Security Brokers, Dealers & Flotation Companies Industry - SEC Form 4 Insider Trading Screener

Financial Sector - Security and Commodity Brokers - Security Brokers, Dealers & Flotation Companies
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S - Sale
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D - Sale to Iss
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W - Inherited
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100 results - Yahoo - Google - Finviz - Stockcharts - Tradingview - Stocktwits - SEC
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X

Filing Date

Trade Date

Ticker

Company

Insider Name

Insider Title

Trade Type 

Share Price

Shares Traded

Shares Owned

Own chg

Value Traded

1d ret

1w ret

1m ret

6m ret

2018-02-16
MSMorgan StanleyPruzan JonathanCFOS - Sale$55.35-52,204130,054-29%-$2,889,361
2018-02-14
MSMorgan StanleyBrodsky Jeffrey SCHROS - Sale$54.97-11,054106,061-9%-$607,600
2018-02-14
MSMorgan StanleyGrossman Eric FGCS - Sale$54.72-17,421188,674-8%-$953,296
2018-02-15
MSMorgan StanleyGorman James PCOB, CEOS - Sale$55.34-100,0001,267,821-7%-$5,533,810
2018-02-15
RJFRaymond James Financial IncAckart Jennifer CSVP, ControllerS - Sale$91.00-5,00011,131-31%-$455,000
M
2018-02-14
HCAPHarvest Capital Credit CorpJmp Group LLC10%P - Purchase$10.83+4,754877,198+1%+$51,463
M
2018-02-13
MSMorgan StanleySimkowitz Daniel AHead of Investment ManagementS - Sale$53.55-87,050145,299-37%-$4,661,615
2018-02-14
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$52.17-74,450137,908,7590%-$3,884,295
M
2018-02-09
HCAPHarvest Capital Credit CorpJmp Group LLC10%P - Purchase$10.58+9,780873,044+1%+$103,459
2018-02-12
BLKBlackrock Inc.Smith Jeff ASenior MDS - Sale$526.93-2,50011,435-18%-$1,317,325
2018-02-12
BLKBlackrock Inc.McCombe MarkSenior MDS - Sale$520.64-2,00026,267-7%-$1,041,280
2018-02-08
MKTXMarketaxess Holdings IncMcVey Richard MCOB, CEOS - Sale$190.61-35,0001,088,257-3%-$6,671,297
2018-02-07
BLKBlackrock Inc.Smith Jeff ASenior MDS - Sale$536.57-1,25013,935-8%-$670,712
2018-02-06
AMTDTd Ameritrade Holding CorpNally Thomas A.EVP, Institutional ServicesS - Sale$56.13-17,243160,079-10%-$967,850
D
2018-02-07
SCHWSchwab Charles CorpKallsen Terri REVP - Investor ServicesS - Sale+OE$51.94-2,0261,861-52%-$105,236
A
2018-02-05
WETFWisdomtree Investments, Inc.Macalpine KurtGlobal Head of DistributionP - Purchase$10.38+19,710184,056+12%+$204,647
DM
2014-05-14
MBIIMarrone Bio Innovations IncWaddell & Reed Financial Inc1, 10%P - Purchase$9.45+2,753,50924,714,892+13%+$26,021,764
DM
2017-02-01
MBIIMarrone Bio Innovations IncWaddell & Reed Financial Inc1, 10%S - Sale+OE$2.16-11,30024,714,8920%-$24,389
2018-02-05
WETFWisdomtree Investments, Inc.Macalpine KurtGlobal Head of DistributionP - Purchase$10.38+19,710184,056+12%+$204,647
2018-02-02
SIEBSiebert Financial CorpKennedy Cabot Acquisition, LLC10%S - Sale$5.04-70,00012,917,283-1%-$352,800
2018-02-02
SIEBSiebert Financial CorpGebbia Gloria EDir, 10%S - Sale$5.04-1,258,85520,564,577-6%-$6,344,629
D
2018-02-05
