Karen B Peetz
Insider
First SEC filing: June 11, 2020 · Latest: June 11, 2020
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net: $0
Price change vs the latest weekly close (updated to the current quote in your browser when available), split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Feb. 16, 2023 | C | A | 42,197 | · | · | 84,188 Direct | +100.49% | Acquired | |
| Jan. 20, 2023 | C | F | 3,953 | $49.37 | $195,160 | 41,991 Direct | -8.60% | Disposed | 144.3% (price as of ) |
| April 6, 2022 | TT | F | 256 | $151.99 | $38,909 | 3,713 Direct | -6.45% | Disposed | 192.7% (price as of ) |
| Feb. 10, 2022 | C | A | 33,412 | · | · | 45,944 Direct | +266.61% | Acquired | |
| Jan. 20, 2022 | C | F | 1,105 | $64.24 | $70,985 | 12,531 Direct | -8.10% | Disposed | 87.8% (price as of ) |
| June 4, 2021 | TT | F | 654 | $181.64 | $118,793 | 3,969 Direct | -14.15% | Disposed | 144.9% (price as of ) |
| June 3, 2021 | TT | A | 887 | · | · | 4,623 Direct | +23.74% | Acquired | |
| Feb. 11, 2021 | C | A | 11,657 | · | · | 13,637 Direct | +588.74% | Acquired | |
| June 6, 2020 | TT | F | 802 | $102.01 | $81,812 | 3,736 Direct | -17.67% | Disposed | 336.1% (price as of ) |
| June 4, 2020 | TT | A | 1,701 | · | · | 4,538 Direct | +59.96% | Acquired | |
| June 7, 2019 | TT | F | 866 | $125.22 | $108,441 | 2,469 Direct | -25.97% | Disposed | 358.0% (price as of ) |
| June 6, 2019 | TT | A | 1,301 | · | · | 3,335 Direct | +63.96% | Acquired | |
| June 7, 2018 | TT | A | 1,804 | · | · | 2,034 Direct | +784.35% | Acquired | |
| April 24, 2018 | WFC | A | 3,428 | $52.51 | $180,004 | 7,536 Direct | +83.45% | Acquired | |
| April 25, 2017 | WFC | A | 66 | · | · | 339 Direct | +24.18% | Acquired | |
| April 25, 2017 | WFC | A | 3,234 | $54.56 | $176,447 | 3,992 Direct | +426.65% | Acquired | |
| Feb. 21, 2017 | WFC | A | 15 | · | · | 273 Direct | +5.81% | Acquired | |
| Feb. 21, 2017 | WFC | A | 758 | $58.25 | $44,154 | 758 Direct | · | Acquired | |
| Nov. 10, 2016 | BNY | M | 32,580 | $22.03 | $717,737 | 189,591 Direct | +20.75% | Acquired | 559.4% (price as of ) |
| Nov. 10, 2016 | BNY | S | 32,580 | $46.18 | $1,504,544 | 157,011 Direct | -17.18% | Disposed | 214.6% (price as of ) |
| Nov. 10, 2016 | BNY | M | 52,102 | $40.40 | $2,104,921 | 209,113 Direct | +33.18% | Acquired | 259.6% (price as of ) |
| Nov. 10, 2016 | BNY | S | 52,102 | $46.14 | $2,403,986 | 157,011 Direct | -24.92% | Disposed | 214.8% (price as of ) |
| Nov. 10, 2016 | BNY | M | 24,198 | $42.83 | $1,036,400 | 181,209 Direct | +15.41% | Acquired | 239.2% (price as of ) |
| Nov. 10, 2016 | BNY | S | 24,198 | $46.31 | $1,120,609 | 157,011 Direct | -13.35% | Disposed | 213.7% (price as of ) |
| Nov. 10, 2016 | BNY | M | 8,964 | $44.59 | $399,705 | 165,975 Direct | +5.71% | Acquired | 225.8% (price as of ) |
| Nov. 10, 2016 | BNY | S | 8,964 | $46.11 | $413,330 | 157,011 Direct | -5.40% | Disposed | 215.1% (price as of ) |
