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 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
2020-05-26 | BLK | Blackrock Inc. | Meade Christopher J. | GC, CLO | S - Sale | $526.04 | -2,000 | 8,334 | -19% | -$1,052,076 | ||||||
2020-05-26 | BLK | Blackrock Inc. | McCombe Mark | Senior MD | S - Sale | $527.53 | -1,500 | 25,471 | -6% | -$791,295 | ||||||
2020-05-27 | BLK | Blackrock Inc. | Buckingham Geraldine | Senior MD | S - Sale | $526.48 | -1,600 | 7,599 | -17% | -$842,363 | ||||||
| D | 2020-05-26 | AVTR | Avantor, Inc. | Goldman Sachs & Co. LLC | 10% | S - Sale+OE | $15.90 | -13,726,411 | 58,881,710 | -19% | -$218,249,935 | |||||
2020-05-26 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.80 | +575 | 414,587 | 0% | +$1,607 | ||||||
| M | 2020-05-21 | SF | Stifel Financial Corp | Dubinsky John P | Dir | S - Sale | $46.98 | -7,000 | 18,681 | -27% | -$328,880 | |||||
| D | 2020-05-22 | VIRT | Virtu Financial, Inc. | Tjmt Holdings LLC | See Remarks, 10% | P - Purchase | $0.00 | +216,680 | 60,308,420 | 0% | +$0 | |||||
| M | 2020-05-19 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.73 | +1,750 | 414,012 | 0% | +$4,770 | |||||
| D | 2020-04-01 | CLB | Core Laboratories N V | Goldman Sachs Group Inc | 10% | P - Purchase | $9.34 | +676 | 4,640,900 | 0% | +$6,313 | |||||
| E | 2020-05-15 | BLK | Blackrock Inc. | Pnc Bancorp Inc. | 10% | S - Sale | $42.05 | -34,279,430 | 0 | -100% | -$1,441,590,128 | |||||
2020-05-18 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.71 | +1,000 | 412,262 | 0% | +$2,712 | ||||||
2020-05-15 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.66 | +1,500 | 411,262 | 0% | +$3,995 | ||||||
2020-05-14 | MKTX | Marketaxess Holdings Inc | Delise Antonio L | CFO | S - Sale | $501.60 | -2,500 | 33,847 | -7% | -$1,254,011 | ||||||
2020-05-13 | VIRT | Virtu Financial, Inc. | Temasek Holdings (Private) Ltd | 10% | S - Sale | $23.10 | -5,500,000 | 11,380,503 | -33% | -$127,050,000 | ||||||
2020-05-13 | NAVI | Navient Corp | Arnold Frederick | Dir | P - Purchase | $6.66 | +6,500 | 35,235 | +23% | +$43,287 | ||||||
2020-05-13 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $2.64 | +33,390 | 6,663,479 | +1% | +$88,223 | ||||||
| M | 2020-05-13 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.69 | +2,300 | 409,762 | +1% | +$6,178 | |||||
| D | 2020-05-11 | VIRT | Virtu Financial, Inc. | Grano Joseph C. | Dir | S - Sale+OE | $24.33 | -10,133 | 0 | -100% | -$246,575 | |||||
| M | 2020-05-11 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.64 | +2,552 | 407,462 | +1% | +$6,730 | |||||
| D | 2020-05-08 | MKTX | Marketaxess Holdings Inc | McVey Richard M | COB, CEO | S - Sale+OE | $483.62 | -25,000 | 965,908 | -3% | -$12,090,449 | |||||
2020-05-08 | MKTX | Marketaxess Holdings Inc | Themelis Nicholas | CIO | S - Sale | $479.66 | -4,000 | 34,192 | -10% | -$1,918,636 | ||||||
2020-05-08 | SF | Stifel Financial Corp | Dubinsky John P | Dir | S - Sale | $44.55 | -12,775 | 16,281 | -44% | -$569,126 | ||||||
2020-05-07 | BLK | Blackrock Inc. | Lord Rachel | Senior MD | S - Sale | $499.31 | -3,000 | 8,517 | -26% | -$1,497,943 | ||||||
| M | 2020-05-07 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.61 | +4,800 | 404,910 | +1% | +$12,550 | |||||
| M | 2020-05-06 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $2.55 | +6,958 | 6,630,089 | 0% | +$17,713 | |||||
2020-05-05 | MKTX | Marketaxess Holdings Inc | Casper Stephen P | Dir | S - Sale | $479.44 | -2,000 | 54,375 | -4% | -$958,874 | ||||||