MKTXMarketaxess Holdings IncGomach David GDirS - Sale+OE$197.98-4,22526,313-14%-$836,482
2018-02-02
PJCPiper Jaffray CompaniesFairman Francis E IVHead, Public Finance ServicesS - Sale$96.13-10,00047,469-17%-$961,297
2018-02-02
PJCPiper Jaffray CompaniesDuff Andrew SDirS - Sale$93.44-50,000207,115-19%-$4,671,937
2018-02-01
WDRWaddell & Reed Financial IncWalton Jerry WDirS - Sale$22.95-5,79281,332-7%-$132,944
2018-02-01
GSGoldman Sachs Group IncSalame Pablo JVice COBS - Sale$270.42-10,000221,447-4%-$2,704,214
2018-01-29
NAVINavient CorpHauber Stephen MSVP, Chief Risk, Compliance OfS - Sale$14.40-17,42363,404-22%-$250,935
D
2018-01-29
GSGoldman Sachs Group IncSolomon David MPres, Co-COOS - Sale+OE$271.65-21,252224,030-9%-$5,773,059
2018-01-30
RJFRaymond James Financial IncBunn James ECo-Pres-GlobEq, Inv Banking-RJS - Sale$96.31-3,0009,825-23%-$288,930
2018-01-29
RJFRaymond James Financial IncElwyn Tashtego SPres - RJAS - Sale$97.36-7,27515,084-33%-$708,327
2018-01-29
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$54.03-240,000137,983,2090%-$12,966,096
2018-01-25
AMTDTd Ameritrade Holding CorpMoglia Joseph HDirS - Sale$55.28-10,000145,000-6%-$552,800
D
2018-01-26
SCHWSchwab Charles CorpMcLin Stephen TDirS - Sale+OE$53.97-18,663160,218-10%-$1,007,188
D
2018-01-19
COLDAmericold Realty TrustGoldman Sachs Group Inc10%P - Purchase$17.40+125,00023,769,508+1%+$2,175,000
D
2018-01-23
COLDAmericold Realty TrustGoldman Sachs Group Inc10%S - Sale+OE$0.00-5,163,71623,769,508-18%-$0
2018-01-23
GDENGolden Entertainment, Inc.Goldman Sachs Group Inc10%S - Sale$26.64-4,046,49480,163-98%-$107,778,368
2018-01-25
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$54.49-240,000138,223,2090%-$13,076,664
2018-01-22
IBKRInteractive Brokers Group, Inc.Nemser Earl HVice COBS - Sale$62.80-32,00068,610-32%-$2,009,600
2018-01-24
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$55.13-240,000138,463,2090%-$13,230,744
D
2018-01-18
GSGoldman Sachs Group IncViniar David ADirS - Sale+OE$251.19-17,500918,868-2%-$4,395,795
2018-01-17
BLKBlackrock Inc.Maughan Deryck CDirP - Purchase$573.44+3,86115,326+34%+$2,214,044
2018-01-18
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$55.31-300,000138,703,2090%-$16,593,900
2018-01-16
BLKBlackrock Inc.Smith Jeff ASenior MDS - Sale$565.96-42514,664-3%-$240,533
2018-01-04
COHNCohen & Co Inc.Ricciardi Christopher10%P - Purchase$15.00+20,00076,240+36%+$300,000
2018-01-04
COHNCohen & Co Inc.Ricciardi Stephanie10%P - Purchase$15.00+20,00076,240+36%+$300,000
D
2018-01-03
SCHWSchwab Charles CorpKallsen Terri REVP - Investor ServicesS - Sale+OE$51.30-2,0261,861-52%-$103,942
M
2017-12-29
HCAPHarvest Capital Credit CorpJmp Group LLC10%P - Purchase$10.99+8,475863,264+1%+$93,126
M
2017-12-26
HCAPHarvest Capital Credit CorpJmp Group LLC10%P - Purchase$10.92+14,750854,789+2%+$161,042
M
2017-12-21
WDRWaddell & Reed Financial IncHills Wendy JSVP, GC, Secy.S - Sale$22.41-31,273135,933-19%-$700,951
2017-12-21
WDRWaddell & Reed Financial IncSundeen John E JrSVP, CAO - InvestmentsS - Sale$22.48-45,168270,437-14%-$1,015,458