| Nov. 10, 2016 | BNY | M | 109,412 | $42.31 | $4,629,222 | 266,423 Direct | +69.68% | Acquired | 243.3% (price as of ) |
| Nov. 10, 2016 | BNY | S | 109,412 | $45.97 | $5,029,670 | 157,011 Direct | -41.07% | Disposed | 216.0% (price as of ) |
| Nov. 10, 2016 | BNY | M | 17,609 | $34.63 | $609,800 | 174,620 Direct | +11.22% | Acquired | 319.5% (price as of ) |
| Nov. 10, 2016 | BNY | S | 17,609 | $46.27 | $814,768 | 157,011 Direct | -10.08% | Disposed | 214.0% (price as of ) |
| Nov. 10, 2016 | BNY | M | 32,580 | · | · | 0 Direct | -100.00% | Disposed | |
| Nov. 10, 2016 | BNY | M | 52,102 | · | · | 0 Direct | -100.00% | Disposed | |
| Nov. 10, 2016 | BNY | M | 24,198 | · | · | 0 Direct | -100.00% | Disposed | |
| Nov. 10, 2016 | BNY | M | 8,964 | · | · | 0 Direct | -100.00% | Disposed | |
| Nov. 10, 2016 | BNY | M | 109,412 | · | · | 0 Direct | -100.00% | Disposed | |
| Nov. 10, 2016 | BNY | M | 17,609 | · | · | 0 Direct | -100.00% | Disposed | |
| May 4, 2016 | BNY | G | 5,000 | · | · | 221,769 Direct | -2.20% | Disposed | |
| May 4, 2016 | BNY | S | 65,000 | $39.24 | $2,550,600 | 156,769 Direct | -29.31% | Disposed | 270.2% (price as of ) |
| Feb. 21, 2016 | BNY | F | 3,221 | $34.93 | $112,510 | 262,072 Direct | -1.21% | Disposed | 315.9% (price as of ) |
| Feb. 21, 2016 | BNY | F | 35,303 | $34.93 | $1,233,134 | 226,769 Direct | -13.47% | Disposed | 315.9% (price as of ) |
| Feb. 20, 2016 | BNY | F | 4,689 | $34.93 | $163,787 | 265,293 Direct | -1.74% | Disposed | 315.9% (price as of ) |
| Feb. 19, 2016 | BNY | A | 56,986 | · | · | 237,086 Direct | +31.64% | Acquired | |
| Feb. 19, 2016 | BNY | A | 39,101 | · | · | 276,188 Direct | +16.49% | Acquired | |
| Feb. 19, 2016 | BNY | F | 6,206 | $34.93 | $216,776 | 269,982 Direct | -2.25% | Disposed | 315.9% (price as of ) |
| Dec. 16, 2015 | SXC | A | 8,786 | · | · | 32,689 Direct | +36.76% | Acquired | |
| Dec. 16, 2015 | SXC | J | 991 | · | · | 33,679 Direct | +3.03% | Acquired | |
| Oct. 29, 2015 | BNY | G | 3,507 | · | · | 179,644 Direct | -1.91% | Disposed | |
| Oct. 29, 2015 | BNY | M | 9,434 | $37.09 | $349,907 | 189,078 Direct | +5.25% | Acquired | 291.7% (price as of ) |
| Oct. 29, 2015 | BNY | S | 9,434 | $42.54 | $401,322 | 179,644 Direct | -4.99% | Disposed | 241.5% (price as of ) |
| Oct. 29, 2015 | BNY | M | 32,581 | $22.03 | $717,759 | 212,225 Direct | +18.14% | Acquired | 559.4% (price as of ) |
| Oct. 29, 2015 | BNY | S | 32,581 | $42.46 | $1,383,389 | 179,644 Direct | -15.35% | Disposed | 242.1% (price as of ) |
| Oct. 29, 2015 | BNY | M | 9,434 | · | · | 0 Direct | -100.00% | Disposed | |
| Oct. 29, 2015 | BNY | M | 32,581 | · | · | 32,580 Direct | -50.00% | Disposed | |
| Sept. 23, 2015 | SXC | A | 2,683 | · | · | 23,703 Direct | +12.76% | Acquired | |
| Sept. 23, 2015 | SXC | J | 200 | · | · | 23,903 Direct | +0.84% | Acquired | |
| June 24, 2015 | SXC | A | 1,891 | · | · | 20,825 Direct | +9.99% | Acquired | |
