James E Rogers

Insider

First SEC filing: Dec. 26, 2018 · Latest: Dec. 26, 2018

On this page

Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.
Compensation Executive pay disclosed in company proxy statements.

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 94 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

94 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Dec. 20, 2018	701221	D	38,453	—	—	0	—	—
Nov. 30, 2018	701221	A	128	$223.38	$28,593	11,896 Direct	+1.09%	Acquired
Nov. 30, 2018	701221	A	201	—	—	38,453 Direct	+0.53%	Acquired
Aug. 31, 2018	701221	A	152	$188.34	$28,628	11,768 Direct	+1.31%	Acquired
Aug. 31, 2018	701221	A	238	—	—	38,252 Direct	+0.63%	Acquired
May 31, 2018	701221	A	265	—	—	38,014 Direct	+0.70%	Acquired
May 31, 2018	701221	A	170	$169.37	$28,793	11,616 Direct	+1.49%	Acquired
Feb. 28, 2018	701221	A	146	$195.89	$28,600	11,445 Direct	+1.29%	Acquired
Feb. 28, 2018	701221	A	229	—	—	37,749 Direct	+0.61%	Acquired
Nov. 30, 2017	701221	A	136	$211.73	$28,795	11,299 Direct	+1.22%	Acquired
Nov. 30, 2017	701221	A	212	—	—	37,520 Direct	+0.57%	Acquired
Aug. 31, 2017	701221	A	158	$182.06	$28,765	11,163 Direct	+1.44%	Acquired
Aug. 31, 2017	701221	A	247	—	—	37,308 Direct	+0.67%	Acquired
May 31, 2017	701221	A	178	$161.23	$28,699	11,005 Direct	+1.64%	Acquired
May 31, 2017	701221	A	279	—	—	37,061 Direct	+0.76%	Acquired
Feb. 28, 2017	701221	A	192	$148.90	$28,589	10,824 Direct	+1.81%	Acquired
Feb. 28, 2017	701221	A	302	—	—	36,782 Direct	+0.83%	Acquired
Nov. 30, 2016	701221	A	176	$134.74	$23,714	10,632 Direct	+1.68%	Acquired
Nov. 30, 2016	701221	A	333	—	—	36,480 Direct	+0.92%	Acquired
Aug. 31, 2016	701221	A	185	$128.26	$23,728	10,456 Direct	+1.80%	Acquired
Aug. 31, 2016	701221	A	350	—	—	36,147 Direct	+0.98%	Acquired
May 31, 2016	701221	A	185	$128.11	$23,700	10,271 Direct	+1.83%	Acquired
May 31, 2016	701221	A	351	—	—	35,797 Direct	+0.99%	Acquired
Feb. 29, 2016	701221	A	170	$139.61	$23,734	10,083 Direct	+1.71%	Acquired
Feb. 29, 2016	701221	A	322	—	—	35,446 Direct	+0.92%	Acquired
Nov. 30, 2015	701221	A	176	$134.98	$23,756	9,913 Direct	+1.81%	Acquired
Nov. 30, 2015	701221	A	333	—	—	35,124 Direct	+0.96%	Acquired
Aug. 31, 2015	701221	A	319	—	—	34,791 Direct	+0.93%	Acquired
Aug. 31, 2015	701221	A	169	$140.79	$23,794	9,737 Direct	+1.77%	Acquired
May 29, 2015	701221	A	168	$140.83	$23,659	9,568 Direct	+1.79%	Acquired
May 29, 2015	701221	A	319	—	—	34,472 Direct	+0.93%	Acquired
Feb. 27, 2015	701221	A	195	$121.63	$23,718	9,397 Direct	+2.12%	Acquired
Feb. 27, 2015	701221	A	369	—	—	34,153 Direct	+1.09%	Acquired
Nov. 28, 2014	701221	A	230	$102.89	$23,665	9,202 Direct	+2.56%	Acquired
Nov. 28, 2014	701221	A	437	—	—	33,784 Direct	+1.31%	Acquired
Aug. 29, 2014	701221	A	251	$94.60	$23,745	8,972 Direct	+2.88%	Acquired
Aug. 29, 2014	701221	A	475	—	—	33,347 Direct	+1.44%	Acquired
