Rebecca J Brooks

Insider

First SEC filing: Nov. 1, 2004 · Latest: Nov. 1, 2004

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.

Insider at

SMBC buying Nov. 17, 2011

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 11 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

11 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
May 13, 2026	SMBC	J	20,000	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-21)
May 13, 2026	SMBC	J	10,000	—	—	10,000 Indirect	—	Acquired	(price as of 2026-08-21)
Feb. 24, 2026	SMBC	A	400	—	—	31,800 Direct	+1.27%	Acquired	(price as of 2026-08-21)
Feb. 18, 2025	SMBC	A	400	—	—	31,400 Direct	+1.29%	Acquired	(price as of 2026-08-21)
Oct. 15, 2024	SMBC	W	20,000	—	—	20,000 Indirect	—	Acquired	(price as of 2026-08-21)
Feb. 8, 2024	SMBC	A	500	—	—	31,000 Direct	+1.64%	Acquired	(price as of 2026-08-21)
Feb. 21, 2023	SMBC	A	500	—	—	30,500 Direct	+1.67%	Acquired	(price as of 2026-08-21)
Feb. 20, 2018	SMBC	A	1,500	$35.21	$52,815	30,000 Direct	+5.26%	Acquired	110.6% (price as of 2026-08-21)
Oct. 10, 2014	SMBC	M	5,000	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-21)
Oct. 10, 2014	SMBC	M	5,000	$15.30	$76,500	14,250 Direct	+54.05%	Acquired	869.3% (price as of 2026-08-21)
June 29, 2012	SMBC	A	2,000	$21.50	$43,000	9,250 Direct	+27.59%	Acquired	589.8% (price as of 2026-08-21)
Nov. 17, 2011	SMBC	P	2,000	$19.00	$38,000	7,250 Direct	+38.10%	Acquired	680.5% (price as of 2026-08-21)
Nov. 16, 2009	SMBC	P	500	$11.25	$5,625	5,250 Direct	+10.53%	Acquired	1218.2% (price as of 2026-08-21)
June 1, 2009	SMBC	P	500	$9.00	$4,500	4,750 Direct	+11.76%	Acquired	1547.8% (price as of 2026-08-21)
Feb. 20, 2009	SMBC	P	500	$9.08	$4,540	4,250 Direct	+13.33%	Acquired	1533.3% (price as of 2026-08-21)
Aug. 14, 2008	SMBC	P	500	$14.75	$7,375	3,750 Direct	+15.38%	Acquired	905.4% (price as of 2026-08-21)
Aug. 17, 2007	SMBC	P	150	$15.00	$2,250	3,250 Direct	+4.84%	Acquired	888.7% (price as of 2026-08-21)
Aug. 16, 2007	SMBC	P	100	$15.00	$1,500	3,100 Direct	+3.33%	Acquired	888.7% (price as of 2026-08-21)
April 30, 2007	SMBC	P	500	$14.99	$7,495	3,000 Direct	+20.00%	Acquired	889.3% (price as of 2026-08-21)
Nov. 8, 2006	SMBC	P	250	$15.00	$3,750	2,500 Direct	+11.11%	Acquired	888.7% (price as of 2026-08-21)
Aug. 14, 2006	SMBC	P	500	$14.75	$7,375	2,250 Direct	+28.57%	Acquired	905.4% (price as of 2026-08-21)
Nov. 11, 2005	SMBC	P	500	$14.50	$7,250	1,750 Direct	+40.00%	Acquired	922.8% (price as of 2026-08-21)
Aug. 10, 2005	SMBC	P	500	$14.65	$7,325	1,250 Direct	+66.67%	Acquired	912.3% (price as of 2026-08-21)
May 24, 2005	SMBC	P	250	$14.46	$3,615	750 Direct	+50.00%	Acquired	925.6% (price as of 2026-08-21)
Oct. 29, 2004	SMBC	P	500	$17.20	$8,600	500 Direct	—	Acquired	762.2% (price as of 2026-08-21)

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
Oct. 10, 2014	SMBC	Stock Option (Right to Buy)	Common Stock (5,000)	$15.30	Oct. 18, 2014	5,000	Disposed

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

Initial ownership (Form 3) 2 holdings

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

Date	Ticker	Security	Shares	Ownership
Nov. 1, 2004	SMBC	Common Stock	0	Direct
Nov. 1, 2004	SMBC	Stock Option - Right to Buy→ Common Stock (5,000)	5,000	Direct