Insider at

04

Insider transactions

05
0 buys (P) 0 sells (S) Net: $0 + 3 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

3 other filings hidden
DateTickerCodeSharesPriceValue Owned afterΔ ownA/Dvs now
Nov. 17, 2011 SMBC P 2,000 $19.00 $38,000 75,554 Direct +2.72% Acquired 660.1% (price as of 2026-10-06)
May 30, 2008 SMBC S 5,000 $15.00 $75,000 73,554 Direct -6.37% Disposed 862.8% (price as of 2026-10-06)
Oct. 29, 2007 SMBC S 5,000 $14.96 $74,800 78,554 Direct +6.80% Acquired 865.4% (price as of 2026-10-06)
Aug. 16, 2007 SMBC S 5,000 $14.80 $74,000 83,554 Direct -5.65% Disposed 875.8% (price as of 2026-10-06)
Nov. 11, 2005 SMBC P 6,500 $14.50 $94,250 6,500 Indirect · Acquired 896.0% (price as of 2026-10-06)

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.

06
DateTickerSecurityUnderlying Exercise priceExpirationSharesA/D
March 8, 2004 SMBC Option to Buy common Stock · April 13, 2004 11,424 Disposed

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