Company · CIK 0001109546 · SIC 6021 — National Commercial Banks
PACIFIC MERCANTILE BANCORP · PMBC
Insider activity reported against this company. All insider holders · On EDGAR ↗
Reported at this company — common stock
| Trade | Reported (ET) | Insider | Shares | Avg price | Total | Owned after | Δ stake | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 14, 2019 SForm 4 → | Mar 14, 6:23 pm EDT | John Thomas M.D.Director | 10,000 | $7.83 | $78,309 | 65,248 | −13.3% | plan? |
| Mar 4, 2019 AForm 4 → | Mar 6, 8:39 pm EST | Paul W TaylorDirector | 1,829 | — | — | 1,829 | — | plan? |
| Feb 28, 2019 SForm 4 → | Feb 28, 8:30 pm EST | Tom WagnerEVP, Corporate Finance | 133 | $8.26 | $1,099 | 6,654 | −1.96% | plan? |
| Feb 22, 2019 SForm 4 → | Feb 25, 4:05 pm EST | Cindy VerityEVP, Head of Cash Management | 1,040 | $8.69 | $9,040 | 18,565 | −5.30% | plan? |
| Feb 22, 2019 SForm 4 → | Feb 25, 4:05 pm EST | Robert S. AndersonEVP & Chief Banking Officer | 557 | $8.68 | $4,836 | 99,788 | −0.56% | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 9:05 pm EST | Curtis BirkmannCTO | 5,497 | — | — | 13,413 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 7:06 pm EST | Frank AbrahamEVP, Relationship Banking Head | 8,199 | — | — | 13,576 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:35 pm EST | Stephen P YostDirector | 2,408 | — | — | 22,041 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:35 pm EST | John Thomas M.D.Director | 2,064 | — | — | 75,248 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:35 pm EST | David J MunioDirector | 2,150 | — | — | 9,268 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:35 pm EST | Denis P KalscheurDirector | 2,408 | — | — | 12,511 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:34 pm EST | Michael P HoopisDirector | 2,150 | — | — | 11,480 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:34 pm EST | John D FlemmingDirector | 2,150 | — | — | 11,480 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:34 pm EST | Edward John CarpenterDirector | 2,838 | — | — | 15,247 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:34 pm EST | Cindy VerityEVP, Head of Cash Management | 7,505 | — | — | 19,605 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:34 pm EST | Robert S. AndersonEVP & Chief Banking Officer | 8,165 | — | — | 100,345 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:33 pm EST | Maxwell SinclairEVP, Chief Compliance Officer | 8,293 | — | — | 31,800 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:33 pm EST | Thomas J. InserraEVP & Chief Credit Officer | 10,363 | — | — | 59,254 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:33 pm EST | Curt Alan ChristianssenEVP & CFO | 10,109 | — | — | 87,926 | — | plan? |
| Feb 20, 2019 AForm 4 → | Feb 21, 6:33 pm EST | Thomas VertinPresident and CEO, Director | 23,950 | — | — | 81,375 | — | plan? |
| Feb 20, 2019 SForm 4 → | Feb 20, 5:32 pm EST | Robert S. AndersonExecutive Vice President | 993 | $8.74 | $8,674 | 92,180 | −1.07% | plan? |
