Company · CIK 0001403528 · SIC 6282 — Investment Advice · NYSE

Brookfield Oaktree Holdings, LLC · OAK-PA

Insider activity reported against this company. All insider holders · Files at: INFN, RWAY, IEA, EGLE, BRY, GNRT, STON, VST and 10 more. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market activity at this companybuys $98k · 1sales $10.4M · 21net −$10.3M

Reported at this company — common stock

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Aug 9, 2018 SForm 4 →	Aug 10, 6:01 pm EDT	Larry W KeeleDirector	8,333	$41.40	$345,027	8,656	−49.0%	plan?
Aug 8, 2018 GMForm 4 →	Aug 10, 6:01 pm EDT	Howard S MarksCo-Chairman, Director	241,600	—	—	101,826	—	plan?
Aug 8, 2018 GMForm 4 →	Aug 10, 5:59 pm EDT	Sheldon M StonePrincipal, Director	500,000	—	—	101,009	—	plan?
Aug 8, 2018 AForm 4 →	Aug 10, 5:58 pm EDT	Jay S WintrobChief Executive Officer, Director	328	—	—	118,416	—	plan?
Aug 1, 2018 FForm 4 →	Aug 3, 4:47 pm EDT	Jay S WintrobChief Executive Officer, Director	3,713	—	—	118,088	—	plan?
Jun 5, 2018 SForm 4 →	Jun 7, 6:24 pm EDT	Todd E MolzSee Remarks	16,316	$41.30	$673,923	95,318	−14.6%	plan?
May 23, 2018 SForm 4 →	May 25, 2:35 pm EDT	Larry W KeeleDirector	17,676	$40.00	$707,094	16,989	−51.0%	plan?
May 21, 2018 SForm 4 →	May 23, 2:31 pm EDT	Larry W KeeleDirector	21,090	$40.01	$843,775	34,665	−37.8%	plan?
May 14, 2018 SForm 4 →	May 16, 4:36 pm EDT	Larry W KeeleDirector	2,900	$40.08	$116,235	55,755	−4.94%	plan?
Mar 28, 2018 AForm 4 →	Mar 29, 4:27 pm EDT	Marna C WhittingtonDirector	2,301	—	—	19,123	—	plan?
Mar 28, 2018 AForm 4 →	Mar 29, 4:25 pm EDT	David Richard MassonDirector	2,301	—	—	12,700	—	plan?
Mar 28, 2018 AForm 4 →	Mar 29, 4:24 pm EDT	Wayne G PiersonDirector	2,301	—	—	8,782	—	plan?
Mar 28, 2018 AForm 4 →	Mar 29, 4:23 pm EDT	Daniel D LevinSee Remarks	41,986	—	—	111,995	—	plan?
Mar 28, 2018 AForm 4 →	Mar 29, 4:21 pm EDT	Jay S WintrobChief Executive Officer, Director	28,305	—	—	121,801	—	plan?
Mar 28, 2018 AForm 4 →	Mar 29, 4:20 pm EDT	Robert E DenhamDirector	2,301	—	—	26,973	—	plan?
Mar 28, 2018 AForm 4 →	Mar 29, 4:20 pm EDT	Todd E MolzSee Remarks	23,006	—	—	111,634	—	plan?
Mar 28, 2018 AForm 4 →	Mar 29, 4:19 pm EDT	Steven J GilbertDirector	2,301	—	—	4,969	—	plan?
Feb 15, 2018 FForm 4 →	Feb 20, 8:32 pm EST	Daniel D LevinSee Remarks	6,997	—	—	70,009	—	plan?
Feb 15, 2018 FForm 4 →	Feb 20, 8:32 pm EST	Susan GentileSee Remarks	1,893	—	—	28,931	—	plan?
Feb 15, 2018 FForm 4 →	Feb 20, 8:31 pm EST	Todd E MolzSee Remarks	8,037	—	—	88,628	—	plan?
Feb 15, 2018 FForm 4 →	Feb 20, 8:31 pm EST	Jay S WintrobChief Executive Officer, Director	5,583	—	—	93,496	—	plan?
