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 |
Share Price |
Shares Traded |
Shares Owned |
Own chg |
Value Traded |
1d ret |
1w ret |
1m ret |
6m ret |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2018-04-20 | SCHW | Schwab Charles Corp | Martinetto Joseph R | Senior EVP, COO | S - Sale+OE | $54.80 | -280,685 | 172,952 | -62% | -$15,381,426 | |||||
| M | 2018-04-19 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.30 | +4,800 | 960,096 | +1% | +$49,440 | |||||
| D | 2018-04-20 | SCHW | Schwab Charles Corp | Chandoha Marie A | Pres - CSIM | S - Sale+OE | $54.79 | -31,386 | 14,606 | -68% | -$1,719,777 | |||||
2018-04-23 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $54.99 | -250,000 | 137,685,867 | 0% | -$13,747,475 | ||||||
| M | 2018-04-18 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $15.08 | -24,000 | 833,377 | -3% | -$361,986 | |||||
| M | 2018-04-16 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.47 | +7,200 | 955,296 | +1% | +$75,365 | |||||
2018-04-18 | BLK | Blackrock Inc. | Comerchero Marc D. | Principal Accounting Officer | S - Sale | $524.84 | -400 | 2,714 | -13% | -$209,935 | ||||||
| M | 2018-04-13 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $14.81 | -16,500 | 857,377 | -2% | -$244,447 | |||||
| D | 2018-04-16 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $52.11 | -2,629 | 0 | -100% | -$136,984 | |||||
2018-04-13 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.30 | +5,000 | 2,387,592 | 0% | +$16,511 | ||||||
2018-04-13 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.30 | +5,000 | 3,559,981 | 0% | +$16,483 | ||||||
2018-04-13 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | EVP, COO | P - Purchase | $3.28 | +5,000 | 1,194,364 | 0% | +$16,400 | ||||||
| M | 2018-04-11 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.45 | +7,446 | 948,096 | +1% | +$77,778 | |||||
2018-04-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.20 | +5,000 | 2,382,592 | 0% | +$15,982 | ||||||
| M | 2018-04-10 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $14.53 | -12,000 | 873,877 | -1% | -$174,303 | |||||
| M | 2018-04-06 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.31 | +7,019 | 940,650 | +1% | +$72,349 | |||||
| M | 2018-04-05 | COWN | Cowen Inc. | Cohen Peter A | Dir | S - Sale | $14.20 | -4,000 | 885,877 | 0% | -$56,785 | |||||
2018-04-06 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.10 | +5,000 | 2,377,592 | 0% | +$15,500 | ||||||
| M | 2018-04-03 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.25 | +6,220 | 933,631 | +1% | +$63,764 | |||||
2018-04-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Krasno Richard M | Dir | P - Purchase | $3.10 | +5,000 | 353,089 | +1% | +$15,513 | ||||||
2018-04-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | EVP | P - Purchase | $3.12 | +5,000 | 3,554,981 | 0% | +$15,600 | ||||||
2018-04-02 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.09 | +5,000 | 2,372,592 | 0% | +$15,473 | ||||||
| M | 2018-03-28 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.31 | +5,627 | 927,411 | +1% | +$58,023 | |||||
2018-03-29 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.30 | +10,000 | 2,367,592 | 0% | +$32,957 | ||||||
2018-03-28 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Pres, CEO | P - Purchase | $3.25 | +20,000 | 2,357,592 | +1% | +$64,978 | ||||||
| M | 2018-03-23 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.54 | +3,238 | 921,784 | 0% | +$34,134 | |||||
