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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2018-09-18 | COLD | Americold Realty Trust | Goldman Sachs Group Inc | 10% | S - Sale | $0.00 | -9,083,280 | 14,746,324 | -38% | -$0 | ||||||
2018-09-17 | SF | Stifel Financial Corp | Hanser Frederick O | Director of a Subsidiary | S - Sale | $54.42 | -10,000 | 39,905 | -20% | -$544,200 | ||||||
2018-09-12 | WDR | Waddell & Reed Financial Inc | Kosloff Alan W | Dir | S - Sale | $20.42 | -19,614 | 40,077 | -33% | -$400,551 | ||||||
2018-09-11 | WDR | Waddell & Reed Financial Inc | Raines James M | Dir | S - Sale | $20.53 | -2,642 | 22,184 | -11% | -$54,240 | ||||||
| M | 2018-08-23 | ENLK | Enlink Midstream Partners, LP | Goldman Sachs Group Inc | 10% | P - Purchase | $18.74 | +433,421 | 474,731 | >999% | +$8,120,490 | |||||
| D | 2018-09-12 | SEIC | Sei Investments Co | McGonigle Dennis | EVP | S - Sale+OE | $62.83 | -15,000 | 1,169,068 | -1% | -$942,450 | |||||
| D | 2018-09-12 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $62.72 | -15,000 | 70,293 | -18% | -$940,800 | |||||
| D | 2018-09-10 | RJF | Raymond James Financial Inc | Carson John C Jr. | Pres | S - Sale+OE | $92.66 | -5,698 | 58,976 | -9% | -$527,986 | |||||
| M | 2018-09-04 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.49 | -29,840 | 1,127,080 | -3% | -$1,864,756 | |||||
2018-08-31 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.19 | -6,871 | 1,156,920 | -1% | -$427,307 | ||||||
| M | 2018-08-29 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.11 | -24,756 | 1,163,791 | -2% | -$1,537,533 | |||||
| M | 2018-08-27 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.17 | -54,972 | 1,188,547 | -4% | -$3,417,504 | |||||
2018-08-20 | GSBD | Goldman Sachs Bdc, Inc. | Goldman Sachs Group Inc | 10% | S - Sale | $22.27 | -468 | 6,483,653 | 0% | -$10,422 | ||||||
2018-08-21 | GSBD | Goldman Sachs Bdc, Inc. | Goldman Sachs Group Inc | 10% | P - Purchase | $22.26 | +468 | 6,483,653 | 0% | +$10,418 | ||||||
2018-08-21 | AMTD | Td Ameritrade Holding Corp | Desilva Peter J | EVP, Retail Distribution | P - Purchase | $56.73 | +5,000 | 29,000 | +21% | +$283,650 | ||||||
| M | 2018-08-20 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.11 | -28,776 | 1,243,519 | -2% | -$1,787,136 | |||||
2018-08-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.20 | +5,000 | 2,422,592 | 0% | +$16,000 | ||||||
2018-08-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.20 | +5,000 | 3,569,981 | 0% | +$16,000 | ||||||
2018-08-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.20 | +5,000 | 1,204,364 | 0% | +$16,020 | ||||||
| D | 2018-08-16 | SCHW | Schwab Charles Corp | Dodds Christopher V | Dir | S - Sale+OE | $51.14 | -15,718 | 467,160 | -3% | -$803,823 | |||||
2018-08-17 | LTS | Ladenburg Thalmann Financial Services Inc. | Gilinski Saul | Dir | S - Sale | $3.23 | -50,000 | 1,562,007 | -3% | -$161,670 | ||||||
2018-08-16 | SF | Stifel Financial Corp | Nesi Victor | Co-Pres | S - Sale | $55.02 | -1,250 | 190,868 | -1% | -$68,773 | ||||||
2018-08-14 | MKTX | Marketaxess Holdings Inc | Themelis Nicholas | CIO | S - Sale | $186.51 | -12,831 | 41,896 | -23% | -$2,393,094 | ||||||
| D | 2018-08-13 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $59.84 | -1,473 | 56,766 | -3% | -$88,144 | |||||
