John P Havens

Insider

First SEC filing: April 28, 2010 · Latest: April 28, 2010

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.
Compensation Executive pay disclosed in company proxy statements.

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 28 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

28 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Jan. 17, 2012	C	A	122,806	—	—	457,185 Direct	+36.73%	Acquired	(price as of 2026-08-20)
Oct. 27, 2011	C	S	50,000	$33.90	$1,695,000	334,379 Direct	-13.01%	Disposed	289.3% (price as of 2026-08-20)
Oct. 26, 2011	C	S	60,000	$30.41	$1,824,600	384,379 Direct	-13.50%	Disposed	334.0% (price as of 2026-08-20)
Feb. 14, 2011	C	A	2,000,000	—	—	2,000,000 Direct	—	Acquired	(price as of 2026-08-20)
Jan. 18, 2011	C	A	989,583	—	—	4,443,792 Direct	+28.65%	Acquired	(price as of 2026-08-20)
Dec. 30, 2010	C	A	157,563	—	—	3,526,735 Direct	+4.68%	Acquired	(price as of 2026-08-20)
Dec. 30, 2010	C	F	72,527	$4.76	$345,229	3,454,208 Direct	-2.06%	Disposed	177.3% (price as of 2026-08-20)
Nov. 30, 2010	C	F	82,197	$4.20	$345,227	3,369,172 Direct	-2.38%	Disposed	214.2% (price as of 2026-08-20)
Nov. 30, 2010	C	A	178,571	—	—	3,451,369 Direct	+5.46%	Acquired	(price as of 2026-08-20)
Oct. 29, 2010	C	F	82,788	$4.17	$345,226	3,272,798 Direct	-2.47%	Disposed	216.5% (price as of 2026-08-20)
Oct. 29, 2010	C	A	179,856	—	—	3,355,586 Direct	+5.66%	Acquired	(price as of 2026-08-20)
Sept. 30, 2010	C	F	799,616	$3.90	$3,118,502	3,175,730 Direct	-20.11%	Disposed	238.4% (price as of 2026-08-20)
Sept. 30, 2010	C	A	1,730,769	—	—	3,975,346 Direct	+77.11%	Acquired	(price as of 2026-08-20)
April 26, 2010	C	S	597,177	$4.68	$2,794,788	2,244,577 Direct	-21.01%	Disposed	182.0% (price as of 2026-08-20)
Dec. 30, 2009	C	A	2,710,843	—	—	3,788,754 Direct	+251.49%	Acquired	(price as of 2026-08-20)
Dec. 30, 2009	C	F	947,000	$3.32	$3,144,040	2,841,754 Direct	-25.00%	Disposed	297.5% (price as of 2026-08-20)
Jan. 14, 2009	C	A	577,911	—	—	1,077,911 Direct	+115.58%	Acquired	(price as of 2026-08-20)
Jan. 14, 2009	C	A	305,085	—	—	305,085 Direct	—	Acquired	(price as of 2026-08-20)
Jan. 14, 2009	C	A	305,085	—	—	305,085 Direct	—	Acquired	(price as of 2026-08-20)
Nov. 14, 2008	C	P	250,000	$9.53	$2,382,500	500,000 Direct	+100.00%	Acquired	38.5% (price as of 2026-08-20)
Nov. 13, 2008	C	P	250,000	$8.66	$2,165,000	250,000 Direct	—	Acquired	52.4% (price as of 2026-08-20)
March 21, 2005	MS	A	61,929	—	—	61,929 Direct	—	Acquired	(price as of 2026-08-20)
March 21, 2005	MS	M	87,780	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
March 21, 2005	MS	F	61,929	$57.52	$3,562,156	1,389,101 Direct	-4.27%	Disposed	271.7% (price as of 2026-08-20)
March 21, 2005	MS	M	87,780	$26.92	$2,363,038	1,451,030 Direct	+6.44%	Acquired	694.3% (price as of 2026-08-20)
Dec. 23, 2004	MS	G	20,000	—	—	1,363,250 Direct	-1.45%	Disposed	(price as of 2026-08-20)
Dec. 14, 2004	MS	A	158,603	—	—	1,383,250 Direct	+12.95%	Acquired	(price as of 2026-08-20)
July 14, 2004	MS	M	496,602	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
July 14, 2004	MS	F	231,531	$49.21	$11,393,641	1,224,647 Direct	-15.90%	Disposed	334.5% (price as of 2026-08-20)
July 14, 2004	MS	M	496,602	$9.02	$4,479,350	1,456,178 Direct	+51.75%	Acquired	2270.6% (price as of 2026-08-20)
Nov. 28, 2003	MS	A	58,313	—	—	959,576 Direct	+6.47%	Acquired	(price as of 2026-08-20)
Nov. 28, 2003	MS	A	131,205	—	—	131,205 Direct	—	Acquired	(price as of 2026-08-20)
Oct. 15, 2003	MS	G	10,000	—	—	901,263 Direct	-1.10%	Disposed	(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.

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
Feb. 14, 2011	C	Employee Stock Options (Right to Buy)	Common Stock (2,000,000)	$4.91	Feb. 14, 2017	2,000,000	Acquired
Jan. 14, 2009	C	Employee Stock Options (Right to Buy)	Common Stock (305,085)	$10.61	Jan. 14, 2019	305,085	Acquired
Jan. 14, 2009	C	Employee Stock Options (Right to Buy)	Common Stock (305,085)	$17.85	Jan. 14, 2019	305,085	Acquired
March 21, 2005	MS	Restoration Option (Right to Buy)	Common Stock (61,929)	$57.01	Jan. 2, 2008	61,929	Acquired
March 21, 2005	MS	Employee Stock Option (Right to Buy)	Common Stock (87,780)	$26.92	Jan. 2, 2008	87,780	Disposed
July 14, 2004	MS	Employee Stock Option (Right to Buy)	Common Stock (496,602)	$9.02	Jan. 31, 2005	496,602	Disposed
Nov. 28, 2003	MS	Employee Stock Option (Right to Buy)	Common Stock (131,205)	$55.45	Jan. 2, 2014	131,205	Acquired

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

Compensation (DEF 14A)

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

C

Fiscal year	Salary	Bonus	Stock awards	Option awards	Non-equity incentive	Pension change	Other	Total
2011	$500,000	$5,000,000	$4,750,000	$2,719,781	$0	$0	$14,700	$12,984,481
2010	$500,000	$0	$9,000,000	$0	$0	$0	$9,800	$9,509,800
2009	$500,000	$0	$10,327,374	$434,380	$0	$0	$14,700	$11,276,454

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