| M | 2018-03-20 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.48 | +3,680 | 918,546 | 0% | +$38,562 | |||||
| D | 2017-03-22 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $75.64 | -17,085 | 42,165 | -29% | -$1,292,309 | |||||
| D | 2018-03-21 | SEIC | Sei Investments Co | Meyer Stephen | EVP | S - Sale+OE | $77.59 | -4,524 | 190,972 | -2% | -$351,017 | |||||
| AM | 2018-03-07 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.88 | +9,861 | 907,006 | +1% | +$107,313 | |||||
| M | 2018-03-15 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.68 | +4,603 | 914,866 | +1% | +$49,153 | |||||
2018-03-15 | MKTX | Marketaxess Holdings Inc | McPherson Kevin M | Global Head of Sales | S - Sale | $223.43 | -2,500 | 80,192 | -3% | -$558,574 | ||||||
2018-03-14 | RJF | Raymond James Financial Inc | Allison Paul D | Chair, Pres, CEO RJ Ltd. | S - Sale | $96.65 | -6,600 | 30,770 | -18% | -$637,894 | ||||||
| D | 2018-03-13 | SEIC | Sei Investments Co | Meyer Stephen | EVP | S - Sale+OE | $77.52 | -5,052 | 191,500 | -3% | -$391,631 | |||||
| D | 2018-03-13 | SEIC | Sei Investments Co | Klauder N Jeffrey | EVP | P - Purchase | $23.86 | +3,637 | 88,025 | +4% | +$86,779 | |||||
| D | 2018-03-13 | SEIC | Sei Investments Co | Klauder N Jeffrey | EVP | S - Sale+OE | $77.05 | -3,637 | 88,025 | -4% | -$280,231 | |||||
| M | 2018-03-12 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.88 | +3,257 | 910,263 | 0% | +$35,437 | |||||
| D | 2018-03-08 | SEIC | Sei Investments Co | Heilig Kathy | VP, Controller | S - Sale+OE | $74.80 | -16,500 | 20,282 | -45% | -$1,234,200 | |||||
| D | 2018-03-12 | SEIC | Sei Investments Co | Meyer Stephen | EVP | S - Sale+OE | $77.44 | -20,424 | 206,872 | -9% | -$1,581,635 | |||||
| D | 2018-03-09 | SEIC | Sei Investments Co | McGonigle Dennis | EVP | S - Sale+OE | $76.70 | -30,000 | 1,184,068 | -2% | -$2,301,000 | |||||
| DM | 2018-03-08 | SEIC | Sei Investments Co | Romeo Carmen | Dir | S - Sale+OE | $75.88 | -9,600 | 3,196,904 | 0% | -$728,492 | |||||
2018-03-09 | RJF | Raymond James Financial Inc | Zank Dennis W | COO | S - Sale | $98.63 | -20,003 | 183,408 | -10% | -$1,972,812 | ||||||
| D | 2018-03-12 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale+OE | $58.01 | -5,000 | 0 | -100% | -$290,041 | |||||
2018-03-09 | MKTX | Marketaxess Holdings Inc | Themelis Nicholas | CIO | S - Sale | $218.11 | -5,400 | 54,727 | -9% | -$1,177,799 | ||||||
2018-03-09 | WETF | Wisdomtree Investments, Inc. | Steinhardt Michael H | Dir | S - Sale | $9.92 | -86,210 | 10,845,915 | -1% | -$855,419 | ||||||
2018-03-08 | TRU | Transunion | Goldman Sachs Group Inc | 10% | S - Sale | $57.60 | -19,852,972 | 25,713 | -100% | -$1,143,531,187 | ||||||
2018-03-08 | AMTD | Td Ameritrade Holding Corp | Moglia Joseph H | Dir | S - Sale | $60.00 | -10,000 | 135,000 | -7% | -$600,000 | ||||||
| M | 2018-03-07 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.85 | +9,861 | 907,006 | +1% | +$107,015 | |||||
| M | 2018-03-07 | WETF | Wisdomtree Investments, Inc. | Steinhardt Michael H | Dir | S - Sale | $9.94 | -177,009 | 10,932,125 | -2% | -$1,759,420 | |||||
2018-03-06 | LLNW | Limelight Networks, Inc. | Goldman Sachs Group Inc | 10% | S - Sale | $3.80 | -15,272,493 | 864,927 | -95% | -$58,035,473 | ||||||
2018-03-07 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale | $54.07 | -11,238 | 56,882 | -16% | -$607,693 | ||||||
