Insider Trading (SEC Form 4)


Insiders are officers, directors, or significant investors. This page shows recent insider transactions for Security.

Transaction
Date
CompanyInsider Code
(see below)
Shares Post Shares Percent
Change
Share
Price
Tran
Value
Post
Value
Percent
Change
2017-11-17 FII Ceresino Gordon J (Exec. Dir., Int'l Dist.) G -5,302 183,843 -2.80
2017-11-17 FII Ceresino Gordon J (Exec. Dir., Int'l Dist.) G 5,302 28,977 22.39
2017-11-17 FII Uhlman Paul A (Vice President) A 18,500 190,466 10.76 3 55,500
2017-11-17 FII Germain Peter J (EVP, Chief Legal Officer & GC) A 20,000 78,641 34.11 3 60,000
2017-11-17 FII FISHER JOHN B (Vice President Director) A 18,500 597,527 3.20 3 55,500
2017-11-17 FII Novak Richard A (Principal Accounting Officer) A 5,000 48,719 11.44 3 15,000
2017-11-17 FII Van Meter Stephen (VP, Chief Compliance Officer) A 4,000 20,857 23.73 3 12,000
2017-11-17 FII DONAHUE THOMAS R (VP, CFO & Treasurer Director) A 18,500 1,697,202 1.10 3 55,500
2017-11-17 FII Ceresino Gordon J (Exec. Dir., Int'l Dist.) A 18,500 189,145 10.84 3 55,500
2017-11-17 BLK Smith Jeff A (Senior Managing Director) S -100 15,089 -0.66 477.54 -47,754 7,205,601 -0.66
2017-11-16 MKTX McPherson Kevin M (Global Head of Sales) M 5,000 90,929 5.82 10.93 54,650
2017-11-16 SCHW SCHWAB CHARLES R (Chairman Director 10% Owner) S -175,000 139,214,829 -0.13 44.7809 -7,836,658 6,234,165,351 -0.13
2017-11-16 MKTX McPherson Kevin M (Global Head of Sales) S -5,000 85,929 -5.50 176.6114 -883,057 15,176,041 -5.82
2017-11-16 EVR FRANKEL ADAM B (General Counsel) S -1,000 61,402 -1.60 82.60 -82,600 5,071,805 -1.63
2017-11-16 GLBR Grossman Kenneth A. (Chief Executive Officer Director) S -19,538 0 -100.00 1.2881 -25,167
2017-11-16 GLBR Grossman Kenneth A. (Chief Executive Officer Director) S -11,830 0 -100.00 1.2120 -14,338
2017-11-16 GLBR Lande Robert (Chief Financial Officer) S -13,537 0 -100.00 1.2604 -17,062
2017-11-15 SEIC BLUMENSTEIN SARAH ( Director) M 5,000 10,681 88.01 23.86 119,300
2017-11-15 LPLA Arnold Dan H. (President & CEO Director) M 3,742 238,713 1.59 27.80 104,028
2017-11-15 KKR Janetschek William J (Chief Financial Officer) G -118,862 0 -100.00
2017-11-15 MORN Needham Daniel (Pres., Investment Management) F -500 22,339 -2.19 88.81 -44,405
2017-11-15 MORN DUBINSKY JASON (Chief Financial Officer) F -1,819 17,743 -9.30 88.81 -161,545
2017-11-15 EVR FRANKEL ADAM B (General Counsel) C 1,000 62,402 1.63
2017-11-15 MORN Rothschild Tricia (Chief Product Officer) A 1,688 9,340 22.06
2017-11-15 MORN DUBINSKY JASON (Chief Financial Officer) A 11,259 11,259
2017-11-15 MORN DUBINSKY JASON (Chief Financial Officer) A 2,674 13,933 23.75
2017-11-15 MORN DUBINSKY JASON (Chief Financial Officer) A 5,629 19,562 40.40
2017-11-15 SCHW SCHWAB CHARLES R (Chairman Director 10% Owner) S -175,000 139,389,829 -0.13 44.5278 -7,792,365 6,206,722,442 -0.13
