
| Anderson Paul G | Director | 07/05/2018 | 68,034 |
| Anderson Paul G | Director | 07/03/2018 | 259,594 |
| Anderson Paul G | Director | 07/02/2018 | 154,680 |
| BRANCH SCOTT J | Director | 06/29/2018 | 1,447,880 |
| FOWLER JOHN MOORE | Director | 06/26/2018 | 10,396 |
| OCONNOR SEAN MICHAEL | CEO/President | 06/18/2018 | 999,180 |
| OCONNOR SEAN MICHAEL | CEO/President | 06/14/2018 | 550,420 |
| BRANCH SCOTT J | Director | 06/18/2018 | 2,341,868 |
| BRANCH SCOTT J | Director | 06/14/2018 | 78,832 |
| Schroeder Aaron | Chief Accounting Officer | 06/14/2018 | 20,540 |
| Schroeder Aaron | Chief Accounting Officer | 06/14/2018 | 51,804 |
| FOWLER JOHN MOORE | Director | 06/11/2018 | 25,725 |
| Nguyen Xuong | Chief Operating Officer | 06/13/2018 | 75,754 |
| BRANCH SCOTT J | Director | 06/06/2018 | 187,200 |
| OCONNOR SEAN MICHAEL | CEO/President | 06/06/2018 | 10,400 |
| Henze Daryl K | Director | 06/07/2018 | 53,706 |
| Dunaway William J | Chief Financial Officer | 05/31/2018 | 50,001 |
| Harrod Patricia Marie | Chief Risk Officer | 05/22/2018 | 41,080 |
| Harrod Patricia Marie | Chief Risk Officer | 05/22/2018 | 97,507 |
| Lyon Charles M | Executive VP - subsidiary | 05/11/2018 | 913,889 |
| BRANCH SCOTT J | Director | 05/09/2018 | 1,137,299 |
| BRANCH SCOTT J | Director | 05/10/2018 | 1,213,518 |
| Smith Philip Andrew | CEO - subsidiary entity | 05/10/2018 | 51,761 |
| Smith Philip Andrew | CEO - subsidiary entity | 05/09/2018 | 153,310 |
| Dunaway William J | Chief Financial Officer | 03/13/2018 | 34,780 |
| Smith Philip Andrew | CEO - subsidiary entity | 03/12/2018 | 65,405 |
| Smith Philip Andrew | CEO - subsidiary entity | 03/09/2018 | 71,487 |
| sephton brian T | Chief Legal Officer | 03/09/2018 | 112,500 |
| BRANCH SCOTT J | Director | 03/07/2018 | 2,156,240 |
| sephton brian T | Chief Legal Officer | 03/06/2018 | 106,250 |
| Smith Philip Andrew | CEO - subsidiary entity | 01/17/2018 | 220,520 |
| Smith Philip Andrew | CEO - subsidiary entity | 01/03/2018 | 118,660 |
| Smith Philip Andrew | CEO - subsidiary entity | 01/02/2018 | 109,171 |
| Schroeder Aaron | Chief Accounting Officer | 12/28/2017 | 19,240 |
| Schroeder Aaron | Chief Accounting Officer | 12/28/2017 | 19,651 |
| BRANCH SCOTT J | Director | 12/22/2017 | 283,900 |
| Nguyen Xuong | Chief Operating Officer | 12/15/2017 | 22,956 |
| Nguyen Xuong | Chief Operating Officer | 12/14/2017 | 77,203 |
| Schroeder Aaron | Chief Accounting Officer | 12/15/2017 | 8,378 |
| Schroeder Aaron | Chief Accounting Officer | 12/14/2017 | 15,498 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/14/2017 | 116,686 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/15/2017 | 54,331 |
| Maurer Mark Lowry | CEO - subsidiary entity | 12/14/2017 | 15,908 |
| Harrod Patricia Marie | Chief Risk Officer | 12/15/2017 | 5,865 |