2017-12-19
COHNCohen & Co Inc.Cohen Daniel GVice COB, CE Europe, 10%S - Sale$8.00-15,881103,922-13%-$127,048
D
2017-12-15
RJFRaymond James Financial IncCatanese GeorgeSVP, Chief Risk OfficerS - Sale+OE$88.29-5066,474-7%-$44,675
2017-12-15
WETFWisdomtree Investments, Inc.Salerno FrankDirS - Sale$11.71-50,000153,971-25%-$585,370
D
2017-12-14
RJFRaymond James Financial IncReilly Paul CCEOS - Sale+OE$87.77-12,681103,380-11%-$1,113,063
M
2017-12-14
HCAPHarvest Capital Credit CorpJmp Group LLC10%P - Purchase$10.94+5,904840,039+1%+$64,578
AM
2017-12-04
HCAPHarvest Capital Credit CorpJmp Group LLC10%P - Purchase$10.94+11,303834,135+1%+$123,672
2017-12-14
GBLGamco Investors, Inc. Et AlVan Der Eb HenrySVPS - Sale$29.13-8820-100%-$25,694
2017-12-11
RJFRaymond James Financial IncTrocin Jeffrey ECo-Pres-GlobEq, Inv Banking-RJS - Sale$88.89-16,184159,186-9%-$1,438,625
2017-12-07
RJFRaymond James Financial IncDowdle Jeffrey APres, Asset Mgmt GroupS - Sale$88.67-8,02149,985-14%-$711,191
D
2017-12-05
SCHWSchwab Charles CorpCrawford Peter B.EVP, CFOS - Sale+OE$51.58-12,45918,366-40%-$642,635
M
2017-12-05
HCAPHarvest Capital Credit CorpJmp Group LLC10%P - Purchase$11.00+2,500825,3320%+$27,494
2017-12-05
LLNWLimelight Networks, Inc.Goldman Sachs Group Inc10%S - Sale$4.35-15,000,00015,714,190-49%-$65,250,000
D
2017-12-06
SCHWSchwab Charles CorpKallsen Terri REVP - Investor ServicesS - Sale+OE$50.55-1,9821,861-52%-$100,189
D
2017-12-05
SEICSei Investments CoWithrow WayneEVPS - Sale+OE$70.35-10,00073,428-12%-$703,500
D
2017-12-04
SCHWSchwab Charles CorpClark Bernard J.EVP - Advisor ServicesS - Sale+OE$50.52-50,44456,882-47%-$2,548,668
D
2017-12-04
SCHWSchwab Charles CorpBettinger Walter WPres, CEOS - Sale+OE$50.05-156,100287,026-35%-$7,812,415
2017-12-01
SEICSei Investments CoMcGonigle DennisEVPS - Sale$69.63-15,000577,034-3%-$1,044,450
D
2017-11-30
SEICSei Investments CoKlauder N JeffreyEVPS - Sale+OE$70.25-20,000104,388-16%-$1,405,000
D
2017-11-30
RJFRaymond James Financial IncAckart Jennifer CSVP, ControllerS - Sale+OE$89.23-3,00016,495-15%-$267,683
M
2017-11-29
HCAPHarvest Capital Credit CorpJmp Group LLC10%P - Purchase$10.75+60,446822,832+8%+$649,511
D
2017-11-30
RJFRaymond James Financial IncRaney Steven MPres, CEO RJBankS - Sale+OE$88.95-9,89030,024-25%-$879,716
D
2017-11-30
SCHWSchwab Charles CorpBettinger Walter WPres, CEOS - Sale+OE$49.10-168,220287,012-37%-$8,260,073
D
2017-11-28
RJFRaymond James Financial IncElwyn Tashtego SPres - RJAS - Sale+OE$85.17-8,99718,148-33%-$766,307
2017-11-30
BLKBlackrock Inc.Wagner SusanDirS - Sale$506.10-4,000486,715-1%-$2,024,404
D
2017-11-29
MKTXMarketaxess Holdings IncCasper Stephen PDirS - Sale+OE$195.84-2,00053,076-4%-$391,682
2017-11-28
MSMorgan StanleyHotsuki KeishiChief Risk OfficerS - Sale$50.00-25,000207,270-11%-$1,250,000
D
2017-11-30
SCHWSchwab Charles CorpClark Bernard J.EVP - Advisor ServicesS - Sale+OE$49.16-32,35056,882-36%-$1,590,394
M
2017-11-27
RJFRaymond James Financial IncJames Thomas ACOB Emeritus, 10%S - Sale$85.98-200,00013,850,885-1%-$17,195,471