| Feb 20, 2019 SForm 4 → | Feb 20, 5:32 pm EST | Tom WagnerEVP, Corporate Finance | 1,163 | $8.74 | $10,159 | 6,787 | −14.6% | plan? |
| Feb 20, 2019 SForm 4 → | Feb 20, 5:32 pm EST | Cindy VerityEVP, Head of Cash Management | 2,550 | $8.74 | $22,275 | 12,100 | −17.4% | plan? |
| Jan 31, 2019 SForm 4 → | Feb 4, 4:17 pm EST | John Thomas M.D.Director | 17,500 | $7.85 | $137,393 | 73,184 | −19.3% | plan? |
| Dec 13, 2018 PForm 4 → | Dec 14, 4:12 pm EST | Curt Alan ChristianssenEVP & CFO | 20,000 | $7.57 | $151,340 | 77,817 | +34.6% | plan? |
| Dec 7, 2018 SForm 4 → | Dec 7, 8:48 pm EST | John Thomas M.D.Director | 7,000 | $7.53 | $52,680 | 90,684 | −7.17% | plan? |
| Nov 21, 2018 SForm 4 → | Nov 21, 6:43 pm EST | Tom WagnerEVP, Corporate Finance | 2,500 | $8.05 | $20,128 | 7,950 | −23.9% | plan? |
| Oct 29, 2018 PForm 4 → | Oct 29, 5:40 pm EDT | Thomas J. InserraEVP & Chief Credit Officer | 3,450 | $8.17 | $28,191 | 48,891 | +7.59% | plan? |
| Oct 26, 2018 SForm 4 → | Oct 30, 5:00 pm EDT | John Thomas M.D.Director | 5,000 | $8.28 | $41,375 | 97,684 | −4.87% | plan? |
| Oct 26, 2018 PForm 4 → | Oct 30, 2:19 pm EDT | Cindy VerityEVP, Head of Cash Management | 1,200 | $8.27 | $9,928 | 14,650 | +8.92% | plan? |
| Oct 25, 2018 PForm 4 → | Oct 25, 9:02 pm EDT | Thomas J. InserraEVP & Chief Credit Officer | 2,670 | $8.00 | $21,360 | 45,441 | +6.24% | plan? |
| Oct 24, 2018 PForm 4/A → | Oct 26, 2:41 pm EDT | Curt Alan ChristianssenEVP & CFO | 30,500 | $8.25 | $251,622 | 57,817 | +112% | plan? |
| Oct 24, 2018 PForm 4 → | Oct 25, 6:11 pm EDT | Curt Alan ChristianssenEVP & CFO | 30,500 | $8.22 | $250,710 | 57,817 | +112% | plan? amended |
| Sep 14, 2018 SForm 4 → | Sep 14, 5:52 pm EDT | Carpenter Fund Manager GP, LLC +1Other | 7,417,593 | $8.25 | $61,195,142 | 0 | −100% | plan? |
| Sep 14, 2018 JForm 4 → | Sep 14, 5:52 pm EDT | Carpenter Fund Manager GP, LLC +1Other | 2,934,310 | — | — | 1,467,155 | — | plan? |
| May 31, 2018 SForm 4 → | Jun 4, 5:51 pm EDT | Tom WagnerEVP, Corporate Finance | 1,000 | $9.75 | $9,750 | 10,450 | −8.73% | plan? |
| May 22, 2018 SForm 4 → | May 22, 8:14 pm EDT | John Thomas M.D.Director | 8,000 | $9.72 | $77,743 | 102,684 | −7.23% | plan? |
| May 11, 2018 SForm 4 → | May 15, 1:17 pm EDT | Tom WagnerEVP, Corporate Finance | 1,000 | $9.65 | $9,650 | 11,450 | −8.03% | plan? |
| Apr 25, 2018 SForm 4 → | Apr 25, 5:47 pm EDT | Warren T FinleyDirector | 6,505 | $9.59 | $62,383 | 4,630 | −58.4% | plan? |
| Mar 8, 2018 SForm 4 → | Mar 9, 8:41 pm EST | Nancy A GrayCAO | 7,000 | $9.10 | $63,700 | 6,088 | −53.5% | plan? |
| Mar 8, 2018 MForm 4 → | Mar 9, 8:41 pm EST | Nancy A GrayCAO | 7,000 | $3.48 | $24,360 | 13,088 | — | plan? |
| Mar 5, 2018 PForm 4 → | Mar 7, 4:23 pm EST | Thomas VertinPresident and CEO, Director | 7,400 | $8.59 | $63,550 | 57,425 | +14.8% | plan? |
| Mar 5, 2018 SForm 4 → | Mar 7, 10:32 am EST | John Thomas M.D.Director | 8,595 | $8.50 | $73,058 | 110,684 | −7.21% | plan? |