| D | 2018-08-10 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $59.80 | -1,500 | 56,793 | -3% | -$89,700 | |||||
| D | 2018-08-09 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $59.83 | -17,027 | 72,320 | -19% | -$1,018,725 | |||||
| M | 2018-08-10 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.05 | -30,951 | 1,272,295 | -2% | -$1,920,446 | |||||
2018-08-09 | IBKR | Interactive Brokers Group, Inc. | Frank Thomas Aj | CIO | S - Sale | $62.02 | -7,812 | 1,303,246 | -1% | -$484,500 | ||||||
2018-08-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $186.70 | -20,000 | 1,044,688 | -2% | -$3,733,993 | ||||||
2018-08-09 | GBL | Gamco Investors, Inc. Et Al | Lapointe Diane | Co-Chief Accounting Officer | S - Sale | $26.15 | -3,996 | 9,000 | -31% | -$104,500 | ||||||
2018-08-08 | GHL | Greenhill & Co Inc | Costantino Kevin M | Pres | S - Sale | $32.24 | -8,175 | 15,871 | -34% | -$263,566 | ||||||
| DM | 2018-08-03 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale+OE | $189.16 | -23,014 | 1,064,688 | -2% | -$4,353,411 | |||||
| D | 2018-08-01 | SEIC | Sei Investments Co | Barr Kevin | EVP | S - Sale+OE | $59.14 | -25,000 | 113,268 | -18% | -$1,478,500 | |||||
| D | 2018-08-01 | GS | Goldman Sachs Group Inc | Solomon David M | Pres, COO | S - Sale+OE | $237.93 | -8,488 | 222,625 | -4% | -$2,019,505 | |||||
2018-08-02 | BLK | Blackrock Inc. | Ford William E | Dir | P - Purchase | $467.92 | +1,000 | 5,400 | +23% | +$467,919 | ||||||
2018-07-31 | VIRT | Virtu Financial, Inc. | Nixon John | Dir | P - Purchase | $20.15 | +5,000 | 24,894 | +25% | +$100,732 | ||||||
2018-07-24 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $52.75 | -190,500 | 134,281,837 | 0% | -$10,049,275 | ||||||
2018-07-18 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $507.67 | -19,800 | 1,086,329 | -2% | -$10,051,885 | ||||||
| D | 2018-07-18 | GS | Goldman Sachs Group Inc | Solomon David M | Pres, COO | S - Sale+OE | $232.08 | -8,382 | 222,625 | -4% | -$1,945,314 | |||||
2018-07-18 | BLK | Blackrock Inc. | Ford William E | Dir | P - Purchase | $507.98 | +1,000 | 4,400 | +29% | +$507,983 | ||||||
2018-07-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.40 | +5,000 | 2,417,592 | 0% | +$17,009 | ||||||
2018-06-29 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.43 | +5,000 | 2,412,592 | 0% | +$17,145 | ||||||
2018-06-28 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.50 | +10,000 | 2,407,592 | 0% | +$35,017 | ||||||
2018-06-27 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.57 | +5,000 | 2,397,592 | 0% | +$17,848 | ||||||
2018-06-27 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.47 | +5,000 | 3,564,981 | 0% | +$17,348 | ||||||
2018-06-27 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.44 | +5,000 | 1,199,364 | 0% | +$17,222 | ||||||
2018-06-25 | EACQ | Easterly Acquisition Corp. | Jefferies LLC | 10% | S - Sale | $10.30 | -500,000 | 2,000,000 | -20% | -$5,150,000 | ||||||
2018-06-25 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.57 | +5,000 | 2,392,592 | 0% | +$17,838 | ||||||
| E | 2018-06-20 | CPFH | Capital Financial Holdings, Inc | Dihle Gordon D. | CEO, 10% | P - Purchase | $500.00 | +2 | 51 | +4% | +$1,000 | |||||
2018-06-19 | GFF | Griffon Corp | Goldman Sachs Group Inc | 10% | S - Sale | $17.05 | -5,583,375 | 649,296 | -90% | -$95,224,461 | ||||||