Feb 12, 2018 DForm 4 →	Feb 15, 6:07 am EST	Bruce A KarshSee Remarks, Director	5,000,000	—	—	86,682,408	—	plan? late
Feb 12, 2018 DForm 4 →	Feb 15, 6:03 am EST	Howard S MarksCo-Chairman, Director	5,000,000	—	—	86,682,408	—	plan? late
Jan 1, 2018 FForm 4 →	Jan 3, 7:17 pm EST	Todd E MolzSee Remarks	2,052	$42.10	$86,389	96,665	—	plan?
Dec 6, 2017 GMForm 4 →	Dec 8, 8:05 pm EST	Howard S MarksCo-Chairman, Director	250,000	—	—	101,826	—	plan?
Nov 7, 2017 GMForm 4 →	Nov 9, 7:51 pm EST	Bruce A KarshSee Remarks, Director	1,000,000	—	—	101,826	—	plan?
Aug 18, 2017 SForm 4 →	Aug 21, 6:13 pm EDT	John FrankVice Chairman, Director	16,666	$46.72	$778,559	41,667	−28.6%	plan?
Aug 17, 2017 GMForm 4 →	Aug 21, 6:10 pm EDT	Sheldon M StonePrincipal, Director	750,000	—	—	101,009	—	plan?
Aug 16, 2017 AForm 4 →	Aug 18, 4:15 pm EDT	Jay S WintrobChief Executive Officer, Director	30,513	—	—	99,079	—	plan?
Mar 31, 2017 AForm 4 →	Apr 5, 12:56 pm EDT	Robert E DenhamDirector	2,262	—	—	24,672	—	plan? late
Mar 31, 2017 AForm 4 →	Apr 5, 12:49 pm EDT	Jay S WintrobChief Executive Officer, Director	42,653	—	—	68,566	—	plan? late
Mar 31, 2017 AForm 4 →	Apr 5, 12:47 pm EDT	Wayne G PiersonDirector	2,262	—	—	6,481	—	plan? late
Mar 31, 2017 AForm 4 →	Apr 5, 12:46 pm EDT	Marna C WhittingtonDirector	2,262	—	—	16,822	—	plan? late
Mar 31, 2017 AForm 4 →	Apr 5, 12:43 pm EDT	Todd E MolzSee Remarks	22,621	—	—	98,717	—	plan? late
Mar 31, 2017 AForm 4 →	Apr 5, 12:43 pm EDT	David Richard MassonDirector	2,262	—	—	10,399	—	plan? late
Mar 31, 2017 AForm 4 →	Apr 5, 12:38 pm EDT	Susan GentileSee Remarks	16,196	—	—	32,055	—	plan? late
Mar 31, 2017 AForm 4 →	Apr 5, 12:38 pm EDT	Steven J GilbertDirector	2,262	—	—	2,668	—	plan? late
Feb 27, 2017 SForm 4 →	Mar 1, 6:09 am EST	John FrankVice Chairman, Director	16,852	$45.11	$760,180	58,333	−22.4%	plan?
Feb 27, 2017 SForm 4 →	Mar 1, 6:05 am EST	Larry W KeeleDirector	8,334	$45.34	$377,832	58,655	−12.4%	plan?
Feb 16, 2017 SForm 4 →	Feb 17, 7:52 pm EST	Todd E MolzSee Remarks	21,011	$45.34	$952,550	76,096	−21.6%	plan?
Feb 15, 2017 SForm 4 →	Feb 17, 7:58 pm EST	David M KirchheimerSee Remarks, Director	8,333	$45.74	$381,170	58,470	−12.5%	plan?
Feb 15, 2017 FForm 4 →	Feb 17, 7:57 pm EST	Susan GentileSee Remarks	1,893	—	—	15,859	—	plan?
Feb 15, 2017 FForm 4 →	Feb 17, 7:54 pm EST	Jay S WintrobChief Executive Officer, Director	2,215	—	—	25,913	—	plan?
Jan 1, 2017 FForm 4 →	Jan 4, 8:17 pm EST	Todd E MolzSee Remarks	2,070	$37.50	$77,625	97,107	—	plan?