2020-05-05 | MKTX | Marketaxess Holdings Inc | Pintoff Scott | GC, Secretary | S - Sale | $481.13 | -250 | 8,089 | -3% | -$120,283 | ||||||
2020-05-06 | NAVI | Navient Corp | Unger Laura S | Dir | P - Purchase | $7.25 | +3,000 | 44,082 | +7% | +$21,750 | ||||||
| M | 2020-05-05 | RJF | Raymond James Financial Inc | Carson John C Jr. | Pres | S - Sale | $63.25 | -15,000 | 56,848 | -21% | -$948,813 | |||||
| M | 2020-05-05 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.48 | +3,750 | 400,110 | +1% | +$9,314 | |||||
2020-05-01 | JMP | Jmp Group LLC | Jolson Joseph A | CEO, 10% | P - Purchase | $2.45 | +6,000 | 6,623,131 | 0% | +$14,675 | ||||||
2020-05-04 | NAVI | Navient Corp | Heleen Mark L | EVP, CLO, Secretary | P - Purchase | $6.77 | +7,250 | 297,581 | +2% | +$49,092 | ||||||
2020-05-04 | MKTX | Marketaxess Holdings Inc | Roupie Christophe Pierre Daniel | Head of Europe, Asia | S - Sale | $457.00 | -1,920 | 10,914 | -15% | -$877,440 | ||||||
2020-05-04 | JMP | Jmp Group LLC | Wright Thomas Rowe | Dir of Equities | P - Purchase | $2.45 | +1,750 | 396,360 | 0% | +$4,284 | ||||||
| M | 2020-04-29 | AMTD | Td Ameritrade Holding Corp | Moglia Joseph H | Dir | S - Sale | $40.00 | -14,000 | 103,760 | -12% | -$560,000 | |||||
2020-04-28 | BLK | Blackrock Inc. | Goldstein Robert L. | COO | S - Sale | $497.36 | -1,600 | 40,257 | -4% | -$795,783 | ||||||
| M | 2020-04-27 | BLK | Blackrock Inc. | Wiedman Mark | Senior MD | S - Sale | $500.65 | -1,821 | 14,319 | -11% | -$911,684 | |||||
2020-04-28 | BLK | Blackrock Inc. | Shedlin Gary | CFO, Senior MD | S - Sale | $508.16 | -2,625 | 14,266 | -16% | -$1,333,923 | ||||||
2020-04-27 | SCHW | Schwab Charles Corp | Ruffel Charles A. | Dir | P - Purchase | $36.73 | +2,460 | 9,357 | +36% | +$90,368 | ||||||
2020-04-28 | MS | Morgan Stanley | Brodsky Jeffrey S | CHRO | S - Sale | $40.57 | -18,174 | 146,044 | -11% | -$737,319 | ||||||
2020-04-23 | IBKR | Interactive Brokers Group, Inc. | Uhde Philip | See Remarks | S - Sale | $39.20 | -1,652 | 110,496 | -1% | -$64,758 | ||||||
| D | 2020-04-21 | SCHW | Schwab Charles Corp | McLin Stephen T | Dir | S - Sale+OE | $35.61 | -11,082 | 164,406 | -6% | -$394,577 | |||||
2020-04-16 | SIEB | Siebert Financial Corp | Gebbia Richard | MEMBER OF 10% OWNER GROUP | S - Sale | $5.60 | -748,233 | 2,975,081 | -20% | -$4,190,105 | ||||||
2020-04-16 | SIEB | Siebert Financial Corp | Gebbia David | MEMBER OF 10% OWNER GROUP | S - Sale | $5.60 | -748,233 | 1,071,081 | -41% | -$4,190,105 | ||||||
2020-04-16 | SIEB | Siebert Financial Corp | Gebbia John M. | MEMBER OF 10% OWNER GROUP | S - Sale | $5.60 | -685,155 | 1,850,681 | -27% | -$3,836,868 | ||||||
2020-04-17 | MS | Morgan Stanley | Luczo Stephen J | Dir | P - Purchase | $38.68 | +19,000 | 193,122 | +11% | +$734,871 | ||||||
2020-04-16 | SIEB | Siebert Financial Corp | Gebbia Gloria E | MEMBER OF 10% OWNER GROUP, 10% | P - Purchase | $5.60 | +2,181,621 | 19,221,799 | +13% | +$12,217,078 | ||||||
2020-04-16 | SIEB | Siebert Financial Corp | Gebbia Gloria E | MEMBER OF 10% OWNER GROUP, 10% | S - Sale | $5.60 | -2,181,621 | 19,221,799 | -10% | -$12,217,078 | ||||||
2020-04-17 | SCHW | Schwab Charles Corp | Goldfarb Mark A | Dir | P - Purchase | $36.17 | +5,530 | 31,156 | +22% | +$200,048 | ||||||
2020-04-17 | BLK | Blackrock Inc. | Kapito Robert | Pres | S - Sale | $476.98 | -88,799 | 310,275 | -22% | -$42,355,171 | ||||||
| D | 2020-03-25 | AMBA | Ambarella Inc | Goldman Sachs Group Inc | 10% | S - Sale+OE | $47.93 | -3,601 | 40,299 | -8% | -$172,583 | |||||