| M | 2018-06-19 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.09 | -6,090 | 689,505 | -1% | -$91,903 | |||||
2018-06-14 | AMTD | Td Ameritrade Holding Corp | Moglia Joseph H | Dir | S - Sale | $60.00 | -10,000 | 125,000 | -7% | -$600,000 | ||||||
2018-06-18 | GBL | Gamco Investors, Inc. Et Al | Caterina Kieran | Co-Chief Accounting Officer | S - Sale | $25.24 | -663 | 6,000 | -10% | -$16,736 | ||||||
| DM | 2018-06-14 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $29.91 | -117,043 | 150,000 | -44% | -$3,500,971 | |||||
| D | 2018-06-13 | VIRT | Virtu Financial, Inc. | Molluso Joseph | EVP, CFO | S - Sale+OE | $30.18 | -88,304 | 0 | -100% | -$2,665,280 | |||||
2018-06-13 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +16,500 | 6,011,014 | 0% | +$83,325 | ||||||
| D | 2018-06-15 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $56.03 | -2,629 | 0 | -100% | -$147,297 | |||||
| M | 2018-06-13 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.23 | -5,000 | 695,595 | -1% | -$76,151 | |||||
| D | 2018-06-12 | SEIC | Sei Investments Co | Ujobai Joseph P | Exec OFFICER | S - Sale+OE | $66.52 | -20,000 | 45,080 | -31% | -$1,330,400 | |||||
| D | 2018-06-13 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $30.17 | -82,521 | 242,116 | -25% | -$2,489,295 | |||||
2018-06-12 | WDR | Waddell & Reed Financial Inc | Raines James M | Dir | S - Sale | $19.93 | -2,640 | 24,826 | -10% | -$52,626 | ||||||
| D | 2018-06-12 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $29.92 | -99,218 | 242,116 | -29% | -$2,968,424 | |||||
| M | 2018-06-08 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.18 | -4,000 | 700,595 | -1% | -$60,706 | |||||
| D | 2018-06-11 | VIRT | Virtu Financial, Inc. | Cifu Douglas A | CEO | S - Sale+OE | $30.33 | -93,334 | 242,116 | -28% | -$2,830,707 | |||||
2018-06-06 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +5,425 | 5,994,514 | 0% | +$27,396 | ||||||
2018-06-01 | SCHW | Schwab Charles Corp | Goldfarb Mark A | Dir | S - Sale | $56.67 | -2,174 | 21,190 | -9% | -$123,209 | ||||||
| M | 2018-05-29 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.04 | -2,000 | 704,595 | 0% | -$30,075 | |||||
2018-05-30 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale | $56.00 | -10,000 | 4,606 | -68% | -$560,026 | ||||||
| D | 2018-05-30 | RJF | Raymond James Financial Inc | Santelli Jonathan N | EVP, GC, Secy | S - Sale+OE | $96.99 | -2,270 | 20 | -99% | -$220,170 | |||||
2018-05-24 | BNFT | Benefitfocus,inc. | Goldman Sachs Group Inc | 10% | S - Sale | $33.03 | -2,500,000 | 3,774,735 | -40% | -$82,575,000 | ||||||
| M | 2018-05-23 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.16 | -8,372 | 706,595 | -1% | -$126,892 | |||||
2018-05-22 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $59.85 | -174,750 | 134,691,222 | 0% | -$10,458,386 | ||||||
| D | 2018-05-22 | SCHW | Schwab Charles Corp | Bettinger Walter W | Pres, CEO | S - Sale+OE | $59.71 | -251,300 | 251,643 | -50% | -$15,006,153 | |||||
| D | 2018-05-22 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale+OE | $59.82 | -29,678 | 56,916 | -34% | -$1,775,196 | |||||
2018-05-18 | MKTX | Marketaxess Holdings Inc | Gomach David G | Dir | S - Sale | $204.90 | -7,553 | 18,760 | -29% | -$1,547,622 | ||||||
