Daily feed · SEC Form 4 filings

Stock options and other derivative activity — Nov 2, 2018

Table II activity from Forms 3/4/5: option exercises, awards, grants, conversions and expirations.

233 filings · trading day Nov 2, 2018Download CSV Quotes for these symbols ↗

Trade	Reported (ET)	Company	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Oct 30, 2018 JXForm 4 →	Nov 1, 4:30 pm EDT	RLJ ENTERTAINMENT, INC.RLJE	AMC Networks Inc.10% Owner	13,137,429	$3.03	$39,787,287	2,247,945	—
Oct 31, 2018 DForm 4 →	Nov 1, 4:41 pm EDT	RLJ ENTERTAINMENT, INC.RLJE	Miguel PenellaCEO, Director	2,106,250	$4.37	$9,201,363	0	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:34 pm EDT	INTERPUBLIC GROUP OF COMPANIES, INC.IPG	Michael Isor RothChairman and CEO	492,866	$12.94	$6,375,222	0	—
Oct 31, 2018 JForm 4 →	Nov 1, 4:43 pm EDT	RLJ ENTERTAINMENT, INC.RLJE	RLJ SPAC Acquisition, LLC10% Owner	1,500,000	$3.25	$4,875,000	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:29 pm EDT	CHURCHILL DOWNS IncCHDN	William C CarstanjenChief Executive Officer	16,237	$243.90	$3,960,204	37,431	—
Oct 31, 2018 JForm 4 →	Nov 2, 11:14 am EDT	Yum China Holdings, Inc.YUMC	Muktesh PantDirector	92,189	$36.08	$3,326,179	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:23 pm EDT	CHURCHILL DOWNS IncCHDN	William E MuddPresident and COO	10,148	$243.90	$2,475,097	18,892	—
Oct 31, 2018 JForm 4 →	Nov 2, 11:25 am EDT	Yum China Holdings, Inc.YUMC	Jonathan S LinenDirector	38,507	$36.08	$1,389,333	0	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:08 pm EDT	UNITED THERAPEUTICS CorpUTHR	Nilda MesaDirector	9,220	$110.86	$1,022,129	2,660	—
Oct 30, 2018 PForm 4 →	Nov 1, 7:58 pm EDT	WRAP TECHNOLOGIES, INC.WRTC	Elwood G NorrisCHIEF TECHNOLOGY OFFICER, 10% Owner	333,334	$3.00	$1,000,002	333,334	—
Oct 31, 2018 JSForm 4 →	Nov 1, 4:44 pm EDT	RLJ ENTERTAINMENT, INC.RLJE	Judd DaytonDirector	202,184	$4.75	$950,000	0	—
Oct 31, 2018 JSForm 4 →	Nov 1, 4:45 pm EDT	RLJ ENTERTAINMENT, INC.RLJE	Sudbury Capital Fund, LP10% Owner	202,184	$4.75	$950,000	0	—
Oct 31, 2018 IForm 4 →	Nov 2, 3:56 pm EDT	CATERPILLAR INCCAT	Bob De LangeGroup President	1,103	$121.32	$133,816	1,216	—
Nov 2, 2018 AMForm 4 →	Nov 2, 3:30 pm EDT	Capitol Federal Financial, Inc.CFFN	Morris J Huey IIDirector	5,000	$11.91	$59,550	10,000	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:32 pm EDT	PAIN THERAPEUTICS INCPTIE	Eric SchoenChief Financial Officer	50,000	$1.18	$59,000	50,000	—
Nov 1, 2018 CMForm 4 →	Nov 1, 5:18 pm EDT	REATA PHARMACEUTICALS INCRETA	Keith Wayne WardChief Development Officer	14,250	$11.62	$55,195	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:00 pm EDT	INTERNATIONAL FLAVORS & FRAGRANCES INCIFF	Andreas FibigCEO, Director	284	$144.39	$41,007	27,212	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:52 pm EDT	SNAP-ON IncSNA	Donald J StebbinsDirector	162	$153.94	$24,938	2,502	—
Nov 2, 2018 CForm 4 →	Nov 2, 10:28 am EDT	BAY BANKS OF VIRGINIA INCBAYK	Elizabeth Hinton CrowtherDirector	3,000	$5.99	$17,960	579	—
Nov 1, 2018 JForm 4 →	Nov 2, 9:34 am EDT	ERIE INDEMNITY COERIE	Charles Scott HartzDirector	126	$129.69	$16,376	14,499	—
Nov 1, 2018 JForm 4 →	Nov 2, 9:43 am EDT	ERIE INDEMNITY COERIE	Brian Arden Hudson Sr.Director	126	$129.69	$16,376	762	—
Nov 1, 2018 JForm 4 →	Nov 2, 9:49 am EDT	ERIE INDEMNITY COERIE	Claude C Lilly IIIDirector	126	$129.69	$16,376	15,456	—
Nov 1, 2018 JForm 4 →	Nov 2, 9:57 am EDT	ERIE INDEMNITY COERIE	George R LucoreDirector	126	$129.69	$16,376	1,448	—
Nov 1, 2018 JForm 4 →	Nov 2, 10:05 am EDT	ERIE INDEMNITY COERIE	Thomas W PalmerDirector	126	$129.69	$16,376	11,404	—