2017-11-15 APO TIGER GLOBAL MANAGEMENT LLC ( 10% Owner) Coleman Charles P III ( 10% Owner) SHLEIFER SCOTT L ( 10% Owner) Fixel Lee ( 10% Owner) P 129,286 34,222,807 0.38 29.117 3,764,420 996,465,471 0.38
2017-11-15 LPLA Arnold Dan H. (President & CEO Director) S -3,742 234,971 -1.57 48.54 -181,637 11,405,489 -1.59
2017-11-15 SF HANSER FREDERICK O ( Director) S -3,000 30,255 -9.02 51.96 -155,880 1,572,050 -9.92
2017-11-15 SEIC BLUMENSTEIN SARAH ( Director) S -5,000 5,681 -46.81 65.33 -326,650 371,140 -88.01
2017-11-14 WETF SALERNO FRANK ( Director) M 62,000 215,947 40.27 2.15 133,300
2017-11-14 MKTX Steinhardt John ( Director) M 4,225 27,839 17.89 9.72 41,067
2017-11-14 BLK Goldstein Robert L. (Chief Operating Officer) G -325 48,904 -0.66
2017-11-14 HLI Adelson Scott Joseph (CO-PRESIDENT Director) G -7,500 0 -100.00
2017-11-14 WETF SALERNO FRANK ( Director) F -11,976 203,971 -5.55 11.13 -133,293
2017-11-14 HLI Adelson Scott Joseph (CO-PRESIDENT Director) C 7,500 7,500
2017-11-14 GHL ROBARDS KAREN P ( Director) A 1,671 13,612 13.99
2017-11-14 GHL KEY STEPHEN L ( Director) A 936 19,310 5.09
2017-11-14 GHL GOLDSTONE STEVEN F ( Director) A 1,671 30,710 5.75
2017-11-14 GHL LIU JOHN D ( Director) A 836 7,045 13.46
2017-11-14 APO TIGER GLOBAL MANAGEMENT LLC ( 10% Owner) Coleman Charles P III ( 10% Owner) SHLEIFER SCOTT L ( 10% Owner) Fixel Lee ( 10% Owner) P 43,714 34,093,521 0.13 29.178 1,275,487 994,780,756 0.13
2017-11-14 EVR SIBBALD ANDREW (CEO EVR Partners International) S -400 132,742 -0.30 84.025 -33,610 11,153,647 -0.30
2017-11-14 EVR SIBBALD ANDREW (CEO EVR Partners International) S -11,600 133,142 -8.01 83.4094 -967,549 11,105,294 -8.71
2017-11-14 EVR FRANKEL ADAM B (General Counsel) S -1,000 61,402 -1.60 84.4366 -84,437 5,184,576 -1.63
2017-11-14 MKTX Steinhardt John ( Director) S -4,225 23,614 -15.18 173.9969 -735,137 4,108,763 -17.89
2017-11-13 GBL GABELLI MARIO J (Chairman & CEO Director 10% Owner) GGCP, INC. ( 10% Owner) GGCP Holdings LLC ( 10% Owner) G -5,000 23,207,091 -0.02
2017-11-13 GS SOLOMON DAVID M (President and Co-COO) S -2,400 194,354 -1.22 238.4938 -572,385 46,352,224 -1.23
2017-11-13 GROW HOLMES FRANK E (CEO/CIO Director 10% Owner) P 1,000 498,617 0.20 2.7103 2,710 1,351,401 0.20
A
Grant, award, or other acquisition of securities from the company (such as an option)
K
Equity swaps and similar hedging transactions
P
Purchase of securities on an exchange or from another person
S
Sale of securities on an exchange or to another person
D
Sale or transfer of securities back to the company
F
Payment of exercise price or tax liability using portion of securities received from the company
M
Exercise or conversion of derivative security received from the company (such as an option)
G
Gift of securities by or to the insider
V
A transaction voluntarily reported on Form 4
J
Other (accompanied by a footnote describing the transaction)