May 30, 2014	701221	A	265	$89.78	$23,792	8,721 Direct	+3.13%	Acquired
May 30, 2014	701221	A	501	—	—	32,872 Direct	+1.55%	Acquired
March 4, 2014	AMAT	A	10,615	—	—	141,391 Direct	+8.12%	Acquired	(price as of 2026-08-19)
Feb. 28, 2014	701221	A	298	$79.59	$23,718	8,453 Direct	+3.65%	Acquired
Feb. 28, 2014	701221	A	565	—	—	32,371 Direct	+1.78%	Acquired
Dec. 31, 2013	DUKU	F	3,470	$69.01	$239,465	872,129 Direct	-0.40%	Disposed	-26.4% (price as of 2026-08-19)
Nov. 29, 2013	701221	A	514	—	—	31,806 Direct	+1.64%	Acquired
Sept. 30, 2013	DUKU	F	3,470	$66.78	$231,727	875,599 Direct	-0.39%	Disposed	-23.9% (price as of 2026-08-19)
Aug. 30, 2013	701221	A	571	—	—	31,292 Direct	+1.86%	Acquired
Aug. 12, 2013	DUKU	F	101,474	$70.54	$7,157,976	884,707 Direct	-10.29%	Disposed	-28.0% (price as of 2026-08-19)
Aug. 12, 2013	DUKU	F	26,895	$70.52	$1,896,635	986,181 Direct	-2.65%	Disposed	-27.9% (price as of 2026-08-19)
Aug. 12, 2013	DUKU	M	113,234	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
Aug. 12, 2013	DUKU	M	238,628	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
Aug. 12, 2013	DUKU	F	5,638	$70.54	$397,705	879,069 Direct	-0.64%	Disposed	-28.0% (price as of 2026-08-19)
Aug. 12, 2013	DUKU	F	182,536	$70.52	$12,872,439	1,013,076 Direct	-15.27%	Disposed	-27.9% (price as of 2026-08-19)
Aug. 12, 2013	DUKU	M	113,234	$63.21	$7,157,521	1,195,612 Direct	+10.46%	Acquired	-19.6% (price as of 2026-08-19)
Aug. 12, 2013	DUKU	M	238,628	$53.94	$12,871,594	1,082,378 Direct	+28.28%	Acquired	-5.8% (price as of 2026-08-19)
June 28, 2013	DUKU	F	3,470	$67.50	$234,225	843,750 Direct	-0.41%	Disposed	-24.7% (price as of 2026-08-19)
May 31, 2013	701221	A	662	—	—	30,721 Direct	+2.20%	Acquired
May 15, 2013	DUKU	M	367,816	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
May 15, 2013	DUKU	M	201,005	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
May 15, 2013	DUKU	F	308,161	$71.60	$22,064,328	847,220 Direct	-26.67%	Disposed	-29.0% (price as of 2026-08-19)
May 15, 2013	DUKU	M	367,816	$49.29	$18,129,651	1,155,381 Direct	+46.70%	Acquired	3.1% (price as of 2026-08-19)
May 15, 2013	DUKU	F	159,917	$71.63	$11,454,855	787,565 Direct	-16.88%	Disposed	-29.1% (price as of 2026-08-19)
May 15, 2013	DUKU	M	201,005	$43.50	$8,743,718	947,482 Direct	+26.93%	Acquired	16.8% (price as of 2026-08-19)
March 29, 2013	DUKU	F	3,469	$72.59	$251,815	746,477 Direct	-0.46%	Disposed	-30.0% (price as of 2026-08-19)
March 5, 2013	AMAT	A	14,556	—	—	130,776 Direct	+12.52%	Acquired	(price as of 2026-08-19)
Feb. 28, 2013	701221	A	769	—	—	30,059 Direct	+2.63%	Acquired
Feb. 25, 2013	DUKU	M	68,023	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
Feb. 25, 2013	DUKU	M	43,933	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
Feb. 25, 2013	DUKU	F	32,618	$69.11	$2,254,230	749,488 Direct	-4.17%	Disposed	-26.5% (price as of 2026-08-19)