| June 24, 2015 | SXC | J | 195 | · | · | 21,020 Direct | +0.94% | Acquired | |
| April 27, 2015 | BNY | S | 50,000 | $42.08 | $2,104,000 | 186,310 Direct | -21.16% | Disposed | 245.2% (price as of ) |
| April 27, 2015 | BNY | G | 3,550 | · | · | 182,760 Direct | -1.91% | Disposed | |
| April 27, 2015 | BNY | M | 73,001 | $30.25 | $2,208,280 | 255,761 Direct | +39.94% | Acquired | 380.2% (price as of ) |
| April 27, 2015 | BNY | M | 106,072 | $30.13 | $3,195,949 | 361,833 Direct | +41.47% | Acquired | 382.1% (price as of ) |
| April 27, 2015 | BNY | S | 73,001 | $42.26 | $3,085,022 | 288,832 Direct | -20.18% | Disposed | 243.8% (price as of ) |
| April 27, 2015 | BNY | S | 106,072 | $42.18 | $4,474,117 | 182,760 Direct | -36.72% | Disposed | 244.4% (price as of ) |
| April 27, 2015 | BNY | M | 73,001 | · | · | 0 Direct | -100.00% | Disposed | |
| April 27, 2015 | BNY | M | 106,072 | · | · | 0 Direct | -100.00% | Disposed | |
| March 25, 2015 | SXC | A | 1,655 | · | · | 18,934 Direct | +9.58% | Acquired | |
| Feb. 23, 2015 | BNY | F | 15,838 | $39.17 | $620,374 | 236,304 Direct | -6.28% | Disposed | 270.9% (price as of ) |
| Feb. 21, 2015 | BNY | F | 3,555 | $39.44 | $140,209 | 252,142 Direct | -1.39% | Disposed | 268.3% (price as of ) |
| Feb. 20, 2015 | BNY | A | 31,240 | · | · | 221,574 Direct | +16.41% | Acquired | |
| Feb. 20, 2015 | BNY | A | 34,123 | · | · | 255,697 Direct | +15.40% | Acquired | |
| Feb. 19, 2015 | BNY | F | 6,196 | $39.12 | $242,388 | 190,335 Direct | -3.15% | Disposed | 271.3% (price as of ) |
| Dec. 17, 2014 | SXC | A | 1,319 | · | · | 17,279 Direct | +8.26% | Acquired | |
| Nov. 13, 2014 | BNY | M | 50,000 | $30.25 | $1,512,500 | 247,118 Direct | +25.37% | Acquired | 380.2% (price as of ) |
| Nov. 13, 2014 | BNY | S | 50,000 | $39.34 | $1,967,000 | 197,118 Direct | -20.23% | Disposed | 269.3% (price as of ) |
| Nov. 13, 2014 | BNY | M | 50,000 | $30.13 | $1,506,500 | 247,118 Direct | +25.37% | Acquired | 382.1% (price as of ) |
| Nov. 13, 2014 | BNY | S | 50,000 | $39.22 | $1,961,000 | 197,118 Direct | -20.23% | Disposed | 270.4% (price as of ) |
| Nov. 13, 2014 | BNY | M | 50,000 | · | · | 73,001 Direct | -40.65% | Disposed | |
| Nov. 13, 2014 | BNY | M | 50,000 | · | · | 106,072 Direct | -32.04% | Disposed | |
| Sept. 24, 2014 | SXC | A | 1,079 | · | · | 15,960 Direct | +7.25% | Acquired | |
| June 25, 2014 | SXC | A | 1,215 | · | · | 14,881 Direct | +8.89% | Acquired | |
| April 24, 2014 | BNY | M | 50,189 | $18.02 | $904,406 | 246,194 Direct | +25.61% | Acquired | 706.2% (price as of ) |
| April 24, 2014 | BNY | S | 50,189 | $33.86 | $1,699,400 | 196,005 Direct | -20.39% | Disposed | 329.0% (price as of ) |
| April 24, 2014 | BNY | M | 65,162 | $22.03 | $1,435,519 | 261,167 Direct | +33.25% | Acquired | 559.4% (price as of ) |
| April 24, 2014 | BNY | S | 65,162 | $33.83 | $2,204,430 | 196,005 Direct | -24.95% | Disposed | 329.4% (price as of ) |
