Security Brokers, Dealers & Flotation Companies Industry - SEC Form 4 Insider Trading Screener
Financial Sector - Security and Commodity Brokers - Security Brokers, Dealers & Flotation Companies
100 results - 
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- - - - - - | TC | cnt | 1d | 1w | 1m | 6m |
X |
Filing Date |
Trade Date |
Ticker |
Company | Insider Name | Insider Title |
Trade Type |
Price |
Qty |
Owned |
ΔOwn |
Value |
1d |
1w |
1m |
6m |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2019-03-20 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.01 | +25,475 | 6,513,547 | 0% | +$102,226 | |||||
| A | 2017-12-27 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $0.00 | +0 | 4,918,477 | 0% | +$0 | |||||
| D | 2019-03-19 | SEIC | Sei Investments Co | Klauder Paul | EVP | S - Sale+OE | $52.89 | -7,500 | 44,682 | -14% | -$396,675 | |||||
| D | 2019-03-14 | SEIC | Sei Investments Co | Heilig Kathy | VP | S - Sale+OE | $51.50 | -16,000 | 19,782 | -45% | -$824,000 | |||||
| M | 2019-03-15 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $3.88 | +71,213 | 6,497,272 | +1% | +$276,004 | |||||
| M | 2019-03-08 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.01 | +13,034 | 6,426,059 | 0% | +$52,251 | |||||
2019-03-01 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $53.03 | -116,412 | 9,811,713 | -1% | -$6,173,328 | ||||||
2019-03-05 | BNFT | Benefitfocus,inc. | Goldman Sachs Group Inc | 10% | S - Sale | $46.80 | -3,254,735 | 567,871 | -85% | -$152,329,735 | ||||||
2019-03-06 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale | $45.93 | -12,604 | 0 | -100% | -$578,936 | ||||||
2019-03-06 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale | $45.93 | -16,346 | 1,249 | -93% | -$750,804 | ||||||
| M | 2019-03-05 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.03 | +45,738 | 7,725,968 | +1% | +$184,319 | |||||
2017-12-27 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.50 | +9,200 | 6,367,287 | 0% | +$50,554 | ||||||
| D | 2019-03-05 | SCHW | Schwab Charles Corp | Chandoha Marie A | CEO - CSIM | S - Sale+OE | $45.48 | -45,046 | 17,777 | -72% | -$2,048,679 | |||||
| DM | 2019-03-01 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale+OE | $46.75 | -41,285 | 17,595 | -70% | -$1,929,901 | |||||
2019-03-04 | BLK | Blackrock Inc. | Goldstein Robert L. | COO | S - Sale | $443.00 | -5,133 | 43,482 | -11% | -$2,273,919 | ||||||
2019-02-28 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $52.75 | -83,588 | 9,928,125 | -1% | -$4,409,267 | ||||||
2019-02-26 | MS | Morgan Stanley | Wirth Paul C | Deputy CFO | S - Sale | $42.40 | -25,000 | 169,031 | -13% | -$1,060,073 | ||||||
| M | 2019-02-26 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $52.65 | -100,000 | 10,031,713 | -1% | -$5,265,250 | |||||
| DM | 2019-02-22 | SEIC | Sei Investments Co | Withrow Wayne | EVP | S - Sale+OE | $52.96 | -27,703 | 76,603 | -27% | -$1,467,074 | |||||
2019-02-21 | AMTD | Td Ameritrade Holding Corp | Nally Thomas A. | EVP, Institutional Services | S - Sale | $56.10 | -25,000 | 157,780 | -14% | -$1,402,500 | ||||||
2019-02-20 | GS | Goldman Sachs Group Inc | Holmes Dane E | EVP, Global Head of HCM | S - Sale | $198.31 | -1,489 | 11,004 | -12% | -$295,284 | ||||||
2019-02-19 | MKTX | Marketaxess Holdings Inc | Delise Antonio L | CFO | S - Sale | $231.99 | -8,000 | 44,257 | -15% | -$1,855,925 | ||||||
2019-02-21 | SF | Stifel Financial Corp | Nesi Victor | Co-Pres | S - Sale | $55.03 | -2,500 | 186,160 | -1% | -$137,575 | ||||||
2019-02-15 | WDR | Waddell & Reed Financial Inc | Raines James M | Dir | S - Sale | $17.75 | -1,000 | 23,492 | -4% | -$17,750 | ||||||