Nov 1, 2018 JForm 4 →	Nov 2, 10:16 am EDT	ERIE INDEMNITY COERIE	Martin SheffieldDirector	126	$129.69	$16,376	6,454	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:44 pm EDT	LIBBEY INCLBY	Steve NaveDirector	1,938	$7.72	$14,958	12,361	—
Nov 1, 2018 AForm 4/A →	Nov 2, 3:47 pm EDT	LIBBEY INCLBY	Steve NaveDirector	1,938	$7.72	$14,958	12,361	—
Nov 1, 2018 MForm 4 →	Nov 1, 6:56 pm EDT	HERITAGE FINANCIAL CORP /WA/HFWA	Donald HinsonEVPand Chief Financial Officer	1,000	$14.77	$14,770	1,330	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:27 pm EDT	CONOCOPHILLIPSCOP	Harald J NorvikDirector	198	$70.79	$14,015	76,595	—
Oct 31, 2018 AForm 4 →	Nov 1, 6:18 pm EDT	Post Holdings, Inc.POST	Jay W BrownDirector	145	$88.42	$12,777	17,020	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:23 pm EDT	CONOCOPHILLIPSCOP	John V FaraciDirector	174	$70.79	$12,317	23,079	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:26 pm EDT	CONOCOPHILLIPSCOP	Robert A NiblockDirector	165	$70.79	$11,680	46,303	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:24 pm EDT	CONOCOPHILLIPSCOP	Jeffrey A JoerresDirector	154	$70.79	$10,901	591	—
Oct 31, 2018 AForm 4 →	Nov 1, 6:22 pm EDT	Post Holdings, Inc.POST	David P SkarieDirector	119	$88.42	$10,555	14,500	—
Oct 31, 2018 AForm 4 →	Nov 1, 6:19 pm EDT	Post Holdings, Inc.POST	Edwin H CallisonDirector	101	$88.42	$8,889	12,648	—
Oct 31, 2018 AForm 4 →	Nov 1, 6:20 pm EDT	Post Holdings, Inc.POST	Robert E GroteDirector	101	$88.42	$8,889	14,286	—
Oct 31, 2018 AForm 4 →	Nov 1, 6:20 pm EDT	Post Holdings, Inc.POST	Ellen F HarshmanDirector	101	$88.42	$8,889	1,399	—
Oct 31, 2018 AForm 4 →	Nov 1, 6:21 pm EDT	Post Holdings, Inc.POST	David W KemperDirector	101	$88.42	$8,889	4,199	—
Oct 31, 2018 AForm 4 →	Nov 2, 11:29 am EDT	CHURCH & DWIGHT CO INC /DE/CHD	Carlos G. LinaresE.V.P. Global Research & Dev.	100	$59.37	$5,960	2,186	—
Oct 31, 2018 AForm 4 →	Nov 2, 11:27 am EDT	CHURCH & DWIGHT CO INC /DE/CHD	Rick SpannE.V.P. Global Operations	94	$59.37	$5,558	4,640	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:00 pm EDT	INTERNATIONAL FLAVORS & FRAGRANCES INCIFF	Richard O'LearyEVP & Chief Financial Officer	37	$144.39	$5,342	3,409	—
Oct 30, 2018 AMForm 4 →	Nov 1, 4:35 pm EDT	INTEL CORPINTC	Robert Holmes SwanInterim CEO [CFO]	3,027	$46.88	$3,744	8,630	—
Oct 31, 2018 AForm 4 →	Nov 2, 11:56 am EDT	CHURCH & DWIGHT CO INC /DE/CHD	Richard A DierkerE.V.P. Finance & C.F.O.	59	$59.37	$3,528	4,166	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:00 pm EDT	INTERNATIONAL FLAVORS & FRAGRANCES INCIFF	Anne ChwatEVP, GC, & Corp. Sec'y	24	$144.39	$3,465	7,950	—
Oct 31, 2018 AForm 4 →	Nov 2, 10:15 am EDT	DESTINATION XL GROUP, INC.DXLG	Willem Mesdag +4Director, 10% Owner	980	$3.06	$2,999	980	—
Oct 31, 2018 AForm 4 →	Nov 2, 11:54 am EDT	CHURCH & DWIGHT CO INC /DE/CHD	Britta BomhardE.V.P. Chief Marketing Officer	46	$59.37	$2,725	4,798	—
Oct 31, 2018 AForm 4 →	Nov 2, 11:51 am EDT	CHURCH & DWIGHT CO INC /DE/CHD	Judy A. ZagorskiE.V.P. Global Human Resources	43	$59.37	$2,580	1,517	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:00 pm EDT	PPG INDUSTRIES INCPPG	Michael H McGarryChairman of the Board and CEO, Director	24	$105.09	$2,475	2,929	—
Oct 31, 2018 AForm 4 →	Nov 2, 11:25 am EDT	CHURCH & DWIGHT CO INC /DE/CHD	Matthew FarrellPresident and CEO, Director	36	$59.37	$2,146	86,056	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:39 pm EDT	PFIZER INCPFE	Dawn RogersExecutive Vice President	41	$43.06	$1,765	7,285	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:24 pm EDT	INTERNATIONAL FLAVORS & FRAGRANCES INCIFF	Robert G. AndersonController	10	$144.39	$1,444	3,902	—