Feb. 25, 2013	DUKU	M	68,023	$69.11	$4,701,070	782,106 Direct	+9.53%	Acquired	-26.5% (price as of 2026-08-19)
Feb. 25, 2013	DUKU	A	28,939	$69.11	$1,999,974	714,083 Direct	+4.22%	Acquired	-26.5% (price as of 2026-08-19)
Feb. 25, 2013	DUKU	F	20,718	$69.11	$1,431,821	685,144 Direct	-2.94%	Disposed	-26.5% (price as of 2026-08-19)
Feb. 25, 2013	DUKU	M	43,933	$69.11	$3,036,210	705,862 Direct	+6.64%	Acquired	-26.5% (price as of 2026-08-19)
Jan. 2, 2013	DUKU	F	3,358	$63.80	$214,240	661,929 Direct	-0.50%	Disposed	-20.3% (price as of 2026-08-19)
Nov. 30, 2012	701221	M	1,172	—	—	8,151 Direct	-12.57%	Disposed
Nov. 30, 2012	701221	A	860	—	—	29,290 Direct	+3.02%	Acquired
Nov. 30, 2012	701221	M	1,172	—	—	28,430 Direct	+4.30%	Acquired
Sept. 28, 2012	DUKU	F	3,358	$64.79	$217,565	665,287 Direct	-0.50%	Disposed	-21.6% (price as of 2026-08-19)
Sept. 13, 2012	AMAT	P	375	$11.65	$4,369	116,220 Direct	+0.32%	Acquired	4145.2% (price as of 2026-08-19)
Aug. 31, 2012	701221	M	1,277	—	—	9,323 Direct	-12.05%	Disposed
Aug. 31, 2012	701221	A	983	—	—	27,258 Direct	+3.74%	Acquired
Aug. 31, 2012	701221	M	1,277	—	—	26,275 Direct	+5.11%	Acquired
June 29, 2012	DUKU	F	10,074	$23.06	$232,306	2,005,940 Direct	-0.50%	Disposed	120.4% (price as of 2026-08-19)
June 14, 2012	AMAT	P	400	$10.85	$4,340	115,845 Direct	+0.35%	Acquired	4458.2% (price as of 2026-08-19)
May 31, 2012	701221	M	1,696	—	—	10,600 Direct	-13.79%	Disposed
May 31, 2012	701221	A	1,024	—	—	24,998 Direct	+4.27%	Acquired
May 31, 2012	701221	M	1,696	—	—	23,974 Direct	+7.61%	Acquired
April 2, 2012	DUKU	F	10,074	$21.01	$211,655	2,016,014 Direct	-0.50%	Disposed	141.9% (price as of 2026-08-19)
March 15, 2012	AMAT	P	271	$12.65	$3,428	115,445 Direct	+0.24%	Acquired	3809.6% (price as of 2026-08-19)
March 6, 2012	AMAT	A	16,659	—	—	115,174 Direct	+16.91%	Acquired	(price as of 2026-08-19)
March 6, 2012	AMAT	A	16,659	—	—	114,289 Direct	+17.06%	Acquired	(price as of 2026-08-19)
Feb. 29, 2012	701221	M	2,388	—	—	12,284 Direct	-16.28%	Disposed
Feb. 29, 2012	701221	A	1,020	—	—	22,278 Direct	+4.80%	Acquired
Feb. 29, 2012	701221	M	2,388	—	—	21,258 Direct	+12.66%	Acquired
Feb. 27, 2012	DUKU	M	2,763	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
Feb. 27, 2012	DUKU	M	105,805	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
Feb. 27, 2012	DUKU	M	131,897	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-19)
Feb. 27, 2012	DUKU	A	94,922	$21.07	$2,000,007	2,026,088 Direct	+4.92%	Acquired	141.2% (price as of 2026-08-19)
Dec. 14, 2011	AMAT	P	321	$10.61	$3,406	98,515 Direct	+0.33%	Acquired	4561.3% (price as of 2026-08-19)
Sept. 21, 2011	AMAT	P	298	$11.33	$3,376	98,194 Direct	+0.30%	Acquired	4265.0% (price as of 2026-08-19)
June 22, 2011	AMAT	P	266	$12.65	$3,365	97,896 Direct	+0.27%	Acquired	3809.6% (price as of 2026-08-19)