2019-02-15 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $431.01 | -225 | 11,314 | -2% | -$96,977 | ||||||
2019-02-15 | BLK | Blackrock Inc. | Comerchero Marc D. | Principal Accounting Officer | S - Sale | $432.22 | -600 | 2,079 | -22% | -$259,330 | ||||||
| M | 2018-11-15 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.80 | +13,420 | 6,358,087 | 0% | +$64,428 | |||||
| D | 2019-02-14 | SEIC | Sei Investments Co | Withrow Wayne | EVP | S - Sale+OE | $50.50 | -10,000 | 73,428 | -12% | -$505,000 | |||||
| DM | 2019-02-11 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $26.30 | -127,088 | 75,000 | -63% | -$3,343,056 | |||||
2019-02-13 | BLK | Blackrock Inc. | Lord Rachel | Senior MD | S - Sale | $426.70 | -3,863 | 8,043 | -32% | -$1,648,342 | ||||||
2019-02-11 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $412.75 | -44,000 | 1,006,505 | -4% | -$18,160,869 | ||||||
2019-02-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $220.94 | -20,000 | 1,010,189 | -2% | -$4,418,723 | ||||||
2019-02-08 | OPY | Oppenheimer Holdings Inc | Lowenthal Albert G | CEO, 10% | P - Purchase | $26.33 | +1,007 | 97,128 | +1% | +$26,514 | ||||||
| D | 2019-02-05 | GHL | Greenhill & Co Inc | Wyles David | Pres | S - Sale+OE | $25.08 | -33,369 | 0 | -100% | -$836,895 | |||||
2019-02-06 | BLK | Blackrock Inc. | McCombe Mark | Senior MD | S - Sale | $417.04 | -3,000 | 27,543 | -10% | -$1,251,120 | ||||||
2019-02-05 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $415.78 | -2,250 | 11,539 | -16% | -$935,515 | ||||||
| D | 2019-02-06 | SEIC | Sei Investments Co | Withrow Wayne | EVP | S - Sale+OE | $50.11 | -1,500 | 64,928 | -2% | -$75,165 | |||||
| D | 2019-02-04 | MKTX | Marketaxess Holdings Inc | Gomach David G | Dir | S - Sale+OE | $215.83 | -3,187 | 19,358 | -14% | -$687,850 | |||||
| D | 2019-02-05 | MKTX | Marketaxess Holdings Inc | Steinhardt John | Dir | S - Sale+OE | $215.62 | -3,187 | 21,712 | -13% | -$687,181 | |||||
| DM | 2019-02-04 | SEIC | Sei Investments Co | Withrow Wayne | EVP | S - Sale+OE | $50.00 | -15,800 | 78,343 | -17% | -$789,922 | |||||
2019-02-05 | SEIC | Sei Investments Co | Klauder Paul | EVP | P - Purchase | $49.81 | +3,110 | 19,841 | +19% | +$154,909 | ||||||
2019-02-01 | ENLC | Enlink Midstream, LLC | Goldman Sachs Group Inc | 10% | P - Purchase | $10.86 | +24,791 | 695,632 | +4% | +$269,210 | ||||||
2019-02-01 | ENLC | Enlink Midstream, LLC | Goldman Sachs Group Inc | 10% | S - Sale | $10.88 | -24,791 | 695,632 | -3% | -$269,726 | ||||||
2019-02-04 | WETF | Wisdomtree Investments, Inc. | Bossone Anthony | Dir | P - Purchase | $5.92 | +50,000 | 232,122 | +27% | +$295,965 | ||||||
2019-02-04 | WETF | Wisdomtree Investments, Inc. | Muni Amit | CFO | P - Purchase | $5.99 | +13,500 | 678,937 | +2% | +$80,816 | ||||||
2019-02-04 | WETF | Wisdomtree Investments, Inc. | Ziemba Peter M | Chief Administrative Officer | P - Purchase | $6.07 | +16,000 | 957,177 | +2% | +$97,082 | ||||||
2019-02-04 | WETF | Wisdomtree Investments, Inc. | Steinberg Jonathan L | CEO | P - Purchase | $5.98 | +85,000 | 7,850,905 | +1% | +$508,368 | ||||||
2019-01-31 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $412.75 | -9,048 | 1,050,505 | -1% | -$3,734,558 | ||||||
2019-02-01 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $47.04 | -250,000 | 128,876,985 | 0% | -$11,760,200 | ||||||
| M | 2019-01-29 | BLK | Blackrock Inc. | Shedlin Gary | CFO, Senior MD | S - Sale | $410.74 | -5,400 | 23,788 | -19% | -$2,218,004 | |||||