| Mar 2, 2018 SForm 4 → | Mar 2, 8:41 pm EST | John Thomas M.D.Director | 405 | $8.50 | $3,443 | 119,279 | −0.34% | plan? |
| Feb 23, 2018 AForm 4 → | Feb 26, 8:02 pm EST | Tom WagnerEVP, Corporate Finance | 1,488 | — | — | 12,450 | — | plan? |
| Feb 22, 2018 SForm 4 → | Feb 26, 8:02 pm EST | Tom WagnerEVP, Corporate Finance | 1,515 | $8.09 | $12,256 | 10,962 | −12.1% | plan? |
| Feb 22, 2018 SForm 4 → | Feb 23, 8:53 pm EST | Robert S. AndersonExecutive Vice President | 1,527 | $8.09 | $12,353 | 93,173 | −1.61% | plan? |
| Feb 22, 2018 SForm 4 → | Feb 23, 8:52 pm EST | Cindy VerityEVP, Head of Cash Management | 1,445 | $8.09 | $11,690 | 13,450 | −9.70% | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 9:00 pm EST | Stephen P YostDirector | 3,497 | — | — | 19,633 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 9:00 pm EST | John Thomas M.D.Director | 2,209 | — | — | 119,684 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | Thomas VertinPresident and CEO, Director | 11,418 | — | — | 50,025 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | Robert S. AndersonExecutive Vice President | 3,944 | — | — | 94,700 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | Thomas J. InserraEVP & Chief Credit Officer | 5,771 | — | — | 42,771 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | Curtis BirkmannCTO | 3,233 | — | — | 6,817 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | David J MunioDirector | 2,301 | — | — | 7,118 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:52 pm EST | Cindy VerityEVP, Head of Cash Management | 3,121 | — | — | 14,895 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:51 pm EST | Frank AbrahamEVP, Relationship Banking Head | 3,377 | — | — | 5,377 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:51 pm EST | Maxwell SinclairEVP, Chief Compliance Officer | 4,485 | — | — | 23,507 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:51 pm EST | Curt Alan ChristianssenEVP & CFO | 4,984 | — | — | 4,985 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:51 pm EST | Bosu RomirDirector | 2,209 | — | — | 23,512 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:50 pm EST | Edward John CarpenterDirector | 3,037 | — | — | 12,409 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:43 pm EST | Warren T FinleyDirector | 2,209 | — | — | 11,135 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:43 pm EST | John D FlemmingDirector | 2,301 | — | — | 9,330 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:43 pm EST | Michael P HoopisDirector | 2,301 | — | — | 9,330 | — | plan? |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:42 pm EST | Denis P KalscheurDirector | 2,577 | — | — | 10,103 | — | plan? |
| Feb 5, 2018 PForm 4 → | Feb 6, 5:59 pm EST | Thomas J. InserraEVP & Chief Credit Officer | 6,413 | $8.65 | $55,472 | 37,000 | +21.0% | plan? |
| Jan 31, 2018 PForm 4 → | Feb 2, 7:16 pm EST | Thomas J. InserraEVP & Chief Credit Officer | 3,587 | $8.73 | $31,332 | 30,587 | +13.3% | plan? |
