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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Filing Date

Trade Date

Ticker

Company

Insider Name

Insider Title

Trade Type 

Price

Qty

Owned

ΔOwn

Value

1d

1w

1m

6m

2019-09-12
RJFRaymond James Financial IncDowdle Jeffrey ACAO, Pres, Asset Mgmt.S - Sale$84.91-8,39845,556-16%-$713,080
2019-09-13
SFStifel Financial CorpFisher Mark PSVP, GCS - Sale$59.33-10,00024,911-29%-$593,290
2019-09-11
RJFRaymond James Financial IncSantelli Jonathan NEVP, GC, SecyS - Sale$84.80-1,2001,177-50%-$101,756
2019-09-10
SFStifel Financial CorpDubinsky John PDirS - Sale$56.79-2,15025,306-8%-$122,099
D
2019-09-11
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale+OE$42.03-105,422127,375,5720%-$4,430,950
2019-09-09
SFStifel Financial CorpPlotkin Ben AVice COB, SVPS - Sale$55.73-9,01297,728-8%-$502,239
D
2019-09-06
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$33.04+28,00050,987+122%+$925,086
2019-09-05
SFStifel Financial CorpDubinsky John PDirS - Sale$54.71-1,50027,456-5%-$82,065
2019-09-03
MKTXMarketaxess Holdings IncCasper Stephen PDirS - Sale$402.82-1,00056,375-2%-$402,820
DM
2019-09-04
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$34.63+3,31622,987+17%+$114,824
D
2019-09-05
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale+OE$40.08-105,422127,375,5720%-$4,225,409
D
2019-09-04
VIRTVirtu Financial, Inc.Cifu Douglas ACEOP - Purchase$18.58+10,000235,000+4%+$185,791
D
2019-09-03
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$34.70+2,12519,671+12%+$73,736
DM
2019-09-03
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale+OE$38.11-105,422127,375,5720%-$4,017,933
2019-08-30
GBLGamco Investors, Inc. Et AlGabelli Mario JCOB, CEO, 10%P - Purchase$17.78+4,50321,807,8600%+$80,050
2019-08-30
SFStifel Financial CorpGrady Robert EdwardDirS - Sale$53.45-2,50011,307-18%-$133,625
2019-08-30
RJFRaymond James Financial IncJulien Jeffrey PCFO, EVP - FinS - Sale$78.59-15,75646,682-25%-$1,238,296
2019-08-28
WETFWisdomtree Investments, Inc.Schwartz JeremyGlobal Head of ResearchP - Purchase$4.73+10,000628,954+2%+$47,315
DM
2019-08-23
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$34.22+1,83617,546+12%+$62,826
M
2019-08-22
GHLGreenhill & Co IncBok Scott LCEOP - Purchase$13.71+36,7611,866,783+2%+$504,129
D
2019-08-21
SCHWSchwab Charles CorpMcLin Stephen TDirS - Sale+OE$37.56-5,093161,585-3%-$191,287
D
2019-08-19
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$36.36+19515,710+1%+$7,090
2019-08-15
PROSProsight Global, Inc.Goldman Sachs Group Inc10%S - Sale$14.00-589,28517,005,016-3%-$8,249,990
2019-08-15
MKTXMarketaxess Holdings IncPrager Richard LeonDirP - Purchase$358.49+1,0001,288+347%+$358,490
M
2018-03-15
ENLKEnlink Midstream Partners, LPGoldman Sachs Group Inc10%S - Sale$13.31-238,142437,937-35%-$3,170,192
M
2018-03-15
ENLKEnlink Midstream Partners, LPGoldman Sachs Group Inc10%P - Purchase$13.31+238,138437,937+119%+$3,169,159
D
2019-08-09
SEICSei Investments CoMcGonigle DennisEVPS - Sale+OE$57.38-10,2281,164,296-1%-$586,883
A
2019-08-08
SEICSei Investments CoMcGonigle DennisEVPS - Sale$58.19-19,722577,034-3%-$1,147,623
D
2019-08-08
SEICSei Investments CoBlumenstein SarahDirS - Sale+OE$58.25-5,00016,362-23%-$291,250
D
2019-08-08
SEICSei Investments CoMcGonigle DennisEVPS - Sale+OE$58.19-19,7221,173,840-2%-$1,147,623
2019-08-08
MKTXMarketaxess Holdings IncThemelis NicholasCIOS - Sale$347.38-2,75050,814-5%-$955,309
2019-08-08
MKTXMarketaxess Holdings IncMcVey Richard MCOB, CEOS - Sale$350.07-20,0001,027,989-2%-$7,001,360
M
2019-08-05
GHLGreenhill & Co IncBok Scott LCEOP - Purchase$14.36+139,2201,830,022+8%+$1,998,526
2019-08-05