Dec 6, 2016 GMForm 4 →	Dec 8, 2017, 8:18 pm EST	John FrankVice Chairman, Director	6,500	—	—	41,667	—	plan? late
Dec 6, 2016 GMForm 4 →	Dec 8, 2017, 8:05 pm EST	Todd E MolzSee Remarks	4,000	—	—	98,717	—	plan? late
Nov 22, 2016 GForm 4 →	Nov 23, 12:45 pm EST	John FrankVice Chairman, Director	3,000	—	—	75,185	—	plan?
Nov 16, 2016 GMForm 4 →	Nov 18, 8:35 pm EST	Stephen A KaplanPrincipal, Director	50,000	—	—	100,181	—	plan?
Nov 16, 2016 GMForm 4 →	Nov 18, 8:35 pm EST	John FrankVice Chairman, Director	17,000	—	—	78,185	—	plan?
Nov 16, 2016 GMForm 4 →	Nov 18, 8:34 pm EST	Howard S MarksCo-Chairman, Director	150,000	—	—	101,826	—	plan?
Nov 15, 2016 SForm 4 →	Nov 17, 8:15 pm EST	David M KirchheimerSee Remarks, Director	8,333	$40.90	$340,811	66,667	−11.1%	plan?
Nov 14, 2016 AForm 4 →	Nov 16, 8:31 pm EST	Steven J GilbertDirector	406	—	—	406	—	plan?
Nov 4, 2016 SForm 4 →	Nov 8, 9:20 pm EST	Larry W KeeleDirector	8,333	$39.07	$325,604	66,989	−11.1%	plan?
Aug 16, 2016 GMForm 4 →	Aug 18, 7:33 pm EDT	Howard S MarksCo-Chairman, Director	600,000	—	—	101,826	—	plan?
Aug 16, 2016 SForm 4 →	Aug 18, 5:56 pm EDT	Larry W KeeleDirector	16,667	$44.41	$740,176	75,322	−18.1%	plan?
Aug 5, 2016 SForm 4 →	Aug 9, 8:22 pm EDT	David M KirchheimerSee Remarks, Director	16,667	$45.09	$751,542	75,000	−18.2%	plan?
Aug 5, 2016 SForm 4 →	Aug 9, 8:21 pm EDT	John FrankVice Chairman, Director	16,667	$45.09	$751,494	75,000	−18.2%	plan?
Mar 31, 2016 AForm 4 →	Apr 4, 7:49 pm EDT	Todd E MolzSee Remarks	14,077	—	—	99,177	—	plan?
Mar 31, 2016 AForm 4 →	Apr 4, 7:49 pm EDT	Marna C WhittingtonDirector	2,234	—	—	14,560	—	plan?
Mar 31, 2016 AForm 4 →	Apr 4, 7:49 pm EDT	Wayne G PiersonDirector	2,234	—	—	4,219	—	plan?
Mar 31, 2016 AForm 4 →	Apr 4, 7:47 pm EDT	David Richard MassonDirector	2,234	—	—	108,650	—	plan?
Mar 31, 2016 AForm 4 →	Apr 4, 7:46 pm EDT	Jay S WintrobChief Executive Officer, Director	21,937	—	—	28,128	—	plan?
Mar 31, 2016 AForm 4 →	Apr 4, 7:45 pm EDT	Susan GentileSee Remarks	5,318	—	—	17,752	—	plan?
Mar 31, 2016 AForm 4 →	Apr 4, 7:44 pm EDT	Robert E DenhamDirector	2,234	—	—	22,410	—	plan?
Mar 10, 2016 GMForm 4 →	Mar 14, 8:56 pm EDT	Howard S MarksCo-Chairman, Director	220,000	—	—	101,826	—	plan?
Mar 9, 2016 SForm 4 →	Mar 11, 5:35 pm EST	Todd E MolzSee Remarks	8,200	$48.21	$395,310	85,100	−8.79%	plan?
Mar 8, 2016 SForm 4 →	Mar 9, 8:32 pm EST	John FrankVice Chairman, Director	8,333	$48.13	$401,080	91,852	−8.32%	plan?
Mar 1, 2016 FForm 4 →	Mar 3, 7:48 pm EST	Todd E MolzSee Remarks	4,596	$45.79	$210,451	93,300	—	plan?
Mar 1, 2016 FForm 4 →	Mar 3, 7:47 pm EST	Susan GentileSee Remarks	1,289	$45.79	$59,023	12,434	—	plan?