| D | 2018-03-05 | SEIC | Sei Investments Co | Crudup Robert | EVP | S - Sale+OE | $73.70 | -12,500 | 367,500 | -3% | -$921,250 | |||||
| M | 2018-03-07 | SCHW | Schwab Charles Corp | Craig Jonathan M. | Senior EVP | S - Sale | $54.31 | -8,046 | 0 | -100% | -$436,940 | |||||
2018-03-07 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale | $54.00 | -9,156 | 1,861 | -83% | -$494,424 | ||||||
| D | 2018-03-05 | SEIC | Sei Investments Co | Crudup Robert | EVP | S - Sale+OE | $73.71 | -25,750 | 367,000 | -7% | -$1,898,015 | |||||
| D | 2018-03-05 | SEIC | Sei Investments Co | Crudup Robert | EVP | S - Sale+OE | $73.47 | -27,500 | 367,500 | -7% | -$2,020,350 | |||||
| DM | 2018-03-06 | SEIC | Sei Investments Co | Romeo Carmen | Dir | S - Sale+OE | $74.65 | -5,400 | 3,192,304 | 0% | -$403,134 | |||||
| D | 2018-03-05 | SEIC | Sei Investments Co | Crudup Robert | EVP | S - Sale+OE | $73.63 | -15,000 | 370,000 | -4% | -$1,104,450 | |||||
| D | 2018-03-05 | SEIC | Sei Investments Co | Crudup Robert | EVP | S - Sale+OE | $73.60 | -15,000 | 370,000 | -4% | -$1,104,000 | |||||
| M | 2018-03-05 | WETF | Wisdomtree Investments, Inc. | Steinhardt Michael H | Dir | S - Sale | $9.89 | -453,926 | 11,109,134 | -4% | -$4,490,855 | |||||
| M | 2018-03-02 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.87 | +1,602 | 897,145 | 0% | +$17,416 | |||||
| M | 2018-03-01 | WETF | Wisdomtree Investments, Inc. | Steinhardt Michael H | Dir | S - Sale | $9.73 | -119,762 | 11,563,060 | -1% | -$1,164,869 | |||||
2018-03-05 | SF | Stifel Financial Corp | Plotkin Ben A | Vice COB, SVP | S - Sale | $63.30 | -9,012 | 101,728 | -8% | -$570,460 | ||||||
| M | 2018-02-27 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.92 | +2,386 | 895,543 | 0% | +$26,054 | |||||
| M | 2018-02-27 | WETF | Wisdomtree Investments, Inc. | Steinhardt Michael H | Dir | S - Sale | $9.89 | -163,093 | 11,682,822 | -1% | -$1,612,266 | |||||
2018-02-27 | AMTD | Td Ameritrade Holding Corp | Quirk Steven M. | EVP, Trader Group | S - Sale | $59.82 | -5,000 | 86,861 | -5% | -$299,100 | ||||||
| D | 2018-03-01 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale+OE | $52.94 | -5,000 | 1,861 | -73% | -$264,722 | |||||
| DM | 2018-02-26 | SEIC | Sei Investments Co | Romeo Carmen | Dir | S - Sale+OE | $74.17 | -15,000 | 3,201,904 | 0% | -$1,112,600 | |||||
2018-02-26 | BLK | Blackrock Inc. | Goldstein Robert L. | COO | S - Sale | $558.00 | -5,000 | 43,393 | -10% | -$2,790,000 | ||||||
2018-02-23 | GS | Goldman Sachs Group Inc | Rogers John F.W. | EVP-Chief of Staff, Secretary | S - Sale | $265.37 | -4,400 | 89,382 | -5% | -$1,167,610 | ||||||
2018-02-27 | SCHW | Schwab Charles Corp | Sneed Paula A | Dir | S - Sale | $54.91 | -12,040 | 102,433 | -11% | -$661,156 | ||||||
| D | 2018-02-27 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale+OE | $55.05 | -30,020 | 56,882 | -35% | -$1,652,481 | |||||
| D | 2018-02-26 | SCHW | Schwab Charles Corp | Murtagh Nigel J | EVP - Corporate Risk | S - Sale+OE | $53.28 | -15,000 | 23,579 | -39% | -$799,235 | |||||
| M | 2018-02-22 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.72 | +6,634 | 893,157 | +1% | +$71,096 | |||||
2018-02-23 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $544.55 | -650 | 10,785 | -6% | -$353,958 | ||||||
2018-02-21 | GS | Goldman Sachs Group Inc | Lee Brian J | Principal Accounting Officer | S - Sale | $263.92 | -6,738 | 36,249 | -16% | -$1,778,293 | ||||||