2019-01-25 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $412.76 | -5,120 | 1,045,889 | 0% | -$2,113,346 | ||||||
2019-01-29 | BLK | Blackrock Inc. | Kushel J. Richard | Senior MD | S - Sale | $409.29 | -3,077 | 169,995 | -2% | -$1,259,396 | ||||||
2019-01-18 | MS | Morgan Stanley | Brodsky Jeffrey S | CHRO | S - Sale | $43.38 | -15,565 | 116,358 | -12% | -$675,152 | ||||||
| M | 2019-01-18 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $418.32 | -30,832 | 1,051,009 | -3% | -$12,897,623 | |||||
| D | 2019-01-15 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $43.58 | -3,739 | 0 | -100% | -$162,946 | |||||
2019-01-03 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.46 | +5,000 | 1,256,517 | 0% | +$12,296 | ||||||
2019-01-02 | WDR | Waddell & Reed Financial Inc | Walton Jerry W | Dir | S - Sale | $0.00 | -6,922 | 78,827 | -8% | -$0 | ||||||
| M | 2018-12-31 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.01 | +4,500 | 6,344,667 | 0% | +$18,066 | |||||
2019-01-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $2.38 | +5,000 | 1,251,517 | 0% | +$11,875 | ||||||
2018-12-31 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $24.82 | +1,000 | 66,410 | +2% | +$24,817 | ||||||
| DM | 2018-12-26 | GS | Goldman Sachs Group Inc | Palm Gregory K | EVP - GC | S - Sale+OE | $158.41 | -16,451 | 1,033,922 | -2% | -$2,606,021 | |||||
| M | 2018-12-24 | SCHW | Schwab Charles Corp | Bettinger Walter W | Pres, CEO | P - Purchase | $38.81 | +124,669 | 376,306 | +50% | +$4,838,074 | |||||
| D | 2018-12-24 | LTS | Ladenburg Thalmann Financial Services Inc. | Frost Phillip Md Et Al | Former 10% Owner | S - Sale+OE | $2.50 | -50,900,000 | 7,934,630 | -87% | -$127,250,000 | |||||
2018-11-23 | WETF | Wisdomtree Investments, Inc. | Schwartz Jeremy | Global Head of Research | P - Purchase | $7.49 | +1,290 | 555,404 | 0% | +$9,665 | ||||||
| M | 2018-12-21 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.08 | +2,594 | 6,340,167 | 0% | +$10,582 | |||||
2018-12-21 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $12.92 | +5,000 | 27,332 | +22% | +$64,579 | ||||||
2018-12-21 | ITG | Investment Technology Group, Inc. | Jones Timothy | Dir | S - Sale | $30.01 | -1,653 | 66,962 | -2% | -$49,607 | ||||||
| D | 2018-12-19 | SEIC | Sei Investments Co | Withrow Wayne | EVP | S - Sale+OE | $47.50 | -4,997 | 68,425 | -7% | -$237,358 | |||||
| D | 2018-12-18 | ITG | Investment Technology Group, Inc. | Troise Francis J | CEO, Pres | S - Sale+OE | $30.02 | -65,611 | 237,398 | -22% | -$1,969,314 | |||||
2018-12-17 | ITG | Investment Technology Group, Inc. | Wood Steven Sydney | Dir | S - Sale | $30.01 | -9,354 | 75,384 | -11% | -$280,748 | ||||||
2018-12-18 | ITG | Investment Technology Group, Inc. | Jones Timothy | Dir | S - Sale | $30.04 | -5,060 | 68,615 | -7% | -$152,013 | ||||||
2018-12-13 | COLD | Americold Realty Trust | Goldman Sachs Group Inc | 10% | S - Sale | $0.00 | -6,500,000 | 8,243,845 | -44% | -$0 | ||||||
| M | 2018-12-04 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.55 | +96,565 | 6,337,573 | +2% | +$439,642 | |||||
2018-12-13 | GBL | Gamco Investors, Inc. Et Al | Gabelli Mario J | COB, CEO, 10% | P - Purchase | $18.97 | +1,503 | 21,802,040 | 0% | +$28,508 | ||||||
| DM | 2018-12-12 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $33.51 | +2,098 | 2,098 | New | +$70,294 | |||||
| D | 2018-12-04 | SEIC | Sei Investments Co | McGonigle Dennis | Dir | S - Sale+OE | $51.63 | -15,000 | 1,169,068 | -1% | -$774,450 | |||||
2018-12-04 | RJF | Raymond James Financial Inc | Catanese George | SVP, Chief Risk Officer | S - Sale | $78.71 | -6,611 | 6,073 | -52% | -$520,352 | ||||||