| Harrod Patricia Marie | Chief Risk Officer | 12/14/2017 | 12,300 |
| Dunaway William J | Chief Financial Officer | 12/15/2017 | 24,380 |
| Dunaway William J | Chief Financial Officer | 12/14/2017 | 67,732 |
| sephton brian T | Chief Legal Officer | 12/14/2017 | 51,414 |
| sephton brian T | Chief Legal Officer | 12/15/2017 | 19,437 |
| Lyon Charles M | Executive VP - subsidiary | 12/14/2017 | 61,295 |
| Maurer Mark Lowry | CEO - subsidiary entity | 08/29/2017 | 57,720 |
| Maurer Mark Lowry | CEO - subsidiary entity | 08/29/2017 | 58,970 |
| Harrod Patricia Marie | Chief Risk Officer | 08/04/2017 | 25,659 |
| Harrod Patricia Marie | Chief Risk Officer | 08/04/2017 | 25,647 |
| FOWLER JOHN MOORE | Director | 06/21/2017 | 15,120 |
| BRANCH SCOTT J | Director | 12/20/2016 | 828,400 |
| BRANCH SCOTT J | Director | 12/19/2016 | 1,036,400 |
| Anderson Paul G | Director | 12/20/2016 | 248,520 |
| Anderson Paul G | Director | 12/20/2016 | 556,741 |
| Anderson Paul G | Director | 12/19/2016 | 25,949 |
| Schroeder Aaron | Chief Accounting Officer | 12/21/2016 | 83,234 |
| Schroeder Aaron | Chief Accounting Officer | 12/21/2016 | 38,480 |
| Lyon Charles M | Executive VP - subsidiary | 12/19/2016 | 242,303 |
| Wilde Malcolm James | CEO-subsidiary (retired) | 12/16/2016 | 471,000 |
| Smith Philip Andrew | CEO - subsidiary entity | 11/23/2016 | 170,880 |
| Smith Philip Andrew | CEO - subsidiary entity | 11/22/2016 | 145,120 |
| Smith Philip Andrew | CEO - subsidiary entity | 11/21/2016 | 84,000 |
| OCONNOR SEAN MICHAEL | CEO/President | 11/23/2016 | 913,009 |
| OCONNOR SEAN MICHAEL | CEO/President | 11/22/2016 | 267,000 |
| OCONNOR SEAN MICHAEL | CEO/President | 11/21/2016 | 20,000 |
| BRANCH SCOTT J | Director | 11/22/2016 | 945,360 |
| BRANCH SCOTT J | Director | 11/21/2016 | 470,240 |
| BRANCH SCOTT J | Director | 11/23/2016 | 584,400 |
| Wilde Malcolm James | CEO-subsidiary (retired) | 11/22/2016 | 156,920 |
| Wilde Malcolm James | CEO-subsidiary (retired) | 11/21/2016 | 56,640 |
| Wilde Malcolm James | CEO-subsidiary (retired) | 11/23/2016 | 186,440 |
| Smith Philip Andrew | CEO - subsidiary entity | 09/06/2016 | 48,108 |
| Smith Philip Andrew | CEO - subsidiary entity | 08/30/2016 | 136,974 |
| Wilde Malcolm James | CEO - subsidiary entity | 08/30/2016 | 365,000 |
| Wilde Malcolm James | CEO - subsidiary entity | 08/19/2016 | 351,343 |
| Smith Philip Andrew | CEO - subsidiary entity | 08/12/2016 | 106,099 |
| Smith Philip Andrew | CEO - subsidiary entity | 08/11/2016 | 106,002 |
| Anderson Paul G | Director | 06/02/2016 | 187,705 |
| Dunaway William J | Chief Financial Officer | 05/31/2016 | 181,460 |
| Dunaway William J | Chief Financial Officer | 05/31/2016 | 212,988 |
| Harrod Patricia Marie | Chief Risk Officer | 05/11/2016 | 24,016 |