| M | 2018-02-20 | MKTX | Marketaxess Holdings Inc | Delise Antonio L | CFO | S - Sale | $200.67 | -8,000 | 43,396 | -16% | -$1,605,379 | |||||
| DM | 2018-02-20 | WETF | Wisdomtree Investments, Inc. | Abner David J. | Head of WisdomTree Europe | S - Sale+OE | $10.52 | -25,000 | 167,680 | -13% | -$262,888 | |||||
2018-02-20 | BLK | Blackrock Inc. | Stork Ryan | Senior MD | S - Sale | $543.50 | -7,136 | 15,135 | -32% | -$3,878,416 | ||||||
| M | 2018-02-16 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.81 | +8,725 | 886,523 | +1% | +$94,338 | |||||
2018-02-20 | BLK | Blackrock Inc. | Kushel J. Richard | Senior MD | S - Sale | $541.61 | -2,000 | 169,830 | -1% | -$1,083,220 | ||||||
2018-02-16 | WETF | Wisdomtree Investments, Inc. | Steinberg Jonathan L | CEO | S - Sale | $10.15 | -81,663 | 7,393,485 | -1% | -$828,814 | ||||||
| D | 2018-02-16 | SEIC | Sei Investments Co | Klauder Paul | EVP | S - Sale+OE | $73.52 | -10,000 | 38,258 | -21% | -$735,200 | |||||
| D | 2018-02-16 | SEIC | Sei Investments Co | Klauder N Jeffrey | EVP | S - Sale+OE | $73.77 | -20,000 | 104,388 | -16% | -$1,475,400 | |||||
| D | 2018-02-09 | SEIC | Sei Investments Co | Ujobai Joseph P | EVP | S - Sale+OE | $72.81 | -20,000 | 45,080 | -31% | -$1,456,200 | |||||
2018-02-16 | MS | Morgan Stanley | Pruzan Jonathan | CFO | S - Sale | $55.35 | -52,204 | 130,054 | -29% | -$2,889,361 | ||||||
2018-02-14 | MS | Morgan Stanley | Brodsky Jeffrey S | CHRO | S - Sale | $54.97 | -11,054 | 106,061 | -9% | -$607,600 | ||||||
2018-02-14 | MS | Morgan Stanley | Grossman Eric F | GC | S - Sale | $54.72 | -17,421 | 188,674 | -8% | -$953,296 | ||||||
2018-02-15 | MS | Morgan Stanley | Gorman James P | COB, CEO | S - Sale | $55.34 | -100,000 | 1,267,821 | -7% | -$5,533,810 | ||||||
2018-02-15 | RJF | Raymond James Financial Inc | Ackart Jennifer C | SVP, Controller | S - Sale | $91.00 | -5,000 | 11,131 | -31% | -$455,000 | ||||||
| M | 2018-02-14 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.83 | +4,754 | 877,198 | +1% | +$51,463 | |||||
| M | 2018-02-13 | MS | Morgan Stanley | Simkowitz Daniel A | Head of Investment Management | S - Sale | $53.55 | -87,050 | 145,299 | -37% | -$4,661,615 | |||||
2018-02-14 | SCHW | Schwab Charles Corp | Schwab Charles R | COB, 10% | S - Sale | $52.17 | -74,450 | 137,908,759 | 0% | -$3,884,295 | ||||||
| M | 2018-02-09 | HCAP | Harvest Capital Credit Corp | Jmp Group LLC | 10% | P - Purchase | $10.58 | +9,780 | 873,044 | +1% | +$103,459 | |||||
2018-02-12 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $526.93 | -2,500 | 11,435 | -18% | -$1,317,325 | ||||||
2018-02-12 | BLK | Blackrock Inc. | McCombe Mark | Senior MD | S - Sale | $520.64 | -2,000 | 26,267 | -7% | -$1,041,280 | ||||||
2018-02-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale | $190.61 | -35,000 | 1,088,257 | -3% | -$6,671,297 | ||||||
2018-02-07 | BLK | Blackrock Inc. | Smith Jeff A | Senior MD | S - Sale | $536.57 | -1,250 | 13,935 | -8% | -$670,712 | ||||||
2018-02-06 | AMTD | Td Ameritrade Holding Corp | Nally Thomas A. | EVP, Institutional Services | S - Sale | $56.13 | -17,243 | 160,079 | -10% | -$967,850 | ||||||
| D | 2018-02-07 | SCHW | Schwab Charles Corp | Kallsen Terri R | EVP - Investor Services | S - Sale+OE | $51.94 | -2,026 | 1,861 | -52% | -$105,236 |
Real-time CSV? Options? Alerts? Contact us!
| 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 |