| D | 2018-12-03 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale+OE | $46.09 | -4,913 | 1,180 | -81% | -$226,441 | |||||
2018-12-03 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.00 | -564 | 1,126,516 | 0% | -$34,968 | ||||||
| M | 2018-11-27 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $53.41 | -212,995 | 10,031,713 | -2% | -$11,376,583 | |||||
| D | 2018-11-26 | BE | Bloom Energy Corp | Morgan Stanley | 10% | S - Sale+OE | $15.03 | -31 | 1,638 | -2% | -$466 | |||||
2018-11-27 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $24.59 | +6,400 | 65,410 | +11% | +$157,375 | ||||||
2018-11-26 | BLK | Blackrock Inc. | Kushel J. Richard | Senior MD | S - Sale | $419.11 | -2,100 | 168,779 | -1% | -$880,129 | ||||||
| M | 2018-11-23 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $53.28 | -96,767 | 20,549,957 | 0% | -$5,155,656 | |||||
| M | 2018-11-21 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.94 | +6,700 | 6,241,008 | 0% | +$33,128 | |||||
2018-11-21 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $15.33 | +10,000 | 22,332 | +81% | +$153,271 | ||||||
| M | 2018-11-20 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $52.76 | -145,238 | 10,341,475 | -1% | -$7,662,352 | |||||
2018-11-20 | MKTX | Marketaxess Holdings Inc | McPherson Kevin M | Global Head of Sales | S - Sale | $216.89 | -2,500 | 77,692 | -3% | -$542,230 | ||||||
2018-11-20 | GHL | Greenhill & Co Inc | Hartzband Meryl D | Dir | P - Purchase | $23.82 | +1,030 | 1,030 | New | +$24,535 | ||||||
| M | 2018-11-16 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.91 | +4,200 | 6,234,308 | 0% | +$20,624 | |||||
2018-11-20 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $23.86 | +5,600 | 59,010 | +10% | +$133,592 | ||||||
2018-11-16 | WDR | Waddell & Reed Financial Inc | Walton Jerry W | Dir | S - Sale | $19.05 | -9,427 | 71,905 | -12% | -$179,589 | ||||||
2018-11-15 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | CEO, Pres, COB | P - Purchase | $2.68 | +5,000 | 2,656,204 | 0% | +$13,418 | ||||||
2018-11-15 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $46.97 | -383,000 | 130,188,295 | 0% | -$17,989,804 | ||||||
| M | 2018-11-13 | GHL | Greenhill & Co Inc | Greenhill Robert F | Chairman | P - Purchase | $22.69 | +219,770 | 2,311,263 | +11% | +$4,987,361 | |||||
| M | 2018-11-12 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $4.92 | +12,376 | 6,230,108 | 0% | +$60,891 | |||||
| M | 2018-11-08 | GHL | Greenhill & Co Inc | Bok Scott L | CEO | P - Purchase | $22.60 | +220,634 | 1,596,537 | +16% | +$4,986,334 | |||||
| D | 2018-11-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale+OE | $205.38 | -20,000 | 1,044,846 | -2% | -$4,107,651 | |||||
2018-11-07 | SF | Stifel Financial Corp | Peacock David A | Dir | P - Purchase | $48.55 | +2,000 | 8,515 | +31% | +$97,096 | ||||||
2018-11-07 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $25.89 | +8,000 | 53,410 | +18% | +$207,091 |
| A | Amended filing |
| D | Derivative transaction in filing (usually option exercise) |
| E | Error detected in filing |
| M | Multiple transactions in filing; earliest reported transaction date and weighted average transaction price |
| S - Sale | Sale of securities on an exchange or to another person |
| S - Sale+OE | Sale of securities on an exchange or to another person (after option exercise) |
| F - Tax | Payment of exercise price or tax liability using portion of securities received from the company |
| P - Purchase | Purchase of securities on an exchange or from another person |