Feb 18, 2016 SForm 4 →	Feb 19, 6:12 pm EST	David M KirchheimerSee Remarks, Director	2,333	$45.35	$105,802	91,803	−2.48%	plan?
Feb 11, 2016 SForm 4 →	Feb 12, 4:48 pm EST	Todd E MolzSee Remarks	100	$45.25	$4,525	97,896	−0.10%	plan?
Feb 11, 2016 SForm 4 →	Feb 12, 4:47 pm EST	Larry W KeeleDirector	8,333	$45.25	$377,068	91,989	−8.31%	plan?
Feb 11, 2016 SForm 4 →	Feb 12, 4:44 pm EST	David M KirchheimerSee Remarks, Director	6,000	$45.25	$271,500	94,136	−5.99%	plan?
Feb 10, 2016 GMForm 4 →	Feb 14, 2017, 9:08 pm EST	Howard S MarksCo-Chairman, Director	280,000	—	—	101,826	—	plan? late
Jan 1, 2016 FForm 4 →	Jan 5, 8:04 pm EST	Todd E MolzSee Remarks	2,015	$47.72	$96,156	97,996	—	plan?
Nov 30, 2015 PForm 4 →	Dec 1, 4:29 pm EST	Marna C WhittingtonDirector	2,000	$48.98	$97,958	12,326	+19.4%	plan?
Nov 19, 2015 GMForm 4 →	Nov 23, 4:17 pm EST	Stephen A KaplanPrincipal, Director	30,000	—	—	100,181	—	plan?
Nov 19, 2015 GMForm 4 →	Nov 23, 4:17 pm EST	Sheldon M StonePrincipal, Director	300,000	—	—	101,009	—	plan?
Nov 19, 2015 GMForm 4 →	Nov 23, 4:15 pm EST	Howard S MarksCo-Chairman, Director	239,234	—	—	101,826	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:19 pm EST	Caleb S KramerManaging Director	100,000	—	—	100,079	—	plan?
Nov 16, 2015 DMForm 4 →	Nov 18, 9:18 pm EST	Bruce A KarshSee Remarks, Director	13,098,725	—	—	92,292,013	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:18 pm EST	Todd E MolzSee Remarks	100,000	—	—	100,011	—	plan?
Nov 16, 2015 DMForm 4 →	Nov 18, 9:14 pm EST	Howard S MarksCo-Chairman, Director	13,098,725	—	—	92,292,013	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:14 pm EST	Sheldon M StonePrincipal, Director	100,000	—	—	101,009	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:12 pm EST	Larry W KeeleDirector	100,000	—	—	100,322	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:09 pm EST	David M KirchheimerSee Remarks, Director	100,000	—	—	100,136	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:08 pm EST	Scott L GravesManaging Director	100,000	—	—	100,072	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:04 pm EST	B James FordManaging Director	100,000	—	—	100,120	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:03 pm EST	Susan GentileSee Remarks	13,723	—	—	13,723	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 9:00 pm EST	Stephen A KaplanPrincipal, Director	100,000	—	—	100,181	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 8:57 pm EST	John FrankVice Chairman, Director	100,000	—	—	100,185	—	plan?
Nov 16, 2015 MForm 4 →	Nov 18, 8:56 pm EST	David Richard MassonDirector	100,000	—	—	106,416	—	plan?
Sep 10, 2015 GMForm 4 →	Sep 11, 4:11 pm EDT	Bruce A KarshSee Remarks, Director	600,000	—	—	1,826	—	plan?
Mar 11, 2015 DForm 4 →	Mar 12, 9:06 pm EDT	Howard S MarksCo-Chairman, Director	600,000	—	—	105,310,421	—	plan?
Mar 11, 2015 DForm 4 →	Mar 12, 9:02 pm EDT	Bruce A KarshSee Remarks, Director	600,000	—	—	105,310,421	—	plan?
Mar 6, 2015 DForm 4 →	Mar 9, 8:43 pm EDT	Howard S MarksCo-Chairman, Director	4,000,000	—	—	105,910,421	—	plan?
Mar 6, 2015 DForm 4 →	Mar 9, 8:41 pm EDT	Bruce A KarshSee Remarks, Director	4,000,000	—	—	105,910,421	—	plan?