SCHWSchwab Charles CorpGoldfarb Mark ADirP - Purchase$38.68+2,59525,626+11%+$100,367
2019-07-29
PROSProsight Global, Inc.Goldman Sachs Group Inc10%S - Sale$14.00-1,785,71517,594,301-9%-$25,000,010
2019-07-29
COWNCowen Inc.Littman Owen SGCS - Sale$17.88-10,000164,870-6%-$178,849
D
2019-07-26
SEICSei Investments CoMcCarthy KathrynDirS - Sale+OE$60.90-9,500150,900-6%-$578,550
2019-07-24
NAVINavient CorpCanyon Capital Advisors LLC10%S - Sale$14.95-3,500,00022,149,480-14%-$52,325,000
2019-07-18
GSGoldman Sachs Group IncHolmes Dane EEVP, Global Head of HCMS - Sale$212.15-3,1657,839-29%-$671,446
D
2019-07-15
SCHWSchwab Charles CorpCraig Jonathan M.Senior EVPS - Sale+OE$40.20-3,7400-100%-$150,348
2019-07-10
SFStifel Financial CorpNesi VictorCo-PresS - Sale$60.12-1,415183,998-1%-$85,070
2019-07-01
SFStifel Financial CorpNesi VictorCo-PresS - Sale$60.00-3,585185,413-2%-$215,100
2019-07-01
HOFDHomefed CorpJefferies Financial Group Inc.10%P - Purchase$0.00+4,648,12315,500,246+43%+$0
D
2019-06-27
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$34.91+6,20015,515+67%+$216,454
DM
2019-06-21
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$35.39+3,0319,315+48%+$107,265
2019-06-19
SFStifel Financial CorpDubinsky John PDirS - Sale$57.25-2,00057,912-3%-$114,500
DM
2019-06-19
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$35.60+3,5446,284+129%+$126,171
D
2019-06-18
ACAssociated Capital Group, Inc.Gabelli Mario JExec COB, 10%P - Purchase$35.72+6422,740+31%+$22,931
D
2019-06-07
MKTXMarketaxess Holdings IncCasper Stephen PDirS - Sale+OE$337.30-10256,8630%-$34,405
2019-06-05
FRGIFiesta Restaurant Group, Inc.Jefferies Financial Group Inc.10%P - Purchase$14.00+93,2575,262,189+2%+$1,305,374
2019-06-03
FRGIFiesta Restaurant Group, Inc.Jefferies Financial Group Inc.10%P - Purchase$13.99+10,0005,168,9320%+$139,900
2019-05-31
COWNCowen Inc.Barth Brett HDirP - Purchase$15.29+20,00047,332+73%+$305,780
2019-06-03
LTSLadenburg Thalmann Financial Services Inc.Lampen RichardCEO, Pres, COBP - Purchase$3.13+10,0003,412,4490%+$31,326
2019-05-31
GBLGamco Investors, Inc. Et AlGabelli Mario JCOB, CEO, 10%P - Purchase$17.05+1,31721,803,3570%+$22,455
2019-05-31
LTSLadenburg Thalmann Financial Services Inc.Lampen RichardCEO, Pres, COBP - Purchase$3.23+10,0003,402,4490%+$32,295
2019-05-31
LTSLadenburg Thalmann Financial Services Inc.Malamed Adam ScottEVP, COOP - Purchase$3.20+10,0001,621,290+1%+$32,011
2019-05-31
FRGIFiesta Restaurant Group, Inc.Jefferies Financial Group Inc.10%P - Purchase$13.93+60,0005,158,932+1%+$836,076
2019-05-30
LTSLadenburg Thalmann Financial Services Inc.Lampen RichardCEO, Pres, COBP - Purchase$3.37+10,0003,392,4490%+$33,668
M
2019-05-28
FRGIFiesta Restaurant Group, Inc.Jefferies Financial Group Inc.10%P - Purchase$13.75+429,3895,098,932+9%+$5,901,982
D
2019-05-29
RJFRaymond James Financial IncSantelli Jonathan NEVP, GC, SecyS - Sale+OE$84.82-7252,347-24%-$61,498
M
2019-05-23
FRGIFiesta Restaurant Group, Inc.Jefferies Financial Group Inc.10%P - Purchase$13.65+226,5574,669,543+5%+$3,093,340
2019-05-23
VIRTVirtu Financial, Inc.Cavoli StephenEVPS - Sale$23.48-7,50046,840-14%-$176,100
2019-05-23
LTSLadenburg Thalmann Financial Services Inc.Lampen RichardCEO, Pres, COBP - Purchase$3.34+10,0003,382,4490%+$33,399
2019-05-23
WETFWisdomtree Investments, Inc.Steinberg Jonathan LCEOP - Purchase$6.25+79,3658,005,270+1%+$496,253
2019-05-22
LTSLadenburg Thalmann Financial Services Inc.Lampen RichardCEO, Pres, COBP - Purchase$3.35+10,0003,372,4490%+$33,515
2019-05-22
LTSLadenburg Thalmann Financial Services Inc.Malamed Adam ScottEVP, COOP - Purchase$3.35+10,0001,611,290+1%+$33,459
M
2019-05-20
FRGIFiesta Restaurant Group, Inc.Jefferies Financial Group Inc.10%P - Purchase$13.96+18,9174,442,9860%+$264,123