| Schroeder Aaron | Chief Accounting Officer | 03/17/2016 | 37,280 |
| Schroeder Aaron | Chief Accounting Officer | 03/17/2016 | 44,994 |
| Lyon Charles M | Executive VP - subsidiary | 02/12/2016 | 151,106 |
| Lyon Charles M | Executive VP - subsidiary | 02/12/2016 | 151,106 |
| Anderson Paul G | Director | 12/10/2015 | 117,991 |
| Anderson Paul G | Director | 12/10/2015 | 228,547 |
| Anderson Paul G | Director | 12/07/2015 | 48,464 |
| Anderson Paul G | Director | 12/07/2015 | 93,896 |
| Anderson Paul G | Director | 12/02/2015 | 50,328 |
| Anderson Paul G | Director | 12/02/2015 | 97,236 |
| Anderson Paul G | Director | 11/27/2015 | 36,162 |
| Anderson Paul G | Director | 11/30/2015 | 1,864 |
| Anderson Paul G | Director | 11/27/2015 | 73,522 |
| Smith Philip Andrew | CEO - subsidiary entity | 11/06/2015 | 170,300 |
| Anderson Paul G | Director | 11/06/2015 | 372,800 |
| Anderson Paul G | Director | 11/06/2015 | 660,000 |
| KREHBIEL BRUCE | Director | 10/26/2015 | 121,160 |
| KREHBIEL BRUCE | Director | 10/23/2015 | 120,787 |
| KREHBIEL BRUCE | Director | 10/26/2015 | 206,069 |
| KREHBIEL BRUCE | Director | 10/23/2015 | 206,032 |
| Anderson Paul G | Director | 10/13/2015 | 372,800 |
| Anderson Paul G | Director | 10/13/2015 | 600,000 |
| sephton brian T | Chief Legal Officer | 09/16/2015 | 103,960 |
| sephton brian T | Chief Legal Officer | 09/16/2015 | 207,920 |
| sephton brian T | Chief Legal Officer | 08/27/2015 | 118,433 |
| sephton brian T | Chief Legal Officer | 08/24/2015 | 392,294 |
| sephton brian T | Chief Legal Officer | 08/17/2015 | 113,600 |
| Smith Philip Andrew | CEO - subsidiary entity | 08/14/2015 | 145,053 |
| Lyon Charles M | Executive VP - subsidiary | 08/11/2015 | 65,121 |
| Lyon Charles M | Executive VP - subsidiary | 08/10/2015 | 98,562 |
| OCONNOR SEAN MICHAEL | CEO | 05/11/2015 | 1,050,000 |
| BRANCH SCOTT J | President | 05/11/2015 | 1,050,000 |
| PARTHEMORE ERIC | Director | 05/08/2015 | 184,760 |
| PARTHEMORE ERIC | Director | 05/08/2015 | 337,008 |
| BRANCH SCOTT J | President | 04/07/2015 | 360,240 |
| BRANCH SCOTT J | President | 04/06/2015 | 539,760 |
| BRANCH SCOTT J | President | 03/12/2015 | 301,975 |
| Schroeder Aaron | Group Controller | 03/12/2015 | 25,947 |
| Schroeder Aaron | Group Controller | 03/12/2015 | 42,131 |
| sephton brian T | Chief Legal Officer | 03/11/2015 | 112,733 |
| OCONNOR SEAN MICHAEL | CEO | 03/05/2015 | 580,000 |
| Anderson Paul G | Director | 03/04/2015 | 613,256 |
| Anderson Paul G | Director | 03/03/2015 | 19,572 |
| Anderson Paul G | Director | 03/05/2015 | 19,572 |
| Anderson Paul G | Director | 03/03/2015 | 29,266 |
| Anderson Paul G | Director | 03/05/2015 | 29,011 |
| Anderson Paul G | Director | 03/04/2015 | 903,931 |
| OCONNOR SEAN MICHAEL | CEO | 02/19/2015 | 100,300 |