Feb 17, 2015 AForm 4 →	Feb 19, 6:13 am EST	Marna C WhittingtonDirector	1,985	—	—	10,326	—	plan?
Feb 17, 2015 AForm 4 →	Feb 19, 6:11 am EST	Wayne G PiersonDirector	1,985	—	—	1,985	—	plan?
Feb 17, 2015 AForm 4 →	Feb 19, 6:08 am EST	Robert E DenhamDirector	1,985	—	—	20,176	—	plan?

Reported at this company — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Aug 8, 2018 MForm 4 →	Aug 10, 6:01 pm EDT	Howard S MarksCo-Chairman, Director	120,800	—	—	16,812,800	—
Aug 8, 2018 MForm 4 →	Aug 10, 5:59 pm EDT	Sheldon M StonePrincipal, Director	250,000	—	—	8,716,757	—
Feb 15, 2018 FForm 4 →	Feb 20, 8:31 pm EST	Jay S WintrobChief Executive Officer, Director	7,780	—	—	217,220	—
Feb 12, 2018 MForm 4 →	Feb 15, 6:07 am EST	Bruce A KarshSee Remarks, Director	1,012,295	$43.95	$44,490,365	2,803,526	—	late
Feb 12, 2018 MForm 4 →	Feb 15, 6:06 am EST	John FrankVice Chairman, Director	119,145	$43.95	$5,236,423	1,507,149	—	late
Feb 12, 2018 MForm 4 →	Feb 15, 6:04 am EST	Larry W KeeleDirector	170,127	$43.95	$7,477,082	1,953,181	—	late
Feb 12, 2018 MForm 4 →	Feb 15, 6:04 am EST	David Richard MassonDirector	167,066	$43.95	$7,342,551	2,682,424	—	late
Feb 12, 2018 DForm 4 →	Feb 15, 6:03 am EST	Howard S MarksCo-Chairman, Director	1,141,744	$43.95	$50,179,649	12,170,574	—	late
Feb 12, 2018 MForm 4 →	Feb 15, 6:01 am EST	Sheldon M StonePrincipal, Director	558,466	$43.95	$24,544,581	8,966,757	—	late
Feb 12, 2018 MForm 4 →	Feb 14, 9:52 pm EST	Todd E MolzSee Remarks	9,420	$43.95	$414,009	190,884	—
Dec 31, 2017 GForm 4 →	Jan 3, 2018, 8:29 pm EST	John FrankVice Chairman, Director	489,059	—	—	248,301	—
Dec 6, 2017 MForm 4 →	Dec 8, 8:18 pm EST	John FrankVice Chairman, Director	3,250	—	—	2,097,147	—
Dec 6, 2017 MForm 4 →	Dec 8, 8:05 pm EST	Todd E MolzSee Remarks	2,000	—	—	200,304	—
Dec 6, 2017 MForm 4 →	Dec 8, 8:05 pm EST	Howard S MarksCo-Chairman, Director	125,000	—	—	16,933,600	—
Nov 7, 2017 MForm 4 →	Nov 9, 7:51 pm EST	Bruce A KarshSee Remarks, Director	500,000	—	—	10,856,756	—
Sep 14, 2017 GForm 5 →	Feb 13, 2018, 8:55 pm EST	Bruce A KarshSee Remarks, Director	4,987,324	—	—	3,484,009	—
Aug 17, 2017 MForm 4 →	Aug 21, 6:10 pm EDT	Sheldon M StonePrincipal, Director	375,000	—	—	9,525,223	—
Apr 26, 2017 AForm 4 →	Apr 28, 4:16 pm EDT	Jay S WintrobChief Executive Officer, Director	225,000	—	—	225,000	—
Feb 10, 2017 MForm 4 →	Feb 14, 9:08 pm EST	Howard S MarksCo-Chairman, Director	140,000	—	—	17,058,600	—
Nov 18, 2016 GForm 5 →	Feb 14, 2017, 9:24 pm EST	Bruce A KarshSee Remarks, Director	1,980,694	—	—	990,347	—
Nov 16, 2016 GForm 5/A →	Feb 15, 2017, 9:28 pm EST	David M KirchheimerSee Remarks, Director	394,196	—	—	197,098	—
Nov 16, 2016 GForm 5 →	Feb 14, 2017, 9:12 pm EST	David M KirchheimerDirector, 10% Owner	394,196	—	—	197,098	—	amended
Nov 16, 2016 MForm 4 →	Nov 18, 8:35 pm EST	Stephen A KaplanPrincipal, Director	25,000	—	—	1,672,328	—
Nov 16, 2016 MForm 4 →	Nov 18, 8:35 pm EST	John FrankVice Chairman, Director	10,000	—	—	2,100,397	—