Oct 31, 2018 AForm 4 →	Nov 2, 10:16 am EDT	DESTINATION XL GROUP, INC.DXLG	John E KyeesDirector	367	$3.06	$1,123	367	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:03 pm EDT	PPG INDUSTRIES INCPPG	Rebecca B. LiebertSr. VP, Automotive Coatings	8	$105.09	$875	57	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:38 pm EDT	PFIZER INCPFE	Albert BourlaChief Operating Officer, Director	20	$43.06	$861	12,462	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:05 pm EDT	Voya Financial, Inc.VOYA	Chetlur S RagavanSee Remarks	20	$43.76	$855	8,121	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:57 pm EDT	PPG INDUSTRIES INCPPG	Vincent J MoralesSenior VP & CFO	8	$105.09	$846	489	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:05 pm EDT	PPG INDUSTRIES INCPPG	Timothy M KnavishSr. VP, Industrial Coatings	7	$105.09	$781	8,682	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:07 pm EDT	PPG INDUSTRIES INCPPG	Glenn E Bost IISr. VP, Law, Compl & Spec Proj	5	$105.09	$475	790	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:23 pm EDT	Voya Financial, Inc.VOYA	Carolyn M JohnsonSee Remarks	10	$43.76	$458	1,192	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:14 pm EDT	Voya Financial, Inc.VOYA	Nancy FerraraSee Remarks	9	$43.76	$400	7,031	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:39 pm EDT	PFIZER INCPFE	John D YoungGroup President	9	$43.06	$388	10,505	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:26 pm EDT	Voya Financial, Inc.VOYA	Charles P NelsonSee Remarks	8	$43.76	$350	1,827	—
Oct 31, 2018 AForm 4 →	Nov 1, 5:11 pm EDT	Voya Financial, Inc.VOYA	Patricia J WalshSee Remarks	6	$43.76	$275	1,189	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:54 pm EDT	XCEL ENERGY INCXEL	Brett C CarterEVP, Chief Customer and Innova	4	$49.01	$208	40	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:39 pm EDT	PFIZER INCPFE	Rady A JohnsonExecutive Vice President	3	$43.06	$129	4,603	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:02 pm EDT	STERICYCLE INCSRCL	Thomas D BrownDirector	475	—	—	3,236	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:03 pm EDT	LEMAITRE VASCULAR INCLMAT	Michael H ThomasDirector	20,000	—	—	0	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:05 pm EDT	SYNLOGIC, INC.SYBX	Aoife BrennanPresident and CEO, Director	150,000	—	—	150,000	—
Oct 31, 2018 MForm 4 →	Nov 1, 4:07 pm EDT	WEBSTER FINANCIAL CORPWBS	John Joseph CrawfordDirector	2,000	—	—	14,423	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:13 pm EDT	QUANTENNA COMMUNICATIONS INCQTNA	David William CarrollSVP Worldwide Sales	10,689	—	—	32,838	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:14 pm EDT	INTEL CORPINTC	Andy D BryantChairman, Director	2,302	—	—	20,719	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:15 pm EDT	AMERICAN TOWER CORP /MA/AMT	Steven C. MarshallFormer Officer	163,166	—	—	0	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:18 pm EDT	INTEL CORPINTC	Kevin Thomas McBrideVP Finance, Controller	308	—	—	2,778	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:19 pm EDT	HP INCHPQ	Enrique LoresPresident, PSS	51,161	—	—	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:20 pm EDT	PBF Energy Inc.PBF	Herman L SeedorfSenior Vice President	139,374	—	—	139,374	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:20 pm EDT	INTEL CORPINTC	Venkata S M RenduchintalaGroup President (TSCG)	2,947	—	—	26,519	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:22 pm EDT	HP INCHPQ	Marie MyersGlobal Controller, HFS & PAO	7,309	—	—	0	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:22 pm EDT	DUNKIN' BRANDS GROUP, INC.DNKN	Richard J EmmettChief Legal and HR Officer	30,000	—	—	51,054	