James W Duncan

Insider

First SEC filing: Nov. 4, 2004 · Latest: Nov. 4, 2004

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Insider at

0 buys (P) 0 sells (S) Net: $0 + 6 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

6 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Nov. 2, 2004	SMBC	M	8,982	$7.00	$62,874	0 Direct	-100.00%	Disposed	2000.0% (price as of 2026-08-20)
Nov. 2, 2004	SMBC	S	7,000	$16.30	$114,100	27,582 Direct	-20.24%	Disposed	801.8% (price as of 2026-08-20)
Nov. 2, 2004	SMBC	M	8,982	$7.00	$62,874	34,582 Direct	+35.09%	Acquired	2000.0% (price as of 2026-08-20)
May 18, 2004	SMBC	A	10,000	—	—	10,000 Direct	—	Acquired	(price as of 2026-08-20)
May 18, 2004	SMBC	A	1,000	—	—	25,600 Direct	+4.07%	Acquired	(price as of 2026-08-20)
March 8, 2004	SMBC	M	20,000	$7.00	$140,000	8,982 Direct	-69.01%	Disposed	2000.0% (price as of 2026-08-20)
March 8, 2004	SMBC	M	20,000	$7.00	$140,000	24,600 Direct	+434.78%	Acquired	2000.0% (price as of 2026-08-20)

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.

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

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Nov. 2, 2004	SMBC	Stock Option - Right to Buy	Common Stock (8,982)	$7.00	Aug. 19, 2009	8,982	Disposed
May 18, 2004	SMBC	Stock Option	Common (10,000)	$15.23	May 18, 2014	10,000	Acquired
March 8, 2004	SMBC	Common Stock	Common Stock	$7.00	Aug. 18, 2009	20,000	Disposed

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