Nov 16, 2016 MForm 4 →	Nov 18, 8:34 pm EST	Howard S MarksCo-Chairman, Director	75,000	—	—	17,198,600	—
Aug 16, 2016 MForm 4 →	Aug 18, 7:33 pm EDT	Howard S MarksCo-Chairman, Director	300,000	—	—	17,273,600	—
Mar 31, 2016 AForm 4 →	Apr 4, 7:49 pm EDT	Todd E MolzSee Remarks	20,110	—	—	202,304	—
Mar 10, 2016 MForm 4 →	Mar 14, 8:56 pm EDT	Howard S MarksCo-Chairman, Director	110,000	—	—	17,573,600	—
Dec 9, 2015 GForm 4 →	Mar 1, 2017, 6:12 am EST	Larry W KeeleDirector	921,470	—	—	817,161	—	late
Nov 19, 2015 MForm 4 →	Nov 23, 4:17 pm EST	Stephen A KaplanPrincipal, Director	15,000	—	—	1,697,328	—
Nov 19, 2015 MForm 4 →	Nov 23, 4:17 pm EST	Sheldon M StonePrincipal, Director	150,000	—	—	9,900,223	—
Nov 19, 2015 MForm 4 →	Nov 23, 4:15 pm EST	Howard S MarksCo-Chairman, Director	119,617	—	—	17,683,600	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:19 pm EST	Caleb S KramerManaging Director	101,634	—	—	930,819	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:18 pm EST	Bruce A KarshSee Remarks, Director	42,753	—	—	17,765,767	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:18 pm EST	Todd E MolzSee Remarks	100,000	—	—	182,194	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:14 pm EST	Howard S MarksCo-Chairman, Director	42,753	—	—	17,803,217	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:14 pm EST	Sheldon M StonePrincipal, Director	69,986	—	—	10,050,223	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:12 pm EST	Larry W KeeleDirector	92,791	—	—	2,901,695	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:09 pm EST	David M KirchheimerSee Remarks, Director	101,117	—	—	1,407,097	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:08 pm EST	Scott L GravesManaging Director	100,000	—	—	1,267,438	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:04 pm EST	B James FordManaging Director	102,133	—	—	1,062,637	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:03 pm EST	Susan GentileSee Remarks	13,723	—	—	0	—
Nov 16, 2015 MForm 4 →	Nov 18, 9:00 pm EST	Stephen A KaplanPrincipal, Director	101,545	—	—	1,712,328	—
Nov 16, 2015 MForm 4 →	Nov 18, 8:57 pm EST	John FrankVice Chairman, Director	101,145	—	—	2,110,397	—
Nov 16, 2015 MForm 4 →	Nov 18, 8:56 pm EST	David Richard MassonDirector	88,599	—	—	2,849,490	—
Sep 10, 2015 MForm 4 →	Sep 11, 4:11 pm EDT	Bruce A KarshSee Remarks, Director	300,000	—	—	17,808,520	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:11 pm EDT	B James FordManaging Director	7,665	$51.70	$396,281	1,164,770	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:10 pm EDT	Larry W KeelePrincipal, Director	26,194	$51.70	$1,354,230	3,860,030	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:09 pm EDT	Stephen A KaplanPrincipal, Director	12,309	$51.70	$636,375	1,813,873	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:06 pm EDT	Sheldon M StonePrincipal, Director	68,674	$51.70	$3,550,446	10,120,209	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:06 pm EDT	Howard S MarksCo-Chairman, Director	137,883	$51.70	$7,128,551	17,845,970	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:05 pm EDT	Caleb S KramerManaging Director	6,014	$51.70	$310,924	1,032,453	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:02 pm EDT	David Richard MassonDirector	19,939	$51.70	$1,030,846	2,938,089	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:02 pm EDT	Bruce A KarshSee Remarks, Director	122,883	$51.70	$6,353,051	18,108,520	—