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:24 pm EDT	PBF Energy Inc.PBF	C Erik YoungChief Financial Officer, SVP	150,309	—	—	150,309	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:24 pm EDT	INTEL CORPINTC	Steven Ralph RodgersEVP General Counsel	13,997	—	—	26,519	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:25 pm EDT	PBF Energy Inc.PBF	Paul T DavisPresident, Western Region	139,374	—	—	139,374	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:29 pm EDT	Digimarc CORPDMRC	James T RichardsonDirector	20,000	—	—	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:30 pm EDT	UNIFI INCUFI	Richard GersteinExecutive Vice President	14,400	—	—	14,400	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:30 pm EDT	UNIFI INCUFI	Thomas H Caudle Jr.President & COO, Director	48,000	—	—	48,000	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:30 pm EDT	UNIFI INCUFI	John D VegasExecutive Vice President	14,400	—	—	14,400	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:30 pm EDT	UNIFI INCUFI	Jeffrey C AckermanExecutive Vice President & CFO	14,400	—	—	14,400	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:30 pm EDT	UNIFI INCUFI	Kevin Duane HallCHAIRMAN OF THE BOARD AND CEO, Director	67,000	—	—	67,000	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:30 pm EDT	INTEL CORPINTC	Navin ShenoyEVP, GM - Data Center Group	2,785	—	—	25,061	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:30 pm EDT	PBF Energy Inc.PBF	Trecia M CantySVP and General Counsel	139,374	—	—	139,374	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:32 pm EDT	PBF Energy Inc.PBF	Matthew C. LuceyPresident	167,298	—	—	167,298	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:32 pm EDT	MASCO CORP /DE/MAS	Scott E. McDowellVP, Masco Operating Sys.	15,000	—	—	15,000	—
Oct 31, 2018 MForm 4 →	Nov 1, 4:33 pm EDT	HUNT J B TRANSPORT SERVICES INCJBHT	Kevin BracyVP, Treasurer	119	—	—	477	—
Oct 31, 2018 MForm 4 →	Nov 1, 4:33 pm EDT	HUNT J B TRANSPORT SERVICES INCJBHT	John KuhlowSr VP/Controller	254	—	—	1,019	—
Oct 31, 2018 MForm 4 →	Nov 1, 4:33 pm EDT	HUNT J B TRANSPORT SERVICES INCJBHT	Shelley SimpsonEVP, Pres ICS, CMO	135	—	—	541	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:35 pm EDT	PBF Energy Inc.PBF	Thomas J. NimbleyChief Executive Officer, Director	368,139	—	—	368,139	—
Oct 31, 2018 MForm 4 →	Nov 1, 4:36 pm EDT	INNERWORKINGS INCINWK	Eric D BelcherDirector	375,000	—	—	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 4:37 pm EDT	PBF Energy Inc.PBF	Thomas L O'ConnorSenior Vice President	139,374	—	—	139,374	—
Oct 31, 2018 AForm 4 →	Nov 1, 4:41 pm EDT	Evelo Biosciences, Inc.EVLO	Daniel CharGeneral Counsel	100,000	—	—	100,000	—
Nov 1, 2018 AForm 4 →	Nov 1, 4:47 pm EDT	LSI INDUSTRIES INCLYTS	James Anthony ClarkCEO and President	500,000	—	—	500,000	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:53 pm EDT	AK STEEL HOLDING CORPAKS	Eric S PetersenVP Research and Innovation	12,133	—	—	6,067	—
Oct 30, 2018 MForm 4 →	Nov 1, 4:59 pm EDT	Yext, Inc.YEXT	Tom Christopher DixonChief Technology Officer	5,000	—	—	141,941	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:00 pm EDT	Univar Inc.UNVR	Stephen D NewlinExecutive Chairman, Director	12,500	—	—	37,500	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:03 pm EDT	Merck & Co., Inc.MRK	James H ScholefieldEVP,Chief Info&Digital Officer	81,764	—	—	47,456	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:05 pm EDT	Merck & Co., Inc.MRK	Steven MizellEVP, Human Resources	64,975	—	—	51,252	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:05 pm EDT	CYBEROPTICS CORPCYBE	Jeffrey A. BertelsenCFO and COO	23,333	—	—	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:07 pm EDT	NORTHROP GRUMMAN CORP /DE/NOC	Ann M AddisonCorporate Vice President	8,653	—	—	6,037	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:07 pm EDT	VERACYTE, INC.VCYT	Christopher M HallPresident and COO	40,000	—	—	813	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:07 pm EDT	Merck & Co., Inc.MRK	Ashley WatsonSVP Chief Ethics & Com Officer	47,036	—	—	9,055	—