| M | 2018-05-21 | SIEB | Siebert Financial Corp | Cuttita Francis V | Dir | S - Sale | $9.30 | -4,000 | 156,000 | -3% | -$37,209 | |||||
2018-05-21 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $59.45 | -210,750 | 135,498,812 | 0% | -$12,529,003 | ||||||
| D | 2018-05-21 | SCHW | Schwab Charles Corp | Bettinger Walter W | Pres, CEO | S - Sale+OE | $59.72 | -113,832 | 251,643 | -31% | -$6,798,229 | |||||
| D | 2018-05-21 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $60.00 | -10,000 | 0 | -100% | -$600,001 | |||||
| M | 2018-05-17 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.78 | -9,908 | 714,967 | -1% | -$156,375 | |||||
2018-05-21 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $546.13 | -166 | 10,119 | -2% | -$90,657 | ||||||
2018-05-16 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $59.13 | -101,970 | 135,709,562 | 0% | -$6,029,313 | ||||||
| D | 2018-05-15 | VIRT | Virtu Financial, Inc. | Tjmt Holdings LLC | See Remarks, 10% | S - Sale+OE | $27.16 | -3,281,250 | 69,099,837 | -5% | -$89,118,750 | |||||
| M | 2018-05-14 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $5.05 | +34,906 | 5,989,089 | +1% | +$176,174 | |||||
| M | 2018-05-14 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.70 | -19,500 | 724,875 | -3% | -$306,163 | |||||
| DM | 2018-05-14 | GS | Goldman Sachs Group Inc | Solomon David M | Pres, COO | S - Sale+OE | $244.40 | -3,497 | 222,625 | -2% | -$854,665 | |||||
| DM | 2018-05-11 | LTS | Ladenburg Thalmann Financial Services Inc. | Gilinski Saul | Dir | S - Sale+OE | $3.78 | -42,000 | 1,582,007 | -3% | -$158,929 | |||||
2018-05-15 | VIRT | Virtu Financial, Inc. | Temasek Holdings (Private) Ltd | 10% | S - Sale | $27.16 | -3,450,000 | 16,880,503 | -17% | -$93,702,000 | ||||||
| M | 2018-05-09 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.64 | -19,500 | 744,375 | -3% | -$305,018 | |||||
| M | 2018-05-10 | GHL | Greenhill & Co Inc | Wyles David | Pres | S - Sale | $25.62 | -29,242 | 0 | -100% | -$749,042 | |||||
| M | 2018-05-09 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.13 | +5,235 | 990,861 | +1% | +$53,023 | |||||
| M | 2018-05-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $203.22 | -35,000 | 1,045,702 | -3% | -$7,112,740 | |||||
2018-05-09 | BLK | Blackrock Inc. | Ford William E | Dir | P - Purchase | $530.95 | +1,000 | 3,360 | +42% | +$530,949 | ||||||
2018-05-08 | SF | Stifel Financial Corp | Grady Robert Edward | Dir | S - Sale | $60.15 | -5,000 | 5,828 | -46% | -$300,750 | ||||||
2018-05-09 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $57.99 | -300,000 | 135,948,532 | 0% | -$17,397,150 | ||||||
2018-05-08 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $57.23 | -250,000 | 136,248,532 | 0% | -$14,307,050 | ||||||
| M | 2018-05-04 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.23 | +12,143 | 985,626 | +1% | +$124,239 | |||||
| M | 2018-05-04 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.53 | -19,500 | 763,875 | -2% | -$302,929 | |||||
| M | 2018-05-04 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $56.65 | -450,000 | 136,519,197 | 0% | -$25,491,960 | |||||
2018-05-04 | WDR | Waddell & Reed Financial Inc | Raines James M | Dir | S - Sale | $18.38 | -964 | 27,466 | -3% | -$17,714 |
| 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 |