| OCONNOR SEAN MICHAEL | CEO | 02/18/2015 | 399,700 |
| Nguyen Xuong | CEO - subsidiary entity | 02/19/2015 | 47,500 |
| Nguyen Xuong | CEO - subsidiary entity | 02/18/2015 | 53,125 |
| Lyon Charles M | CEO - subsidiary entity | 02/13/2015 | 165,059 |
| OCONNOR SEAN MICHAEL | CEO | 02/12/2015 | 27,564 |
| OCONNOR SEAN MICHAEL | CEO | 02/13/2015 | 460,000 |
| Lyon Charles M | CEO - subsidiary entity | 12/31/2014 | 9,284 |
| OCONNOR SEAN MICHAEL | CEO | 12/19/2014 | 580,531 |
| OCONNOR SEAN MICHAEL | CEO | 12/18/2014 | 20,660 |
| BRANCH SCOTT J | President | 12/19/2014 | 50,300 |
| sephton brian T | Chief Legal Officer | 12/17/2014 | 120,000 |
| OCONNOR SEAN MICHAEL | CEO | 12/16/2014 | 24,713 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/15/2014 | 182,668 |
| Smith Philip Andrew | CEO - subsidiary entity | 12/16/2014 | 69,289 |
| RADZIWILL JOHN | Chairman of the Board | 12/04/2014 | 34,925 |
| OCONNOR SEAN MICHAEL | CEO | 11/26/2014 | 722,296 |
| OCONNOR SEAN MICHAEL | CEO | 11/26/2014 | 582,560 |
| Smith Philip Andrew | CEO - subsidiary entity | 11/19/2014 | 233,791 |
| Smith Philip Andrew | CEO - subsidiary entity | 11/19/2014 | 233,785 |
| sephton brian T | Chief Legal Officer | 11/20/2014 | 440,099 |
| sephton brian T | Chief Legal Officer | 11/20/2014 | 397,200 |
| FOWLER JOHN MOORE | Director | 09/15/2014 | 10,579 |
| FOWLER JOHN MOORE | Director | 06/13/2014 | 30,400 |
| Nessler Peter J. Jr. | Formerly Executive VP | 04/28/2014 | 82,482 |
| BRANCH SCOTT J | President | 03/14/2014 | 582,560 |
| Smith Philip Andrew | CEO - subsidiary entity | 03/06/2014 | 4,068 |
| Smith Philip Andrew | CEO - subsidiary entity | 03/07/2014 | 32,405 |
| Nessler Peter J. Jr. | Formerly Executive VP | 02/13/2014 | 260,628 |
| VEITIA DIEGO J | Director | 01/17/2014 | 379,202 |
| VEITIA DIEGO J | Director | 01/16/2014 | 62,123 |
| VEITIA DIEGO J | Director | 01/16/2014 | 21,165 |
| Smith Philip Andrew | CEO - subsidiary entity | 11/22/2013 | 178,084 |
| Hanley George P. | Former CEO - subsidiary entity | 10/16/2013 | 892,964 |
| Smith Philip Andrew | CEO - subsidiary entity | 10/11/2013 | 66,200 |
| OCONNOR SEAN MICHAEL | CEO | 09/10/2013 | 228,980 |
| OCONNOR SEAN MICHAEL | CEO | 08/26/2013 | 71,020 |
| OCONNOR SEAN MICHAEL | CEO | 07/17/2013 | 1,408 |
| OCONNOR SEAN MICHAEL | CEO | 07/16/2013 | 276,095 |
| OCONNOR SEAN MICHAEL | CEO | 07/11/2013 | 31,842 |
| OCONNOR SEAN MICHAEL | CEO | 06/13/2013 | 3,222 |
| OCONNOR SEAN MICHAEL | CEO | 06/12/2013 | 13,752 |
| OCONNOR SEAN MICHAEL | CEO | 06/11/2013 | 37,800 |
| OCONNOR SEAN MICHAEL | CEO | 06/10/2013 | 75,276 |
| OCONNOR SEAN MICHAEL | CEO | 06/07/2013 | 3,816 |
| OCONNOR SEAN MICHAEL | CEO | 06/06/2013 | 14,292 |
| FRIEDMAN JACK | Former Director | 05/03/2013 | 3,450 |
| FOWLER JOHN MOORE | Director | 03/20/2013 | 34,503 |