Oct 30, 2018 MForm 4 →	Nov 1, 5:07 pm EDT	Merck & Co., Inc.MRK	Richard R. DeLucaEVP&Pres, Merck Animal Health	25,467	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 1, 5:07 pm EDT	Veritex Holdings, Inc.VBTX	Michael BryanChief Information Officer	1,500	—	—	6,000	—
Oct 31, 2018 DForm 4 →	Nov 1, 5:09 pm EDT	PRAXAIR INCPX	Anne K RobySenior Vice President	233,401	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 1, 5:10 pm EDT	HomeStreet, Inc.HMST	Edward SchultzEVP, Dir. of Comm'l Banking	1,158	—	—	11,519	—
Nov 1, 2018 MForm 4 →	Nov 1, 5:14 pm EDT	Verisk Analytics, Inc.VRSK	Scott G StephensonCEO and President, Director	32,031	—	—	96,093	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:18 pm EDT	BROWN FORMAN CORPBFA, BFB	Matthew E HamelEVP, Gen Counsel and Secretary	19,101	—	—	38,202	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:24 pm EDT	OVERSTOCK.COM, INCOSTK	Catherine BordaChief Customer Officer	7,692	—	—	7,692	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:24 pm EDT	OVERSTOCK.COM, INCOSTK	David J. NielsenChief Sourcing/Operations Off.	8,000	—	—	8,000	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:25 pm EDT	OVERSTOCK.COM, INCOSTK	Christopher James DonnellyChief of Staff	7,463	—	—	7,463	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:27 pm EDT	GAIA, INCGAIA	Paul C. Tarell Jr.CHIEF FINANCIAL OFFICER	28,173	—	—	28,173	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:28 pm EDT	GAIA, INCGAIA	Brad WarkinsPresident and COO	38,366	—	—	38,366	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:29 pm EDT	GAIA, INCGAIA	Jaymi BauerCHIEF MARKETING OFFICER	29,973	—	—	29,973	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:30 pm EDT	GAIA, INCGAIA	Jirka RysavyChairman, Director, 10% Owner	53,784	—	—	53,784	—
Oct 30, 2018 MForm 4 →	Nov 1, 5:33 pm EDT	Quotient Technology Inc.QUOT	McKenna MichelleDirector	4,433	—	—	13,297	—
Oct 30, 2018 AForm 4 →	Nov 1, 5:35 pm EDT	CISION LTD.CISN	Susan VobejdaDirector	6,340	—	—	6,340	—
Nov 1, 2018 MForm 4 →	Nov 1, 5:35 pm EDT	Dave & Buster's Entertainment, Inc.PLAY	J Michael PlunkettSVP of Purch & Intl Ops	2,000	—	—	28,744	—
Nov 1, 2018 MForm 4 →	Nov 1, 5:51 pm EDT	SALESFORCE COM INCCRM	Keith Blockco-CEO, Director	2,160	—	—	28,056	—
Oct 30, 2018 MForm 4 →	Nov 1, 5:55 pm EDT	SEATTLE GENETICS INC /WASGEN	Srinivas AkkarajuDirector	5,000	—	—	0	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:55 pm EDT	SANDERSON FARMS INCSAFM	Lampkin ButtsPresident and COO, Director	14,029	—	—	0	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:55 pm EDT	SANDERSON FARMS INCSAFM	D Michael CockrellTreasurer and CFO, Director	11,314	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 1, 5:56 pm EDT	SALESFORCE COM INCCRM	Amy E WeaverPres., Legal & General Counsel	5,325	—	—	44,396	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:56 pm EDT	SANDERSON FARMS INCSAFM	Tim RigneyController/Secretary	2,308	—	—	0	—
Oct 31, 2018 MForm 4 →	Nov 1, 5:56 pm EDT	SANDERSON FARMS INCSAFM	Joe F Sanderson Jr.CEO, Chairman of the Board, Director	54,306	—	—	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 6:04 pm EDT	Global Water Resources, Inc.GWRS	Richard M AlexanderDirector	35	—	—	16,173	—