| Dec 11, 2017 SForm 4 → | Dec 13, 4:32 pm EST | Kittridge ChamberlainEVP Corporate Finance | 9,392 | $8.84 | $83,044 | 18,891 | −33.2% | plan? |
| Dec 11, 2017 MForm 4 → | Dec 13, 4:32 pm EST | Kittridge ChamberlainEVP Corporate Finance | 10,207 | $6.76 | $68,983 | 21,477 | — | plan? |
| Dec 6, 2017 SForm 4 → | Dec 8, 5:00 pm EST | Kittridge ChamberlainEVP Corporate Finance | 7,123 | $9.48 | $67,508 | 16,966 | −29.6% | plan? |
| Dec 6, 2017 MForm 4 → | Dec 8, 5:00 pm EST | Kittridge ChamberlainEVP Corporate Finance | 10,203 | $6.51 | $66,471 | 19,544 | — | plan? |
| Dec 1, 2017 SForm 4 → | Dec 5, 6:47 pm EST | Kittridge ChamberlainEVP Corporate Finance | 6,774 | $9.72 | $65,872 | 14,996 | −31.1% | plan? |
| Dec 1, 2017 MForm 4 → | Dec 5, 6:47 pm EST | Kittridge ChamberlainEVP Corporate Finance | 10,203 | $6.24 | $63,667 | 17,238 | — | plan? |
| Sep 15, 2017 DForm 4 → | Sep 19, 7:24 pm EDT | Kittridge ChamberlainEVP Chief Banking Officer | 6,009 | — | — | 11,567 | — | plan? |
| Mar 7, 2017 SForm 4 → | Mar 8, 4:52 pm EST | Thomas VertinPresident and CEO, Director | 1,741 | $7.23 | $12,593 | 38,607 | −4.31% | plan? |
| Mar 6, 2017 SForm 4 → | Mar 7, 5:12 pm EST | Nancy A GrayCAO | 2,117 | $7.34 | $15,530 | 6,088 | −25.8% | plan? |
| Mar 1, 2017 SForm 4/A → | Mar 7, 5:11 pm EST | Nancy A GrayCAO | 2 | $7.55 | $15 | 8,205 | −0.02% | plan? |
| Mar 1, 2017 SForm 4 → | Mar 7, 4:19 pm EST | Nancy A GrayCAO | 2 | $7.55 | $15 | 9,086 | −0.02% | plan? late amended |
| Feb 27, 2017 SForm 4 → | Mar 6, 5:28 pm EST | Nancy A GrayCAO | 881 | $7.55 | $6,652 | 8,207 | −9.69% | plan? late |
| Feb 17, 2017 SForm 4 → | Feb 21, 6:20 pm EST | Maxwell SinclairChief Risk Officer | 1,124 | $7.54 | $8,475 | 19,022 | −5.58% | plan? |
| Feb 17, 2017 SForm 4 → | Feb 21, 4:05 pm EST | Tom WagnerEVP & Chief Strategy Officer | 1,598 | $7.56 | $12,089 | 12,477 | −11.4% | plan? |
| Feb 17, 2017 SForm 4 → | Feb 21, 4:05 pm EST | Thomas VertinPresident and CEO, Director | 369 | $7.54 | $2,782 | 40,348 | −0.91% | plan? |
| Feb 17, 2017 SForm 4 → | Feb 21, 4:04 pm EST | Curtis BirkmannCTO | 166 | $7.54 | $1,252 | 3,584 | −4.43% | plan? |
| Feb 17, 2017 SForm 4 → | Feb 21, 4:04 pm EST | Robert S. AndersonExecutive Vice President | 1,612 | $7.58 | $12,216 | 90,756 | −1.75% | plan? |
| Feb 17, 2017 SForm 4 → | Feb 17, 3:42 pm EST | David J MunioDirector | 1,065 | $7.54 | $8,030 | 3,752 | −22.1% | plan? amended |
| Feb 15, 2017 AForm 4/A → | Feb 17, 6:45 pm EST | David J MunioDirector | 2,467 | — | — | 4,817 | — | plan? |
| Feb 15, 2017 AMForm 4/A → | Feb 17, 5:28 pm EST | John Thomas M.D.Director | 14,368 | $3.51 | $42,120 | 117,475 | — | plan? |
| Feb 15, 2017 AForm 4/A → | Feb 17, 5:28 pm EST | Bosu RomirDirector | 2,368 | — | — | 21,303 | — | plan? |
| Feb 15, 2017 AForm 4/A → | Feb 17, 5:27 pm EST | Warren T FinleyDirector | 2,368 | — | — | 8,926 | — | plan? |
| Feb 15, 2017 AForm 4/A → | Feb 17, 5:27 pm EST | Edward John CarpenterDirector | 3,289 | — | — | 9,372 | — | plan? |