| Tivy James William | Formerly Group Controller | 03/14/2013 | 75,416 |
| OCONNOR SEAN MICHAEL | CEO | 03/08/2013 | 55,162 |
| OCONNOR SEAN MICHAEL | CEO | 03/07/2013 | 127,889 |
| OCONNOR SEAN MICHAEL | CEO | 03/05/2013 | 46,259 |
| OCONNOR SEAN MICHAEL | CEO | 03/06/2013 | 3,550 |
| OCONNOR SEAN MICHAEL | CEO | 03/04/2013 | 92,483 |
| OCONNOR SEAN MICHAEL | CEO | 03/06/2013 | 75,000 |
| OCONNOR SEAN MICHAEL | CEO | 02/27/2013 | 167 |
| OCONNOR SEAN MICHAEL | CEO | 02/26/2013 | 1,850 |
| OCONNOR SEAN MICHAEL | CEO | 02/25/2013 | 23,532 |
| OCONNOR SEAN MICHAEL | CEO | 02/25/2013 | 3,180 |
| OCONNOR SEAN MICHAEL | CEO | 02/27/2013 | 23 |
| OCONNOR SEAN MICHAEL | CEO | 02/26/2013 | 250 |
| Tivy James William | Formerly Group Controller | 12/28/2012 | 30,757 |
| FOWLER JOHN MOORE | Director | 12/20/2012 | 21,171 |
| VEITIA DIEGO J | Director | 09/24/2012 | 85,309 |
| VEITIA DIEGO J | Director | 09/21/2012 | 192,558 |
| MILLER ROBERT A | Retired Director | 07/05/2012 | 2,324 |
| MILLER ROBERT A | Retired Director | 07/06/2012 | 41,968 |
| OCONNOR SEAN MICHAEL | CEO | 04/09/2012 | 110,315 |
| VEITIA DIEGO J | Director | 03/29/2012 | 115,914 |
| VEITIA DIEGO J | Director | 03/22/2012 | 40,959 |
| VEITIA DIEGO J | Director | 03/21/2012 | 55,449 |
| VEITIA DIEGO J | Director | 03/15/2012 | 111,287 |
| VEITIA DIEGO J | Director | 03/16/2012 | 111,266 |
| BRANCH SCOTT J | COO | 03/13/2012 | 232,331 |
| BRANCH SCOTT J | COO | 03/13/2012 | 133,435 |
| Bolte David Albert | Secretary | 03/12/2012 | 2,212 |
| Bolte David Albert | Secretary | 03/12/2012 | 8,840 |
| VEITIA DIEGO J | Director | 03/09/2012 | 111,238 |
| VEITIA DIEGO J | Director | 03/08/2012 | 121,022 |
| VEITIA DIEGO J | Director | 03/07/2012 | 208,978 |
| MILLER ROBERT A | Retired Director | 03/06/2012 | 21,165 |
| FOWLER JOHN MOORE | Director | 03/05/2012 | 4,390 |
| VEITIA DIEGO J | Director | 03/05/2012 | 220,546 |
| FOWLER JOHN MOORE | Director | 03/02/2012 | 4,520 |
| MILLER ROBERT A | Retired director | 03/02/2012 | 138,736 |
| VEITIA DIEGO J | Director | 02/27/2012 | 232,624 |
| FOWLER JOHN MOORE | Director | 02/22/2012 | 11,413 |
| FOWLER JOHN MOORE | Director | 02/15/2012 | 52,026 |
| FOWLER JOHN MOORE | Director | 02/14/2012 | 50,048 |
| FOWLER JOHN MOORE | Director | 02/13/2012 | 11,430 |
| FOWLER JOHN MOORE | Director | 02/13/2012 | 11,363 |
| McMurtry Nancey M. | VP | 02/09/2012 | 4,200 |
| VEITIA DIEGO J | Director | 01/06/2012 | 37,045 |
| RADZIWILL JOHN | Director | 12/22/2011 | 15,318 |
| McMurtry Nancey M. | VP | 12/22/2011 | 73,022 |
| Wheeler Justin Rex | Director | 12/21/2011 | 130,570 |
| sephton brian T | Chief Legal Officer | 12/21/2011 | 37,984 |
| MILLER ROBERT A | Director | 12/20/2011 | 10,585 |
| MILLER ROBERT A | Director | 12/20/2011 | 38,787 |