Oct 30, 2018 AForm 4 →	Nov 1, 6:08 pm EDT	Global Water Resources, Inc.GWRS	Debra CoyDirector	1	—	—	732	—
Oct 30, 2018 AForm 4 →	Nov 1, 6:10 pm EDT	Global Water Resources, Inc.GWRS	Ronnie L FlemingPresident and CEO, Director	47	—	—	22,282	—
Oct 30, 2018 AForm 4 →	Nov 1, 6:12 pm EDT	Global Water Resources, Inc.GWRS	Brett HuckelbridgeDirector	1	—	—	732	—
Feb 27, 2018 DForm 4 →	Nov 1, 6:15 pm EDT	PRAXAIR INCPX	Matthew J WhiteSenior VP & CFO	411,037	—	—	0	—	late
Oct 30, 2018 AForm 4 →	Nov 1, 6:15 pm EDT	Global Water Resources, Inc.GWRS	Michael J LiebmanCFO and Corporate Secretary	28	—	—	13,340	—
Oct 1, 2018 CForm 4 →	Nov 1, 6:17 pm EDT	Bandwidth Inc.BAND	Carmichael Bandwidth LLC +610% Owner	301,714	—	—	8,750	—	late
Oct 30, 2018 AForm 4 →	Nov 1, 6:18 pm EDT	Global Water Resources, Inc.GWRS	David C TedescoDirector	96	—	—	43,126	—
Oct 30, 2018 JForm 4 →	Nov 1, 6:20 pm EDT	Avista Healthcare Public Acquisition Corp.AHPA	Avista Acquisition Corp. +310% Owner	26,984	—	—	4,296,359	—
Oct 30, 2018 JForm 4 →	Nov 1, 6:20 pm EDT	Avista Healthcare Public Acquisition Corp.AHPA	Charles C Harwood Jr.Director	7,158	—	—	313,467	—
Oct 30, 2018 JForm 4 →	Nov 1, 6:21 pm EDT	Avista Healthcare Public Acquisition Corp.AHPA	Hakan BjorklundDirector	7,158	—	—	313,467	—
Oct 30, 2018 JForm 4 →	Nov 1, 6:25 pm EDT	Avista Healthcare Public Acquisition Corp.AHPA	Brian A MarkisonDirector	5,510	—	—	575,740	—
Oct 30, 2018 JForm 4 →	Nov 1, 6:26 pm EDT	Avista Healthcare Public Acquisition Corp.AHPA	Robert P O'NeilDirector	7,158	—	—	313,467	—
Oct 30, 2018 MForm 4 →	Nov 1, 6:29 pm EDT	Axos Financial, Inc.AX	J Brandon BlackDirector	1,264	—	—	10,530	—
Oct 30, 2018 MForm 4 →	Nov 1, 6:29 pm EDT	KAPSTONE PAPER & PACKAGING CORPKS	Brian R GamacheDirector	43,862	—	—	0	—
Oct 30, 2018 MForm 4 →	Nov 1, 6:33 pm EDT	KAPSTONE PAPER & PACKAGING CORPKS	Matthew H PaullDirector	29,600	—	—	0	—
Oct 31, 2018 DForm 4 →	Nov 1, 6:36 pm EDT	PRAXAIR INCPX	Stephen F AngelChairman, President & CEO, Director	2,529,965	—	—	0	—
Nov 1, 2018 AForm 4 →	Nov 1, 6:37 pm EDT	Intellia Therapeutics, Inc.NTLA	Glenn GoddardSEE REMARKS	90,000	—	—	90,000	—	amended
Oct 31, 2018 DForm 4 →	Nov 1, 6:38 pm EDT	PRAXAIR INCPX	Eduardo F MenezesExecutive Vice President	418,122	—	—	0	—
Oct 30, 2018 MForm 4 →	Nov 1, 6:38 pm EDT	KAPSTONE PAPER & PACKAGING CORPKS	David G. GabrielDirector	20,362	—	—	0	—
Oct 30, 2018 CForm 4 →	Nov 1, 6:39 pm EDT	DROPBOX, INC.DBX	Andrew HoustonChief Executive Officer, Director, 10% Owner	739,820	—	—	7,893,764	—
Nov 1, 2018 JForm 4 →	Nov 1, 6:45 pm EDT	Nemus Bioscience, Inc.NMUS	Emerald Health Sciences Inc.10% Owner	2,500,000	—	—	2,500,000	—
Oct 30, 2018 MForm 4 →	Nov 1, 6:48 pm EDT	KAPSTONE PAPER & PACKAGING CORPKS	Robert J BahashDirector	15,806	—	—	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 6:49 pm EDT	Twist Bioscience CorpTWST	Jan JohannessenDirector	42,304	—	—	42,304	—
Oct 30, 2018 MForm 4 →	Nov 1, 6:52 pm EDT	KAPSTONE PAPER & PACKAGING CORPKS	Andrea K TarboxExec. VP and CFO	143,960	—	—	25,739	—
Oct 30, 2018 GPSForm 4 →	Nov 1, 6:56 pm EDT	Restaurant Brands International Inc.QSR	Daniel S SchwartzChief Executive Officer, Director	368,628	—	—	123,700	—
Oct 30, 2018 MForm 4 →	Nov 1, 7:00 pm EDT	QUINSTREET, INCQNST	Gregory P SandsDirector	55,345	—	—	0	—
Oct 31, 2018 MForm 4 →	Nov 1, 7:01 pm EDT	Pivotal Software, Inc.PVTL	William CookPresident	27,703	—	—	470,000	—
Oct 30, 2018 CForm 4 →	Nov 1, 7:03 pm EDT	Blackstone Group L.P.BX	John G FinleyChief Legal Officer	15,000	—	—	530,535	—
Oct 30, 2018 CForm 4 →	Nov 1, 7:04 pm EDT	Blackstone Group L.P.BX	Hamilton E JamesExecutive Vice Chairman, Director	1,000,000	—	—	19,723,093	—