| April 24, 2014 | BNY | M | 50,189 | · | · | 0 Direct | -100.00% | Disposed | |
| April 24, 2014 | BNY | M | 65,162 | · | · | 65,162 Direct | -50.00% | Disposed | |
| March 26, 2014 | SXC | A | 1,122 | · | · | 13,666 Direct | +8.94% | Acquired | |
| Feb. 24, 2014 | BNY | F | 24,397 | $31.80 | $775,825 | 196,005 Direct | -11.07% | Disposed | 356.8% (price as of ) |
| Feb. 23, 2014 | BNY | F | 15,839 | $31.35 | $496,553 | 220,402 Direct | -6.70% | Disposed | 363.4% (price as of ) |
| Feb. 21, 2014 | BNY | F | 3,555 | $31.35 | $111,449 | 236,241 Direct | -1.48% | Disposed | 363.4% (price as of ) |
| Feb. 19, 2014 | BNY | A | 17,621 | · | · | 194,899 Direct | +9.94% | Acquired | |
| Feb. 19, 2014 | BNY | A | 44,897 | · | · | 239,796 Direct | +23.04% | Acquired | |
| Dec. 18, 2013 | SXC | A | 1,136 | · | · | 12,544 Direct | +9.96% | Acquired | |
| Oct. 18, 2013 | BNY | M | 55,000 | $18.02 | $991,100 | 232,270 Direct | +31.03% | Acquired | 706.2% (price as of ) |
| Oct. 18, 2013 | BNY | S | 55,000 | $31.37 | $1,725,350 | 177,270 Direct | -23.68% | Disposed | 363.1% (price as of ) |
| Oct. 18, 2013 | BNY | M | 55,000 | · | · | 50,189 Direct | -52.29% | Disposed | |
| Sept. 25, 2013 | SXC | A | 1,503 | · | · | 11,408 Direct | +15.17% | Acquired | |
| June 26, 2013 | SXC | A | 1,699 | · | · | 9,905 Direct | +20.70% | Acquired | |
| March 27, 2013 | SXC | A | 1,531 | · | · | 8,206 Direct | +22.94% | Acquired | |
| March 16, 2013 | BNY | F | 19,229 | $28.85 | $554,757 | 177,261 Direct | -9.79% | Disposed | 403.5% (price as of ) |
Loaded 100 of 190 rows
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 |
|---|---|---|---|---|---|---|---|
| April 24, 2018 | WFC | Phantom Stock Units | Common Stock, $1 2/3 Par Value | · | · | 3,428 | Acquired |
| April 25, 2017 | WFC | Phantom Stock Units | Common Stock, $1 2/3 Par Value | · | · | 3,234 | Acquired |
| Feb. 21, 2017 | WFC | Phantom Stock Units | Common Stock, $1 2/3 Par Value | · | · | 758 | Acquired |
| Nov. 10, 2016 | BNY | 02/23/2012 Stock Options | Common Stock | $22.03 | Feb. 22, 2022 | 32,580 | Disposed |
| Nov. 10, 2016 | BNY | 03/13/2007 Stock Options | Common Stock | $40.40 | March 13, 2017 | 52,102 | Disposed |
| Nov. 10, 2016 | BNY | 04/02/2007 Stock Options | Common Stock | $42.83 | April 2, 2017 | 24,198 | Disposed |
| Nov. 10, 2016 | BNY | 07/23/2007 Stock Options | Common Stock | $44.59 | July 23, 2017 | 8,964 | Disposed |
| Nov. 10, 2016 | BNY | 03/10/2008 Stock Options | Common Stock | $42.31 | March 10, 2018 | 109,412 | Disposed |
| Nov. 10, 2016 | BNY | 07/21/2008 Stock Options | Common Stock | $34.63 | July 21, 2018 | 17,609 | Disposed |
| Dec. 16, 2015 | SXC | Deferred Share Units | Common Stock | · | · | 8,786 | Acquired |
| Dec. 16, 2015 | SXC | Deferred Share Units | Common Stock | · | · | 991 | Acquired |
| Oct. 29, 2015 | BNY | 03/14/2006 Stock Options | Common Stock | $37.09 | March 14, 2016 | 9,434 | Disposed |