| VEITIA DIEGO J | Director | 09/29/2011 | 107,058 |
| VEITIA DIEGO J | Director | 09/28/2011 | 105,120 |
| VEITIA DIEGO J | Director | 09/27/2011 | 110,790 |
| Tivy James William | Group Controller | 06/16/2011 | 46,899 |
| Bolte David Albert | Secretary | 06/14/2011 | 24,466 |
| Tivy James William | Group Controller | 06/10/2011 | 21,195 |
| VEITIA DIEGO J | Director | 06/09/2011 | 17,290 |
| VEITIA DIEGO J | Director | 06/10/2011 | 19,696 |
| McMurtry Nancey M. | VP | 06/06/2011 | 25,020 |
| McMurtry Nancey M. | VP | 05/17/2011 | 50,158 |
| VEITIA DIEGO J | Director | 05/17/2011 | 15,498 |
| VEITIA DIEGO J | Director | 05/16/2011 | 9,544 |
| OCONNOR SEAN MICHAEL | CEO | 05/13/2011 | 20,112 |
| Tivy James William | Group Controller | 03/04/2011 | 49,993 |
| VEITIA DIEGO J | Director | 02/28/2011 | 24,253 |
| Bolte David Albert | Secretary | 02/16/2011 | 8,674 |
| Bolte David Albert | Secretary | 02/16/2011 | 3,733 |
| BRANCH SCOTT J | COO | 02/09/2011 | 62,500 |
| OCONNOR SEAN MICHAEL | CEO | 01/28/2011 | 50,000 |
| MILLER ROBERT A | Director | 01/24/2011 | 900 |
| MILLER ROBERT A | Director | 01/24/2011 | 24,430 |
| OCONNOR SEAN MICHAEL | CEO | 01/14/2011 | 357,100 |
| OCONNOR SEAN MICHAEL | CEO | 01/12/2011 | 17,900 |
| McMurtry Nancey M. | VP | 12/17/2010 | 11,636 |
| Tivy James William | Group Controller | 11/30/2010 | 6,577 |
| McMurtry Nancey M. | VP | 11/30/2010 | 6,577 |
| RADZIWILL JOHN | Director | 11/22/2010 | 46,023 |
| FOWLER JOHN MOORE | Director | 10/19/2010 | 21,680 |
| MILLER ROBERT A | Director | 10/18/2010 | 900 |
| MILLER ROBERT A | Director | 10/18/2010 | 21,986 |
| MILLER ROBERT A | Director | 10/18/2010 | 21,986 |
| VEITIA DIEGO J | Chairman | 10/08/2010 | 51,476 |
| VEITIA DIEGO J | Chairman | 10/07/2010 | 41,698 |
| VEITIA DIEGO J | Chairman | 10/07/2010 | 29,782 |
| MILLER ROBERT A | Director | 09/23/2010 | 900 |
| MILLER ROBERT A | Director | 09/23/2010 | 18,202 |
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CHANGE IN SHARES OUTSTANDING FOR NORTHERN LIGHTS FUND TRUST IV
STOCK BUYBACKS FOR NORTHERN LIGHTS FUND TRUST IV
Period of Report
Previous Period
% Change in Shares
10-K/10-Q Filings
Quarter
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Period of Report: 12/31/2023
10-K/10-Q Filings: View
Previous Period
% Change in Shares
Quarter
09/30/2023
0.52%
1Q
06/30/2023
0.95%
2Q
03/31/2023
1.11%
3Q
12/31/2022
1.71%
4Q
09/30/2022
2.63%
5Q
06/30/2022
3.68%
6Q
03/31/2022
4.18%
7Q
12/31/2021
4.99%
8Q
09/30/2021
5.81%
9Q
06/30/2021
5.01%
10Q
03/31/2021
5.99%
11Q
12/31/2020
7.08%
12Q
09/30/2020
7.73%
13Q
06/30/2020
9.14%
14Q
03/31/2020
8.65%
15Q
12/31/2019
9.31%
16Q
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BUYBACK ANNOUNCEMENT(S) FOR NORTHERN LIGHTS FUND TRUST IV
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