| Feb 15, 2017 AForm 4/A → | Feb 17, 5:27 pm EST | John D FlemmingDirector | 2,467 | — | — | 7,029 | — | plan? |
| Feb 15, 2017 AForm 4/A → | Feb 17, 5:27 pm EST | Michael P HoopisDirector | 2,467 | — | — | 7,029 | — | plan? |
| Feb 15, 2017 AForm 4/A → | Feb 17, 5:27 pm EST | Stephen P YostDirector | 3,750 | — | — | 12,331 | — | plan? |
| Feb 15, 2017 AForm 4/A → | Feb 17, 5:26 pm EST | Denis P KalscheurDirector | 2,763 | — | — | 7,526 | — | plan? |
| Feb 15, 2017 AForm 4 → | Feb 17, 3:42 pm EST | Denis P KalscheurDirector | 2,763 | — | — | 7,526 | — | plan? |
| Feb 15, 2017 AForm 4 → | Feb 17, 3:42 pm EST | Stephen P YostDirector | 3,750 | — | — | 12,331 | — | plan? |
| Feb 15, 2017 AForm 4 → | Feb 17, 3:42 pm EST | Michael P HoopisDirector | 2,467 | — | — | 7,029 | — | plan? amended |
| Feb 15, 2017 AForm 4 → | Feb 17, 3:42 pm EST | John D FlemmingDirector | 2,467 | — | — | 7,029 | — | plan? amended |
| Feb 15, 2017 AForm 4 → | Feb 17, 3:42 pm EST | Warren T FinleyDirector | 2,368 | — | — | 8,926 | — | plan? |
| Feb 15, 2017 AForm 4 → | Feb 17, 3:42 pm EST | Edward John CarpenterDirector | 3,289 | — | — | 9,372 | — | plan? |
Reported at this company — derivatives (options, RSUs, warrants)
| Trade | Reported (ET) | Insider | Shares | Avg price | Total | Owned after | Δ stake | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 8, 2018 MForm 4 → | Mar 9, 8:41 pm EST | Nancy A GrayCAO | 7,000 | — | — | 28,003 | — | |
| Feb 23, 2018 AForm 4 → | Feb 26, 8:02 pm EST | Tom WagnerEVP, Corporate Finance | 4,336 | — | — | 4,336 | — | |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | Thomas VertinPresident and CEO, Director | 33,332 | — | — | 22,222 | — | |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | Robert S. AndersonExecutive Vice President | 11,513 | — | — | 11,513 | — | |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | Thomas J. InserraEVP & Chief Credit Officer | 16,847 | — | — | 11,231 | — | |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:53 pm EST | Curtis BirkmannCTO | 9,438 | — | — | 9,438 | — | |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:52 pm EST | Cindy VerityEVP, Head of Cash Management | 9,110 | — | — | 9,110 | — | |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:51 pm EST | Frank AbrahamEVP, Relationship Banking Head | 9,859 | — | — | 9,859 | — | |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:51 pm EST | Maxwell SinclairEVP, Chief Compliance Officer | 13,092 | — | — | 13,092 | — | |
| Feb 21, 2018 AForm 4 → | Feb 23, 8:51 pm EST | Curt Alan ChristianssenEVP & CFO | 14,552 | — | — | 14,552 | — | |
| Dec 11, 2017 MForm 4 → | Dec 13, 4:32 pm EST | Kittridge ChamberlainEVP Corporate Finance | 10,207 | — | — | 2,186 | — | |
| Dec 6, 2017 MForm 4 → | Dec 8, 5:00 pm EST | Kittridge ChamberlainEVP Corporate Finance | 10,203 | — | — | 4,577 | — | |
| Dec 1, 2017 MForm 4 → | Dec 5, 6:47 pm EST | Kittridge ChamberlainEVP Corporate Finance | 10,203 | — | — | 4,797 | — | |