| D | 2020-04-03 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $26.05 | +2,663 | 78,615 | +4% | +$69,371 | |||||
| D | 2020-04-01 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $25.93 | +5,000 | 75,502 | +7% | +$129,660 | |||||
2020-03-25 | SF | Stifel Financial Corp | Peacock David A | Dir | P - Purchase | $40.99 | +1,000 | 14,415 | +7% | +$40,990 | ||||||
| D | 2020-03-23 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $26.00 | +1,831 | 70,502 | +3% | +$47,606 | |||||
2020-03-23 | SF | Stifel Financial Corp | Peacock David A | Dir | P - Purchase | $32.47 | +1,000 | 13,415 | +8% | +$32,468 | ||||||
2020-03-20 | PIPR | Piper Sandler Companies | Carter Timothy L | CFO | P - Purchase | $37.67 | +2,000 | 9,222 | +28% | +$75,340 | ||||||
| M | 2020-03-19 | PIPR | Piper Sandler Companies | Abraham Chad R | COB, CEO | P - Purchase | $35.21 | +2,000 | 75,816 | +3% | +$70,425 | |||||
2020-03-19 | SF | Stifel Financial Corp | Kruszewski Ronald J | CEO | P - Purchase | $31.85 | +10,000 | 865,000 | +1% | +$318,500 | ||||||
2020-03-19 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $6.29 | +10,000 | 91,052 | +12% | +$62,934 | ||||||
2020-03-18 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $15.50 | +4,000 | 87,616 | +5% | +$62,000 | ||||||
2020-03-13 | PIPR | Piper Sandler Companies | Schoneman Debbra L. | Pres | P - Purchase | $47.04 | +5,000 | 63,185 | +9% | +$235,188 | ||||||
2020-03-16 | FRHC | Freedom Holding Corp. | Tashtitov Askar | Pres | P - Purchase | $13.23 | +30,000 | 77,200 | +64% | +$396,900 | ||||||
2020-03-12 | RJF | Raymond James Financial Inc | Godbold Francis S | Vice COB | P - Purchase | $61.49 | +12,500 | 161,273 | +8% | +$768,583 | ||||||
2020-03-12 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $10.04 | +10,000 | 81,052 | +14% | +$100,390 | ||||||
2020-03-12 | WETF | Wisdomtree Investments, Inc. | Schwartz Jeremy | Global Head of Research | P - Purchase | $2.32 | +20,000 | 692,496 | +3% | +$46,380 | ||||||
| D | 2020-03-12 | AC | Associated Capital Group, Inc. | Gabelli Mario J | Exec COB, 10% | P - Purchase | $34.00 | +1,671 | 68,671 | +2% | +$56,807 | |||||
2020-03-11 | PIPR | Piper Sandler Companies | Larue R Scott | Co-Head Global IB, Cap Mkts | P - Purchase | $54.50 | +10,000 | 78,780 | +15% | +$545,000 | ||||||
2020-03-11 | BATRA | Liberty Media Corp | Gamco Investors, Inc. Et Al | 10% | P - Purchase | $20.21 | +1,000 | 83,616 | +1% | +$20,210 | ||||||
2020-03-11 | WETF | Wisdomtree Investments, Inc. | Bossone Anthony | Dir | P - Purchase | $3.00 | +100,000 | 548,070 | +22% | +$300,000 | ||||||
2020-03-09 | SF | Stifel Financial Corp | Grady Robert Edward | Dir | S - Sale | $43.39 | -5,000 | 6,383 | -44% | -$216,950 | ||||||
2020-03-09 | RJF | Raymond James Financial Inc | Godbold Francis S | Vice COB | P - Purchase | $65.40 | +12,542 | 148,773 | +9% | +$820,224 | ||||||
2020-03-09 | COWN | Cowen Inc. | Solomon Jeffrey M | COB, CEO | P - Purchase | $12.13 | +10,000 | 860,675 | +1% | +$121,305 | ||||||
2020-03-09 | COWN | Cowen Inc. | Littman Owen S | GC | P - Purchase | $12.13 | +2,000 | 182,699 | +1% | +$24,261 | ||||||
2020-03-09 | COWN | Cowen Inc. | Leibowitz Lawrence E | Dir | P - Purchase | $12.13 | +8,000 | 26,604 | +43% | +$97,044 | ||||||
2020-03-09 | COWN | Cowen Inc. | Lasota Stephen | CFO | P - Purchase | $12.13 | +2,000 | 229,911 | +1% | +$24,261 | ||||||