Mar 11, 2015 MForm 4 →	Mar 12, 9:00 pm EDT	Todd E MolzSee Remarks	1,078	$51.70	$55,733	282,194	—
Mar 11, 2015 MForm 4 →	Mar 12, 8:58 pm EDT	David M KirchheimerSee Remarks, Director	10,014	$51.70	$517,724	1,508,214	—
Mar 6, 2015 MForm 4 →	Mar 9, 9:06 pm EDT	David Richard MassonDirector	132,373	$51.70	$6,843,684	2,958,028	—
Mar 6, 2015 MForm 4 →	Mar 9, 9:03 pm EDT	Stephen A KaplanPrincipal, Director	81,723	$51.70	$4,225,079	1,826,182	—
Mar 6, 2015 MForm 4 →	Mar 9, 8:56 pm EDT	Caleb S KramerManaging Director	39,925	$51.70	$2,064,123	1,038,467	—
Mar 6, 2015 MForm 4 →	Mar 9, 8:55 pm EDT	David M KirchheimerSee Remarks, Director	66,488	$51.70	$3,437,430	1,518,228	—
Mar 6, 2015 MForm 4 →	Mar 9, 8:50 pm EDT	Larry W KeelePrincipal, Director	173,911	$51.70	$8,991,199	3,886,224	—
Mar 6, 2015 MForm 4 →	Mar 9, 8:43 pm EDT	Howard S MarksCo-Chairman, Director	915,868	$51.70	$47,350,376	17,983,853	—
Mar 6, 2015 MForm 4 →	Mar 9, 8:41 pm EDT	Bruce A KarshSee Remarks, Director	815,868	$51.70	$42,180,376	18,231,403	—
Mar 6, 2015 MForm 4 →	Mar 9, 8:39 pm EDT	B James FordManaging Director	50,902	$51.70	$2,631,633	1,172,435	—
Mar 6, 2015 MForm 4 →	Mar 9, 8:39 pm EDT	Sheldon M StonePrincipal, Director	455,960	$51.70	$23,573,132	10,188,883	—
Mar 6, 2015 MForm 4 →	Mar 9, 8:36 pm EDT	Todd E MolzSee Remarks	7,163	$51.70	$370,327	283,272	—
Feb 24, 2015 AForm 4 →	Feb 26, 4:05 pm EST	Jay S WintrobChief Executive Officer, Director	2,000,000	—	—	2,000,000	—
Feb 17, 2015 AForm 4 →	Feb 19, 6:11 am EST	Scott L GravesManaging Director	6,911	—	—	1,367,438	—
Feb 17, 2015 AForm 4 →	Feb 19, 6:09 am EST	Susan GentileSee Remarks	2,978	—	—	13,723	—
Feb 17, 2015 AForm 4 →	Feb 19, 6:09 am EST	Todd E MolzSee Remarks	31,217	—	—	290,435	—
Dec 20, 2012 GForm 4 →	Mar 1, 2017, 6:12 am EST	Caleb S KramerManaging Director	519,480	—	—	147,574	—	late
Dec 10, 2012 GForm 4 →	Mar 1, 2017, 6:15 am EST	John FrankVice Chairman, Director	672,424	—	—	264,854	—	late
Nov 27, 2012 GForm 4 →	Mar 1, 2017, 6:14 am EST	Bruce A KarshSee Remarks, Director	13,467,212	—	—	2,925,002	—	late
May 23, 2012 GForm 4 →	Mar 1, 2017, 6:09 am EST	David Richard MassonDirector	6,473,122	—	—	2,849,490	—	late
Apr 27, 2012 GForm 4 →	Mar 1, 2017, 6:06 am EST	Sheldon M StonePrincipal, Director	24,908,428	—	—	9,900,223	—	late

Filed by this entity as an insider elsewhere — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Dec 31, 2018 AForm 4 →	Jan 3, 2019, 9:53 pm EST	Infrastructure & Energy Alternatives, Inc.IEA	18,926	—	—	18,926	—	plan?

Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)

No reported derivative activity in this period.