| Oct. 29, 2015 | BNY | 02/23/2012 Stock Options | Common Stock | $22.03 | Feb. 22, 2022 | 32,581 | Disposed |
| Sept. 23, 2015 | SXC | Deferred Share Units | Common Stock | · | · | 2,683 | Acquired |
| Sept. 23, 2015 | SXC | Deferred Share Units | Common Stock | · | · | 200 | Acquired |
| June 24, 2015 | SXC | Deferred Share Units | Common Stock | · | · | 1,891 | Acquired |
| June 24, 2015 | SXC | Deferred Share Units | Common Stock | · | · | 195 | Acquired |
| April 27, 2015 | BNY | 03/16/2010 Stock Options | Common Stock | $30.25 | March 16, 2020 | 73,001 | Disposed |
| April 27, 2015 | BNY | 02/24/2011 Stock Options | Common Stock | $30.13 | March 24, 2021 | 106,072 | Disposed |
| March 25, 2015 | SXC | Deferred Share Units | Common Stock | · | · | 1,655 | Acquired |
| Dec. 17, 2014 | SXC | Deferred Share Units | Common Stock | · | · | 1,319 | Acquired |
| Nov. 13, 2014 | BNY | 03/16/2010 Stock Options | Common Stock | $30.25 | March 15, 2020 | 50,000 | Disposed |
| Nov. 13, 2014 | BNY | 02/24/2011 Stock Options | Common Stock | $30.13 | March 23, 2021 | 50,000 | Disposed |
| Sept. 24, 2014 | SXC | Deferred Share Units | Common Stock | · | · | 1,079 | Acquired |
| June 25, 2014 | SXC | Deferred Share Units | Common Stock | · | · | 1,215 | Acquired |
| April 24, 2014 | BNY | 03/09/2009 Stock Options | Common Stock | $18.02 | March 9, 2019 | 50,189 | Disposed |
| April 24, 2014 | BNY | 02/23/2012 Stock Options | Common Stock | $22.03 | Feb. 22, 2022 | 65,162 | Disposed |
| March 26, 2014 | SXC | Deferred Share Units | Common Stock | · | · | 1,122 | Acquired |
| Dec. 18, 2013 | SXC | Deferred Share Units | Common Stock | · | · | 1,136 | Acquired |
| Oct. 18, 2013 | BNY | 03/09/2009 Stock Options | Common Stock | $18.02 | March 9, 2019 | 55,000 | Disposed |
| Sept. 25, 2013 | SXC | Deferred Share Units | Common Stock | · | · | 1,503 | Acquired |
| June 26, 2013 | SXC | Deferred Share Units | Common Stock | · | · | 1,699 | Acquired |
| March 27, 2013 | SXC | Deferred Share Units | Common Stock | · | · | 1,531 | Acquired |
| Dec. 18, 2012 | SXC | Deferred Share Units | Common Stock | · | · | 1,605 | Acquired |
| Sept. 26, 2012 | SXC | Deferred Share Units | Common Stock | · | · | 1,477 | Acquired |
| June 27, 2012 | SXC | Deferred Share Units | Common Stock | · | · | 1,841 | Acquired |
| March 23, 2012 | SXC | Deferred Share Units | Common Stock | · | · | 1,752 | Acquired |
| Feb. 23, 2012 | BNY | EMP OPT-Right to Buy-Type NQ 2/23/2012 | Common Stock | $22.03 | Feb. 22, 2022 | 130,323 | Acquired |
| Feb. 24, 2011 | BNY | EMP OPT-Right to Buy-Type NQ 2/24/11 | Common Stock | $30.13 | Feb. 23, 2021 | 156,072 | Acquired |
| Feb. 7, 2011 | BNY | Performance Shares | Common Stock | · | March 15, 2011 | 7,673 | Disposed |
| April 2, 2010 | BNY | Restricted Stock Units | Common Stock | · | April 2, 2010 | 8,066 | Disposed |