Showing latest 100 of 236 transactions

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Nov. 30, 2018	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (128)	—	—	128	Acquired
Aug. 31, 2018	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (152)	—	—	152	Acquired
May 31, 2018	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (170)	—	—	170	Acquired
Feb. 28, 2018	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (146)	—	—	146	Acquired
Nov. 30, 2017	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (136)	—	—	136	Acquired
Aug. 31, 2017	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (158)	—	—	158	Acquired
May 31, 2017	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (178)	—	—	178	Acquired
Feb. 28, 2017	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (192)	—	—	192	Acquired
Nov. 30, 2016	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (176)	—	—	176	Acquired
Aug. 31, 2016	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (185)	—	—	185	Acquired
May 31, 2016	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (185)	—	—	185	Acquired
Feb. 29, 2016	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (170)	—	—	170	Acquired
Nov. 30, 2015	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (176)	—	—	176	Acquired
Aug. 31, 2015	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (169)	—	—	169	Acquired
May 29, 2015	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (168)	—	—	168	Acquired
Feb. 27, 2015	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (195)	—	—	195	Acquired
Nov. 28, 2014	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (230)	—	—	230	Acquired
Aug. 29, 2014	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (251)	—	—	251	Acquired
May 30, 2014	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (265)	—	—	265	Acquired
Feb. 28, 2014	701221	Phantom Stock Units [F1]	Common Stock, $.25 Par Value (298)	—	—	298	Acquired
Aug. 12, 2013	DUKU	Stock Option (Right to Buy)	Common Stock (113,234)	$63.21	Feb. 27, 2022	113,234	Disposed
Aug. 12, 2013	DUKU	Stock Option (Right to Buy)	Common Stock (238,628)	—	Feb. 22, 2021	238,628	Disposed
May 15, 2013	DUKU	Stock Option (Right to Buy)	Common Stock (367,816)	—	Feb. 22, 2020	367,816	Disposed
May 15, 2013	DUKU	Stock Option (Right to Buy)	Common Stock (201,005)	—	Feb. 19, 2019	201,005	Disposed
Feb. 25, 2013	DUKU	Performance Shares	Common Stock (68,023)	$69.11	—	68,023	Disposed
Feb. 25, 2013	DUKU	Performance Shares	Common Stock (43,933)	$69.11	—	43,933	Disposed
Nov. 30, 2012	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,172)	—	—	1,172	Disposed
Aug. 31, 2012	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,277)	—	—	1,277	Disposed
May 31, 2012	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,696)	—	—	1,696	Disposed
Feb. 29, 2012	701221	Phantom Stock Units	Common Stock, $.25 Par Value (2,388)	—	—	2,388	Disposed
Feb. 27, 2012	DUKU	Performance Shares	Common Stock (2,763)	$21.07	—	2,763	Disposed
Feb. 27, 2012	DUKU	Performance Shares	Common Stock (105,805)	$21.07	—	105,805	Disposed
Feb. 27, 2012	DUKU	Performance Shares	Common Stock (131,897)	$21.07	—	131,897	Disposed
Nov. 30, 2011	701221	Phantom Stock Units	Common Stock, $.25 Par Value (3,108)	—	—	3,108	Disposed
Nov. 30, 2011	701221	Phantom Stock Units	Common Stock, $.25 Par Value (141)	—	—	141	Acquired