Oct 31, 2018 AForm 4 →	Nov 1, 7:05 pm EDT	INTERSECTIONS INCINTX	Loeb Holding CORPDirector, 10% Owner	1,321,586	—	—	1,321,586	—
Oct 30, 2018 MForm 4 →	Nov 1, 7:08 pm EDT	KAPSTONE PAPER & PACKAGING CORPKS	Matthew S KaplanPresident & CEO, Director	301,030	—	—	0	—
Oct 30, 2018 MForm 4 →	Nov 1, 7:12 pm EDT	KAPSTONE PAPER & PACKAGING CORPKS	Roger W StoneExecutive Chairman, Director	208,838	—	—	0	—
Oct 30, 2018 MForm 4 →	Nov 1, 7:26 pm EDT	BIOMARIN PHARMACEUTICAL INCBMRN	Jean Jacques BienaimeChief Executive Officer, Director	1,000	—	—	103,000	—
Nov 1, 2018 MForm 4 →	Nov 1, 7:34 pm EDT	IONIS PHARMACEUTICALS INCIONS	C Frank BennettSVP, Antisense Research	12,500	—	—	9,013	—
May 14, 2018 MForm 4/A →	Nov 1, 7:41 pm EDT	RumbleON, Inc.RMBL	Denmar John DixonDirector	7,000	—	—	28,000	—
Jun 28, 2018 AForm 4 →	Nov 1, 8:01 pm EDT	Ra Pharmaceuticals, Inc.RARX	RA CAPITAL MANAGEMENT, LLC +2Director, 10% Owner	15,000	—	—	15,000	—	late
Oct 31, 2018 AForm 4 →	Nov 1, 8:11 pm EDT	Rubius Therapeutics, Inc.RUBY	Pablo J CagnoniChief Executive Officer, Director	357,800	—	—	193,400	—
Oct 30, 2018 CMForm 4 →	Nov 1, 8:14 pm EDT	SMARTSHEET INCSMAR	Kara HamiltonSenior VP of People Operations	90,000	—	—	0	—
Oct 30, 2018 AForm 4 →	Nov 1, 8:16 pm EDT	FLUIDIGM CORPFLDM	Laura ClagueDirector	15,000	—	—	15,000	—
Oct 31, 2018 AForm 4 →	Nov 1, 8:40 pm EDT	LA JOLLA PHARMACEUTICAL COLJPC	Dennis MulroyChief Financial Officer	22	—	—	22	—
Oct 31, 2018 AForm 4 →	Nov 1, 8:41 pm EDT	LA JOLLA PHARMACEUTICAL COLJPC	George F TidmarshPresident, CEO & Secretary, Director	89	—	—	89	—
Oct 31, 2018 AForm 4 →	Nov 1, 8:42 pm EDT	LA JOLLA PHARMACEUTICAL COLJPC	Lakhmir S ChawlaChief Medical Officer	15	—	—	15	—
Oct 31, 2018 AForm 4 →	Nov 1, 8:42 pm EDT	LA JOLLA PHARMACEUTICAL COLJPC	Jennifer CarverChief Operating Officer	85	—	—	85	—
Oct 31, 2018 AForm 4 →	Nov 1, 8:43 pm EDT	LA JOLLA PHARMACEUTICAL COLJPC	James RolkeChief Scientific Officer	56	—	—	56	—
Oct 30, 2018 MForm 4 →	Nov 1, 9:14 pm EDT	KAPSTONE PAPER & PACKAGING CORPKS	Paula H CholmondeleyDirector	7,065	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 1, 9:39 pm EDT	ENSIGN GROUP, INCENSG	Beverly B. WittekindVP and General Counsel	17,998	—	—	2,664	—
Nov 1, 2018 MForm 4 →	Nov 2, 6:03 am EDT	Yum China Holdings, Inc.YUMC	Shella NgChief Legal Officer, Corp. Sec	6,377	—	—	19,133	—
Nov 1, 2018 AForm 4 →	Nov 2, 6:05 am EDT	Yum China Holdings, Inc.YUMC	Ted LeeGM Little Sheep & East Dawning	13,951	—	—	13,951	—
Oct 31, 2018 AForm 4 →	Nov 2, 8:17 am EDT	INTERSECTIONS INCINTX	David A McGoughDirector	440,528	—	—	440,528	—
Nov 1, 2018 AForm 4 →	Nov 2, 9:46 am EDT	RLI CORPRLI	Jonathan E MichaelPresident & CEO, Director	13,750	—	—	13,750	—
Oct 31, 2018 MForm 4 →	Nov 2, 10:20 am EDT	MCCORMICK & CO INCMKC	Malcolm SwiftPresident Global Industrial &	27,700	—	—	0	—
Oct 31, 2018 DForm 4 →	Nov 2, 10:45 am EDT	PRAXAIR INCPX	Guillermo BicharaVP, General Counsel & Secty	179,365	—	—	0	—
Oct 23, 2018 AForm 4 →	Nov 2, 10:55 am EDT	UNITED SECURITY BANCSHARESUBFO	Robert C Oberg Jr.SVP & CHIEF RISK OFFICER	17,374	—	—	17,374	—	late
Oct 31, 2018 DForm 4 →	Nov 2, 11:00 am EDT	PRAXAIR INCPX	David P StraussVice President Human Resources	88,178	—	—	0	—
Nov 1, 2018 AForm 4 →	Nov 2, 11:32 am EDT	UNIVERSAL FOREST PRODUCTS INCUFPI	William G CurrieDirector	2,164	—	—	13,427	—
Nov 1, 2018 MForm 4 →	Nov 2, 11:32 am EDT	NVR INCNVR	Jeffrey D MartchekPresident of Homebuilding Ops	1,000	—	—	0	—
Nov 1, 2018 AForm 4 →	Nov 2, 11:36 am EDT	UNIVERSAL FOREST PRODUCTS INCUFPI	John M EnglerDirector	1,472	—	—	38,917	—
Nov 1, 2018 AForm 4 →	Nov 2, 11:38 am EDT	UNIVERSAL FOREST PRODUCTS INCUFPI	Thomas Wayne RhodesDirector	1,729	—	—	39,460	—