| March 23, 2010 | BNY | Restricted Stock Units | Common Stock | · | March 23, 2010 | 26,415 | Disposed |
| March 16, 2010 | BNY | EMP OPT-Right to Buy-Type NQ 3/16/10 | Common Stock | $30.25 | March 15, 2020 | 123,001 | Acquired |
| March 9, 2009 | BNY | EMP OPT-Right to Buy-Type NQ 3/9/09 | Common Stock | $18.02 | March 8, 2019 | 105,189 | Acquired |
| July 21, 2008 | BNY | EMP OPT-RTB-Type NQ 07/21/08 | Common Stock | $34.63 | July 20, 2018 | 17,609 | Acquired |
| March 24, 2008 | BNY | 3/14/06 Stock Options $34.99 | Common Stock | $37.09 | March 14, 2016 | 9,434 | Disposed |
| March 10, 2008 | BNY | 3/9/2005 Stock Options $30.39 | Common Stock | $32.21 | March 9, 2015 | 9,434 | Disposed |
| March 10, 2008 | BNY | Emp Opt-RTB-Type NQ 3/10/08 | Common Stock | $42.31 | March 9, 2018 | 109,412 | Acquired |
| March 10, 2008 | BNY | Performance Shares [F5] | Common Stock | · | March 15, 2011 | 7,294 | Acquired |
| Dec. 31, 2007 | BNY | 1/12/99 Stock Options $35.56 | Common Stock | $37.70 | Jan. 12, 2009 | 33,019 | Disposed |
| Dec. 31, 2007 | BNY | 3/14/06 Stock Options $34.99 | Common Stock | $37.09 | March 14, 2016 | 9,434 | Disposed |
| July 23, 2007 | BNY | 7/23/2007 Stock Options $44.59 | Common Stock (Par Value $0.01) | $44.59 | July 22, 2017 | 8,964 | Acquired |
| July 9, 2007 | BNY | 3/4/04 Stock Options $33.09 | Common Stock | $35.08 | March 4, 2014 | 8,649 | Disposed |
| July 3, 2007 | BNY | 2/8/00 Stock Options $39.31 | Common Stock (Par Value $0.01) | $41.67 | Feb. 8, 2010 | 28,302 | Acquired |
| July 1, 2007 | BNY | 1/12/99 Stock Options $35.56 | Common Stock (Par Value $0.01) | $37.70 | Jan. 12, 2009 | 33,019 | Acquired |
| July 1, 2007 | BNY | 2/13/01 Stock Options $54.02 | Common Stock (Par Value $0.01) | $57.26 | Feb. 13, 2011 | 28,302 | Acquired |
| July 1, 2007 | BNY | 3/12/02 Stock Options $41.85 | Common Stock (Par Value $0.01) | $44.36 | March 12, 2012 | 37,736 | Acquired |
| July 1, 2007 | BNY | 3/13/2007 Stock Options $38.11 | Common Stock (Par Value $0.01) | $40.40 | March 13, 2017 | 52,102 | Acquired |
| July 1, 2007 | BNY | 3/14/06 Stock Options $34.99 | Common Stock (Par Value $0.01) | $37.09 | March 14, 2016 | 28,302 | Acquired |
| July 1, 2007 | BNY | 3/4/04 Stock Options $33.09 | Common Stock (Par Value $0.01) | $35.08 | March 4, 2014 | 8,648 | Acquired |
| July 1, 2007 | BNY | 3/9/2005 Stock Options $30.39 | Common Stock (Par Value $0.01) | $32.21 | March 9, 2015 | 9,434 | Acquired |
| July 1, 2007 | BNY | 4/2/2007 Stock Options $40.41 | Common Stock (Par Value $0.01) | $42.83 | April 2, 2017 | 24,198 | Acquired |
| July 1, 2007 | BNY | Restricted Stock Units | Common Stock (Par Value $0.01) | $37.05 | March 23, 2010 | 26,415 | Acquired |
| July 1, 2007 | BNY | Restricted Stock Units | Common Stock (Par Value $0.01) | $42.83 | April 2, 2010 | 8,066 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 3 holdings
Securities held when first becoming an insider, per SEC Form 3.