| Feb 15, 2017 MForm 4/A → | Feb 17, 5:28 pm EST | John Thomas M.D.Director | 12,000 | — | — | 0 | — | |
| Feb 15, 2017 MForm 4 → | Feb 17, 3:41 pm EST | John Thomas M.D.Director | 12,000 | — | — | 0 | — | |
| Jun 14, 2016 AForm 4 → | Jun 17, 5:28 pm EDT | Thomas J. InserraEVP & Chief Credit Officer | 50,000 | — | — | 50,000 | — | late |
| May 3, 2016 MForm 4 → | May 3, 8:40 pm EDT | Robert J StevensEVP & CCO | 2,487 | — | — | 0 | — | |
| Apr 1, 2016 AForm 4 → | Apr 5, 7:05 pm EDT | Curtis BirkmannCTO | 11,250 | — | — | 11,250 | — | |
| Feb 16, 2016 AForm 4/A → | Mar 1, 6:06 pm EST | Maxwell SinclairChief Risk Officer | 20,678 | — | — | 20,678 | — | |
| Feb 16, 2016 AForm 4/A → | Mar 1, 6:06 pm EST | Thomas VertinPresident and CEO | 6,117 | — | — | 6,117 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 7:21 pm EST | Robert E SjogrenChief Operating Officer | 6,943 | — | — | 6,943 | — | |
| Feb 16, 2016 AForm 4 → | Feb 18, 7:20 pm EST | Thomas VertinPresident and CEO | 6,117 | — | — | 6,117 | — | amended |
| Feb 16, 2016 AForm 4 → | Feb 18, 7:17 pm EST | Maxwell SinclairChief Risk Officer | 20,678 | — | — | 20,678 | — | amended |
| Feb 16, 2016 AForm 4 → | Feb 18, 7:15 pm EST | Curt Alan ChristianssenChief Financial Officer | 7,778 | — | — | 7,778 | — | |
| Feb 9, 2016 MForm 4 → | Apr 5, 7:02 pm EDT | Nancy A GrayCAO | 4,000 | — | — | 10,000 | — | late |
| Feb 2, 2016 MForm 4 → | Feb 18, 7:13 pm EST | Charles DowEVP/ Chief Technology Officer | 5,000 | — | — | 1,000 | — | late |
| Jan 4, 2016 AForm 4 → | Jan 5, 2:07 pm EST | Thomas VertinPresident and CEO | 100,000 | — | — | 100,000 | — | |
| Sep 30, 2015 DForm 4 → | Oct 1, 4:17 pm EDT | CLINTON GROUP INC +3Other | 75,000 | — | — | 0 | — | |
| Jul 29, 2015 MForm 4 → | Apr 5, 2016, 6:48 pm EDT | Nancy A GrayCFO | 20,497 | $2.97 | $28,102 | 7,000 | — | late |
| Mar 6, 2015 AForm 4 → | Apr 2, 8:53 pm EDT | Noma BrutonEVP / Chief H.R. Officer | 4,844 | $7.09 | $34,344 | 4,844 | — | late |
| Mar 6, 2015 AForm 4 → | Apr 2, 8:44 pm EDT | Charles DowEVP/ Chief Technology Officer | 4,189 | $7.09 | $29,700 | 4,189 | — | late |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:42 pm EDT | Curt Alan ChristianssenChief Financial Officer | 7,855 | $7.09 | $55,692 | 7,855 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:36 pm EDT | Maxwell SinclairChief Risk Officer | 4,844 | $7.09 | $34,344 | 4,844 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:33 pm EDT | Robert E SjogrenChief Operating Officer | 5,760 | $7.09 | $40,838 | 5,760 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:28 pm EDT | Thomas VertinPresident, Commercial Banking | 10,343 | $7.09 | $73,332 | 10,343 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 8:07 pm EDT | Robert J StevensEVP & CCO | 7,462 | $7.09 | $52,906 | 7,462 | — | |
| Mar 6, 2015 AForm 4 → | Mar 10, 7:27 pm EDT | Steven K BusterPresident & CEO, Director | 20,620 | $7.09 | $146,196 | 20,620 | — |