2020-03-09 | COWN | Cowen Inc. | Holmes John J | COO | P - Purchase | $12.13 | +2,000 | 187,074 | +1% | +$24,261 | ||||||
2020-03-09 | COWN | Cowen Inc. | Barth Brett H | Dir | P - Purchase | $12.13 | +10,000 | 71,052 | +16% | +$121,305 | ||||||
2020-03-06 | SCHW | Schwab Charles Corp | Clark Bernard J. | EVP - Advisor Services | S - Sale | $32.94 | -12,629 | 76,423 | -14% | -$416,001 | ||||||
| DM | 2020-03-02 | GBL | Gamco Investors, Inc. Et Al | Daniels Leslie B | Dir | P - Purchase | $15.33 | +10,000 | 10,000 | New | +$153,334 | |||||
| M | 2020-02-28 | WETF | Wisdomtree Investments, Inc. | Bossone Anthony | Dir | P - Purchase | $3.89 | +100,000 | 448,070 | +29% | +$389,494 | |||||
2020-02-28 | MS | Morgan Stanley | Luczo Stephen J | Dir | P - Purchase | $44.97 | +50,000 | 174,122 | +40% | +$2,248,735 | ||||||
2020-02-27 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $60.89 | -122,411 | 9,581,977 | -1% | -$7,453,606 | ||||||
2020-02-26 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $63.19 | -56,002 | 9,704,388 | -1% | -$3,538,766 | ||||||
2020-02-24 | SEIC | Sei Investments Co | West Alfred P Jr | 10% | S - Sale | $66.43 | -11,587 | 9,760,390 | 0% | -$769,724 | ||||||
2020-02-21 | MS | Morgan Stanley | Luczo Stephen J | Dir | P - Purchase | $53.00 | +50,000 | 124,122 | +67% | +$2,649,955 | ||||||
2020-02-20 | RJF | Raymond James Financial Inc | Allaire Bella Loykhter | EVP-RJA | S - Sale | $101.26 | -10,800 | 58,584 | -16% | -$1,093,608 | ||||||
2020-02-20 | BLK | Blackrock Inc. | Shedlin Gary | CFO, Senior MD | S - Sale | $571.49 | -4,000 | 16,891 | -19% | -$2,285,940 | ||||||
2020-02-20 | RJF | Raymond James Financial Inc | Dowdle Jeffrey A | COO, Head of Asset Mgmt. | S - Sale | $100.52 | -8,692 | 49,257 | -15% | -$873,744 | ||||||
| D | 2020-02-18 | LTS | Ladenburg Thalmann Financial Services Inc. | Kaufman Brett | SVP, CFO | S - Sale+OE | $25.00 | -205 | 0 | -100% | -$5,134 | |||||
2020-02-14 | BLK | Blackrock Inc. | Fink Laurence | COB, CEO | S - Sale | $565.35 | -44,300 | 837,017 | -5% | -$25,045,190 | ||||||
| AM | 2019-09-23 | VIVE | Viveve Medical, Inc. | Goldman Sachs Group Inc | None - See FN 3 | P - Purchase | $5.76 | +65,800 | 92,425 | +247% | +$379,032 | |||||
| AM | 2019-09-20 | VIVE | Viveve Medical, Inc. | Goldman Sachs Group Inc | None - See FN 3 | S - Sale | $5.08 | -26,417 | 92,425 | -22% | -$134,073 | |||||
| AM | 2019-10-01 | VIVE | Viveve Medical, Inc. | Goldman Sachs Group Inc | None - See FN 3 | S - Sale | $4.81 | -92,425 | 23,688 | -80% | -$444,464 | |||||
2020-02-14 | MKTX | Marketaxess Holdings Inc | McPherson Kevin M | Global Head of Sales | S - Sale | $342.42 | -3,000 | 78,892 | -4% | -$1,027,260 | ||||||
2020-02-13 | MKTX | Marketaxess Holdings Inc | Delise Antonio L | CFO | S - Sale | $334.25 | -2,500 | 37,265 | -6% | -$835,638 | ||||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Zeitchick Mark | Former Director and Officer | S - Sale+OE | $25.07 | -4,000 | 0 | -100% | -$100,280 | |||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Simkin Jacqueline M | Former Director | S - Sale+OE | $25.08 | -8,000 | 0 | -100% | -$200,664 | |||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Malamed Adam Scott | Former Director and Officer | S - Sale+OE | $25.10 | -3,900 | 100 | -98% | -$97,899 | |||||
| D | 2020-02-12 | LTS | Ladenburg Thalmann Financial Services Inc. | Lampen Richard | Former Director and Officer | S - Sale+OE | $25.11 | -4,000 | 200 | -95% | -$100,456 |
| 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 |