Kimberly A Capps
CIK 1504658 · View on SEC EDGAR ↗
Insider
First SEC filing: Nov. 1, 2010 · Latest: Nov. 1, 2010
On this page
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net:
$0
+ 18 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
18 other filings hidden
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Aug. 12, 2013 | SMBC | P | 170 | $27.99 | $4,758 | 170 Indirect | — | Acquired | 439.9% (price as of 2026-08-19) |
| Aug. 12, 2013 | SMBC | P | 170 | $27.99 | $4,758 | 170 Indirect | — | Acquired | 439.9% (price as of 2026-08-19) |
| Nov. 17, 2011 | SMBC | P | 8,684 | $19.00 | $164,996 | 14,840 Direct | +141.07% | Acquired | 695.4% (price as of 2026-08-19) |
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. 10, 2021 | SMBC | Stock Option (Right to buy) | Common stock (3,000) | $34.91 | Feb. 10, 2031 | 3,000 | Acquired |
| Feb. 18, 2020 | SMBC | Stock Option (Right to buy) | Common Stock (2,000) | $37.40 | Feb. 18, 2030 | 2,000 | Acquired |
| Jan. 15, 2020 | SMBC | Stock Option (Right to Buy) | Common Stock (5,000) | $6.38 | Jan. 19, 2020 | 5,000 | Disposed |
| Dec. 27, 2019 | SMBC | Stock Option (Right to Buy) | Common Stock (5,000) | $6.38 | Jan. 19, 2020 | 5,000 | Disposed |
| Jan. 4, 2019 | SMBC | Stock Option (Right to Buy) | Common Stock (2,000) | $34.35 | Jan. 4, 2029 | 2,000 | Acquired |
| Jan. 16, 2018 | SMBC | Stock Option (Right to Buy) | Common Stock (2,000) | $37.31 | Jan. 16, 2028 | 2,000 | Acquired |
| May 13, 2014 | SMBC | Stock Option (Right to Buy) | Common Stock (3,000) | $15.23 | May 18, 2014 | 3,000 | Disposed |
| Dec. 30, 2013 | SMBC | Stock Option (Right to Buy) | Common Stock (3,000) | $15.23 | May 18, 2014 | 3,000 | Disposed |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 4 holdings
Securities held when first becoming an insider, per SEC Form 3.