Nov. 11, 2011	DUKU	Stock Option (Right to Buy)	Common Stock (3,674)	$15.50	Jan. 1, 2016	3,674	Disposed
Nov. 11, 2011	DUKU	Stock Option (Right to Buy)	Common Stock (3,732)	$15.26	Jan. 1, 2015	3,732	Disposed
Nov. 10, 2011	DUKU	Stock Option (Right to Buy)	Common Stock (672,603)	$16.60	April 4, 2016	672,603	Disposed
Nov. 9, 2011	DUKU	Stock Option (Right to Buy)	Common Stock (57,397)	$16.60	April 4, 2016	57,397	Disposed
Nov. 8, 2011	DUKU	Stock Option (Right to Buy)	Common Stock (1,147,646)	$16.60	April 4, 2016	1,147,646	Disposed
Nov. 8, 2011	DUKU	Stock Option (Right to Buy)	Common Stock (210,046)	$15.50	Jan. 1, 2016	210,046	Disposed
Nov. 8, 2011	DUKU	Stock Option (Right to Buy)	Common Stock (210,456)	$15.26	Jan. 1, 2015	210,456	Disposed
Aug. 31, 2011	701221	Phantom Stock Units	Common Stock, $.25 Par Value (899)	—	—	899	Disposed
Aug. 31, 2011	701221	Phantom Stock Units	Common Stock, $.25 Par Value (134)	—	—	134	Acquired
May 31, 2011	701221	Phantom Stock Units	Common Stock, $.25 Par Value (927)	—	—	927	Disposed
May 31, 2011	701221	Phantom Stock Units	Common Stock, $.25 Par Value (125)	—	—	125	Acquired
Feb. 28, 2011	701221	Phantom Stock Units	Common Stock, $.25 Par Value (845)	—	—	845	Disposed
Feb. 28, 2011	701221	Phantom Stock Units	Common Stock, $.25 Par Value (148)	—	—	148	Acquired
Feb. 22, 2011	DUKU	Stock Option (Right to Buy)	Common Stock (1,073,826)	—	Feb. 22, 2021	1,073,826	Acquired
Feb. 21, 2011	DUKU	Performance Shares	Common Stock (184,079)	$17.94	—	184,079	Disposed
Nov. 30, 2010	701221	Phantom Stock Units	Common Stock, $.25 Par Value (702)	—	—	702	Disposed
Nov. 30, 2010	701221	Phantom Stock Units	Common Stock, $.25 Par Value (170)	—	—	170	Acquired
Aug. 31, 2010	701221	Phantom Stock Units	Common Stock, $.25 Par Value (729)	—	—	729	Disposed
Aug. 31, 2010	701221	Phantom Stock Units	Common Stock, $.25 Par Value (194)	—	—	194	Acquired
May 28, 2010	701221	Phantom Stock Units	Common Stock, $.25 Par Value (674)	—	—	674	Disposed
May 28, 2010	701221	Phantom Stock Units	Common Stock, $.25 Par Value (861)	—	—	861	Acquired
Feb. 26, 2010	701221	Phantom Stock Units	Common Stock, $.25 Par Value (975)	—	—	975	Acquired
Feb. 26, 2010	701221	Phantom Stock Units	Common Stock, $.25 Par Value (793)	—	—	793	Disposed
Feb. 22, 2010	DUKU	Stock Option (Right to Buy)	Common Stock (1,103,448)	—	Feb. 22, 2020	1,103,448	Acquired
Feb. 22, 2010	DUKU	Performance Shares	Common Stock (150,786)	$16.43	—	150,786	Disposed
Dec. 31, 2009	DUKU	Phantom Stock	Common Stock (25,862)	—	—	25,862	Disposed
Nov. 30, 2009	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,168)	—	—	1,168	Acquired
Sept. 30, 2009	DUKU	Phantom Stock	Common Stock (25,862)	—	—	25,862	Disposed
Aug. 31, 2009	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,274)	—	—	1,274	Acquired
June 30, 2009	DUKU	Phantom Stock	Common Stock (25,862)	—	—	25,862	Disposed
May 29, 2009	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,691)	—	—	1,691	Acquired
April 3, 2009	DUKU	Phantom Stock	Common Stock (258,180)	—	—	258,180	Disposed
March 31, 2009	DUKU	Phantom Stock	Common Stock (25,862)	—	—	25,862	Disposed
Feb. 27, 2009	701221	Phantom Stock Units	Common Stock, $.25 Par Value (2,379)	—	—	2,379	Acquired
Jan. 30, 2009	DUKU	Phantom Stock Executive Savings Plan	Common Stock (11,701)	—	—	11,701	Disposed
Dec. 1, 2008	701221	Phantom Stock Units	Common Stock, $.25 Par Value (5,058)	—	—	5,058	Acquired