2017-11-27
RJFRaymond James Financial IncJulien Jeffrey PCFO, EVP - FinS - Sale$85.27-11,92559,576-17%-$1,016,819
D
2017-11-29
SCHWSchwab Charles CorpMartinetto Joseph RSenior EVPS - Sale+OE$48.15-94,988156,530-38%-$4,573,302
D
2017-11-29
SCHWSchwab Charles CorpBettinger Walter WPres, CEOS - Sale+OE$48.15-262,309287,012-48%-$12,631,228
2017-11-29
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$48.30-211,620139,003,2090%-$10,221,817
2017-11-28
SFStifel Financial CorpPlotkin Ben AVice COB, SVPS - Sale$53.70-20,00096,226-17%-$1,073,932
D
2017-11-24
GSGoldman Sachs Group IncSolomon David MPres, Co-COOS - Sale+OE$237.94-12,707194,354-6%-$3,023,533
D
2017-11-27
SCHWSchwab Charles CorpChandoha Marie APres - CSIMS - Sale+OE$45.86-56,3270-100%-$2,583,089
2017-11-24
MSMorgan StanleyDarling AlistairDirS - Sale$49.29-3,85014,218-21%-$189,785
D
2017-11-22
SCHWSchwab Charles CorpMurtagh Nigel JEVP - Corporate RiskS - Sale+OE$45.79-10,00023,441-30%-$457,874
D
2017-11-21
SEICSei Investments CoKlauder PaulEVPS - Sale+OE$69.36-8,75037,008-19%-$606,900
D
2017-11-21
SEICSei Investments CoKlauder N JeffreyEVPS - Sale+OE$68.39-20,000104,388-16%-$1,367,800
D
2017-11-22
GSGoldman Sachs Group IncPalm Gregory KEVP - GCS - Sale+OE$237.92-20,9591,014,054-2%-$4,986,533
D
2017-11-21
RJFRaymond James Financial IncCatanese GeorgeSVP, Chief Risk OfficerS - Sale+OE$85.63-2,0005,774-26%-$171,264
2017-11-21
GSGoldman Sachs Group IncViniar David ADirS - Sale$238.02-25,000945,368-3%-$5,950,508
2017-11-21
GSGoldman Sachs Group IncRogers John F.W.EVP-Chief of Staff, SecretaryS - Sale$238.01-20,49068,414-23%-$4,876,794
DM
2017-11-20
GSGoldman Sachs Group IncSolomon David MPres, Co-COOS - Sale+OE$238.99-6,104194,354-3%-$1,458,765
DM
2017-11-20
GSGoldman Sachs Group IncPalm Gregory KEVP - GCS - Sale+OE$238.99-4,6201,024,6790%-$1,104,111
DM
2017-11-20
GSGoldman Sachs Group IncGnodde Richard JVice COBS - Sale+OE$238.99-5,718195,153-3%-$1,366,517
2017-11-21
RJFRaymond James Financial IncGodbold Francis SVice COBS - Sale$85.51-45,000154,611-23%-$3,848,126
DM
2017-11-20
GSGoldman Sachs Group IncBlankfein Lloyd CCOB, CEOS - Sale+OE$238.38-20,7942,298,210-1%-$4,956,950
2017-11-20
WDRWaddell & Reed Financial IncKosloff Alan WDirS - Sale$19.82-19,17852,695-27%-$380,031
2017-11-17
SFStifel Financial CorpFisher Mark PSVP, GCS - Sale$52.30-5,00021,369-19%-$261,500

Real-time CSV? Options? Alerts? Contact us!
AAmended filing
DDerivative transaction in filing (usually option exercise)
EError detected in filing
MMultiple transactions in filing; earliest reported transaction date and weighted average transaction price
S - SaleSale of securities on an exchange or to another person
S - Sale+OESale of securities on an exchange or to another person (after option exercise)
F - TaxPayment of exercise price or tax liability using portion of securities received from the company
P - PurchasePurchase of securities on an exchange or from another person
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