Holdings reported on Form 4 27 reported holdings
Positions listed on each Form 4 without a transaction in that filing (Table I and II holdings), newest filing first.
| Date | Ticker | Security | Shares | Exercise price | Expiration | Ownership |
|---|---|---|---|---|---|---|
| April 26, 2018 | WFC | Common Stock, $1 2/3 Par Value | 339 | · | · | Direct |
| Feb. 28, 2011 | BNY | Common Stock | 3,525 | · | · | Indirect |
| Feb. 28, 2011 | BNY | Common Stock | 3,524 | · | · | Indirect |
| Feb. 28, 2011 | BNY | Common Stock | 5,774 | · | · | Indirect |
| Feb. 9, 2011 | BNY | Common Stock | 3,525 | · | · | Indirect |
| Feb. 9, 2011 | BNY | Common Stock | 3,524 | · | · | Indirect |
| Feb. 9, 2011 | BNY | Common Stock | 5,774 | · | · | Indirect |
| Aug. 6, 2010 | BNY | Common Stock | 3,525 | · | · | Indirect |
| Aug. 6, 2010 | BNY | Common Stock | 3,524 | · | · | Indirect |
| Aug. 6, 2010 | BNY | Common Stock | 5,774 | · | · | Indirect |
| July 6, 2010 | BNY | Common Stock | 3,525 | · | · | Indirect |
| July 6, 2010 | BNY | Common Stock | 3,524 | · | · | Indirect |
| July 6, 2010 | BNY | Common Stock | 5,774 | · | · | Indirect |
| April 6, 2010 | BNY | Common Stock | 3,525 | · | · | Indirect |
| April 6, 2010 | BNY | Common Stock | 3,524 | · | · | Indirect |
| April 6, 2010 | BNY | Common Stock | 11,000 | · | · | Indirect |
| March 25, 2010 | BNY | Common Stock | 6,000 | · | · | Indirect |
| March 25, 2010 | BNY | Common Stock | 6,000 | · | · | Indirect |
| March 25, 2010 | BNY | Common Stock | 11,000 | · | · | Indirect |
| March 18, 2010 | BNY | Common Stock | 6,000 | · | · | Indirect |
| March 18, 2010 | BNY | Common Stock | 6,000 | · | · | Indirect |
| April 9, 2009 | BNY | Common Stock | 6,000 | · | · | Indirect |
| April 9, 2009 | BNY | Common Stock | 6,000 | · | · | Indirect |
| March 25, 2009 | BNY | Common Stock | 6,000 | · | · | Indirect |
| March 25, 2009 | BNY | Common Stock | 6,000 | · | · | Indirect |
| March 10, 2009 | BNY | Common Stock | 6,000 | · | · | Indirect |
| March 10, 2009 | BNY | Common Stock | 6,000 | · | · | Indirect |