Sept. 1, 2008	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,462)	—	—	1,462	Acquired
June 1, 2008	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,508)	—	—	1,508	Acquired
March 1, 2008	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,373)	—	—	1,373	Acquired
Dec. 1, 2007	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,142)	—	—	1,142	Acquired
Sept. 1, 2007	701221	Phantom Stock Units	Common Stock, $.25 Par Value (1,185)	—	—	1,185	Acquired
June 1, 2007	701221	Phantom Stock Units	Common Stock, $.25 Par Value (365)	—	—	365	Acquired
May 16, 2007	DUKU	Stock Option (Right to buy)	Common Stock (216,216)	$14.15	Jan. 1, 2014	216,216	Disposed
March 5, 2007	FITB	Option to Purchase	Common Stock (3,798)	$25.44	March 18, 2007	3,798	Disposed
Feb. 28, 2007	701221	Phantom Stock Units	Common Stock, $.25 Par Value (394)	—	—	394	Acquired
Jan. 8, 2007	DUKU	Stock Option (Right to buy)	Common Stock (1,877,646)	$29.14	April 4, 2016	1,877,646	Disposed
Jan. 8, 2007	DUKU	Stock Option (Right to buy)	Common Stock (1,877,646)	$16.60	April 4, 2016	1,877,646	Acquired
Jan. 8, 2007	DUKU	Stock Option (Right to buy)	Common Stock (214,188)	$26.79	Jan. 1, 2015	214,188	Disposed
Jan. 8, 2007	DUKU	Stock Option (Right to buy)	Common Stock (214,188)	$15.26	Jan. 1, 2015	214,188	Acquired
Jan. 8, 2007	DUKU	Stock Option (Right to buy)	Common Stock (213,720)	$27.21	Jan. 1, 2016	213,720	Disposed
Jan. 8, 2007	DUKU	Stock Option (Right to buy)	Common Stock (213,720)	$15.50	Jan. 1, 2016	213,720	Acquired
Nov. 30, 2006	DUKU	Stock Option (Right to buy)	Common Stock (583,233)	$23.64	March 24, 2008	583,233	Disposed
Nov. 30, 2006	DUKU	Stock Option (Right to buy)	Common Stock (583,233)	$23.64	March 24, 2008	583,233	Disposed
Nov. 30, 2006	DUKU	Stock Option (Right to buy)	Common Stock (216,216)	$24.84	Jan. 1, 2014	216,216	Disposed
April 4, 2006	DUKU	Phantom Stock	Common Stock (258,180)	—	—	258,180	Acquired
April 4, 2006	DUKU	Stock Option (Right to buy)	Common Stock (1,877,646)	$29.14	April 4, 2016	1,877,646	Acquired
Aug. 15, 2005	FITB	Option to Purchase	Common Stock (7,595)	$11.41	Sept. 19, 2005	7,595	Disposed
March 22, 2005	FITB	Stock Appreciation Right	Common Stock (5,000)	$42.22	March 22, 2015	5,000	Acquired
Jan. 21, 2004	FITB	Phantom Stock	Common Stock	—	—	1,297	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 10 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
April 29, 2008	AMAT	Common Stock	0	Direct
April 13, 2006	DUKU	Common Stock	830,982	Direct
April 13, 2006	DUKU	Common Stock	14,944	Indirect
April 13, 2006	DUKU	Common Stock	390,000	Indirect
April 13, 2006	DUKU	Phantom Stock→ Common Stock	—	Direct
April 13, 2006	DUKU	Phantom Stock→ Common Stock	—	Direct
April 13, 2006	DUKU	Stock Option (Right to buy)→ Common Stock	—	Direct
April 13, 2006	DUKU	Stock Option (Right to buy)→ Common Stock	—	Direct
April 13, 2006	DUKU	Stock Option (Right to buy)→ Common Stock	—	Direct
April 13, 2006	DUKU	Stock Option (Right to buy)→ Common Stock	—	Direct

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

DUKU

Fiscal year	Salary	Bonus	Stock awards	Option awards	Non-equity incentive	Pension change	Other	Total
2013	$0	$0	$6,727,407	$1,600,002	$0	$311,187	$916,620	$9,555,216
2012	$0	$0	$6,373,023	$1,600,000	$0	$388,257	$369,229	$8,730,509
2011	$0	$0	$6,439,381	$1,600,001	$0	$328,742	$412,134	$8,780,258

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.