AD
2019-03-19
SEICSei Investments CoKlauder PaulEVPS - Sale+OE$52.89-7,50048,318-13%-$396,675
2019-05-16
NAVINavient CorpHauber Stephen MEVP, Chief Risk, Compliance OfS - Sale$13.63-9,000112,506-7%-$122,674
M
2019-05-15
FRGIFiesta Restaurant Group, Inc.Jefferies Financial Group Inc.10%P - Purchase$13.96+252,2954,424,069+6%+$3,520,890
2019-05-16
LTSLadenburg Thalmann Financial Services Inc.Liebowitz MichaelDirP - Purchase$3.27+25,000241,498+12%+$81,750
2019-05-16
LTSLadenburg Thalmann Financial Services Inc.Lampen RichardCEO, Pres, COBP - Purchase$3.31+10,0003,096,2040%+$33,139
D
2019-05-16
SCHWSchwab Charles CorpMcLin Stephen TDirS - Sale+OE$43.85-4,356154,835-3%-$191,024
2019-05-15
SFStifel Financial CorpNesi VictorCo-PresS - Sale$56.04-1,250188,998-1%-$70,046
2019-05-14
LTSLadenburg Thalmann Financial Services Inc.Liebowitz MichaelDirP - Purchase$3.24+20,100216,498+10%+$65,214
2019-04-16
INAPInternap CorpGamco Investors, Inc. Et Al10%S - Sale$4.68-3712,0000%-$173
2019-05-13
WETFWisdomtree Investments, Inc.Steinberg Jonathan LCEOP - Purchase$6.57+75,0007,925,905+1%+$492,765
M
2019-05-09
FRGIFiesta Restaurant Group, Inc.Jefferies Financial Group Inc.10%P - Purchase$13.31+385,1534,171,774+10%+$5,127,146
D
2019-05-10
SEICSei Investments CoBlumenstein SarahDirS - Sale+OE$51.96-5,00016,362-23%-$259,800
2019-05-09
SFStifel Financial CorpOates James MDirS - Sale$58.61-20,00017,397-53%-$1,172,200
2019-05-08
MKTXMarketaxess Holdings IncMcVey Richard MCOB, CEOS - Sale$281.14-20,000990,189-2%-$5,622,817
D
2019-05-06
RJFRaymond James Financial IncRaney Steven MPres, CEO RJBankS - Sale+OE$90.60-2,92635,257-8%-$265,096
2019-05-03
SCHWSchwab Charles CorpRuffel Charles A.DirP - Purchase$46.10+2,5003,288+317%+$115,250
2019-05-03
RJFRaymond James Financial IncAllison Paul DChair, Pres, CEO RJ Ltd.S - Sale$90.46-5,00033,980-13%-$452,284
2019-05-03
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$46.27-56,280127,648,6820%-$2,604,270
M
2019-04-29
MKTXMarketaxess Holdings IncMcPherson Kevin MGlobal Head of SalesS - Sale$278.50-4,00085,317-4%-$1,113,984
2019-04-29
RJFRaymond James Financial IncTrocin Jeffrey ECo-Pres-GlobEq, Inv Banking-RJS - Sale$91.11-13,157187,992-7%-$1,198,717
2019-04-29
RJFRaymond James Financial IncJulien Jeffrey PCFO, EVP - FinS - Sale$90.99-28,07357,387-33%-$2,554,288
2019-04-30
BLKBlackrock Inc.Fink LaurenceCOB, CEOS - Sale$481.79-31,250975,255-3%-$15,055,837
2019-04-29
BLKBlackrock Inc.Smith Jeff ASenior MDS - Sale$479.40-7510,789-1%-$35,955
2019-04-29
RJFRaymond James Financial IncReilly Paul CCEOS - Sale$91.35-60,00081,326-42%-$5,481,048
2019-04-29
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$45.97-250,000127,704,9620%-$11,492,100
2019-04-26
MKTXMarketaxess Holdings IncThemelis NicholasCIOS - Sale$265.61-1,48953,564-3%-$395,495
2019-04-25
BLKBlackrock Inc.Smith Jeff ASenior MDS - Sale$478.29-15010,864-1%-$71,744
2019-04-25
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$45.56-250,000127,954,9620%-$11,390,300
2019-04-23
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$45.57-250,000128,204,9620%-$11,391,300
2019-04-22
JMPJmp Group LLCJolson Joseph ACEO, 10%P - Purchase$3.98+1,0006,617,1310%+$3,980
2019-04-22
SCHWSchwab Charles CorpSchwab Charles RCOB, 10%S - Sale$45.29-250,000205,967,2080%-$11,321,550
2019-04-18
MSMorgan StanleySimkowitz Daniel AHead of Investment ManagementP - Purchase$47.57+7,000194,554+4%+$332,979
2019-04-18
GBLGamco Investors, Inc. Et AlFrederick J. Mancheski Revocable Trust Indenture, Dated June 8, 1999, As Amended10%S - Sale$21.00-1,136,7040-100%-$23,870,784
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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