Nov 1, 2018 AForm 4 →	Nov 2, 11:43 am EDT	UNIVERSAL FOREST PRODUCTS INCUFPI	Brian C WalkerDirector	1,082	—	—	17,847	—
Nov 1, 2018 AForm 4 →	Nov 2, 11:46 am EDT	UNIVERSAL FOREST PRODUCTS INCUFPI	Michael G. WooldridgeDirector	1,653	—	—	14,635	—
Nov 1, 2018 MForm 4 →	Nov 2, 12:07 pm EDT	BSB Bancorp, Inc.BLMT	Richard J FougereDirector	360	—	—	21,750	—
Oct 31, 2018 CForm 4 →	Nov 2, 12:26 pm EDT	Alphabet Inc.GOOG	Eric E SchmidtDirector	178,700	—	—	390,674	—
Oct 31, 2018 MForm 4 →	Nov 2, 12:30 pm EDT	Northwest Bancshares, Inc.NWBI	William F McKnightDirector	2,600	—	—	4,600	—
Nov 1, 2018 MForm 4 →	Nov 2, 1:20 pm EDT	VICOR CORPVICR	Barry KelleherDirector	10,000	—	—	20,934	—
Nov 1, 2018 MForm 4 →	Nov 2, 1:49 pm EDT	HESKA CORPHSKA	Jason A NapolitanoCOO, Chief Strategist and Sec.	11,000	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 2, 1:51 pm EDT	Ottawa Bancorp IncOTTW	Mark StoudtChief Lending Officer	6,498	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 2, 2:14 pm EDT	TOLL BROTHERS INCTOL	Martin P. ConnorChief Financial Officer	5,561	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 2, 2:18 pm EDT	HomeStreet, Inc.HMST	David H StrausSr EVP, Comm'l Banking Dir.	1,817	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 2, 2:20 pm EDT	TOLL BROTHERS INCTOL	Richard T. HartmanPresident	6,762	—	—	0	—
Oct 31, 2018 MForm 4 →	Nov 2, 2:24 pm EDT	COCA COLA COKO	Brian John SmithOther	43,000	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 2, 2:24 pm EDT	State Auto Financial CORPSTFC	Steven Eugene EnglishSenior Vice President	3,633	—	—	3,633	—
Nov 1, 2018 MForm 4 →	Nov 2, 2:26 pm EDT	TOLL BROTHERS INCTOL	Douglas C. Yearley Jr.Chief Executive Officer, Director	22,437	—	—	0	—
Oct 31, 2018 MForm 4 →	Nov 2, 2:30 pm EDT	COCA COLA COKO	Beatriz R PerezSenior Vice President	10,000	—	—	31,742	—
Nov 1, 2018 MForm 4 →	Nov 2, 2:31 pm EDT	NETGEAR, INCNTGR	Patrick Cs LoChairman and CEO, Director	12,013	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 2, 2:32 pm EDT	NETGEAR, INCNTGR	Tamesa RogersSVP, Human Resources	2,000	—	—	13,000	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:32 pm EDT	TORO COTTC	Robert C BuhrmasterDirector	4,482	—	—	4,482	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:34 pm EDT	TORO COTTC	Janet Katherine CooperDirector	4,482	—	—	4,482	—
Nov 1, 2018 MForm 4 →	Nov 2, 2:35 pm EDT	TOLL BROTHERS INCTOL	Robert I TollExecutive Chairman, Director	12,767	—	—	0	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:38 pm EDT	TORO COTTC	Gary Lee EllisDirector	4,482	—	—	4,482	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:40 pm EDT	TORO COTTC	Jeffrey M EttingerDirector	4,482	—	—	4,482	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:42 pm EDT	TORO COTTC	Katherine J HarlessDirector	4,482	—	—	4,482	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:44 pm EDT	TORO COTTC	D Christian KochDirector	4,482	—	—	4,482	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:47 pm EDT	TORO COTTC	James Calvin O'RourkeDirector	4,482	—	—	4,482	—
Oct 31, 2018 AForm 4 →	Nov 2, 2:49 pm EDT	Midwest Energy Emissions Corp.MEEC	Richard MacPhersonPresident and CEO, Director, 10% Owner	16,458	—	—	16,458	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:49 pm EDT	TORO COTTC	Gregg W SteinhafelDirector	4,482	—	—	4,482	—
Oct 29, 2018 XForm 4 →	Nov 2, 2:50 pm EDT	Simply Good Foods CoSMPL	Clayton C Daley Jr.Director	3,333	—	—	0	—	late
Nov 1, 2018 AForm 4 →	Nov 2, 2:52 pm EDT	TORO COTTC	Christopher A TwomeyDirector	4,482	—	—	4,482	—
Oct 31, 2018 AForm 4 →	Nov 2, 2:54 pm EDT	Midwest Energy Emissions Corp.MEEC	Christopher GreenbergChairman of the Board, Director	8,333	—	—	8,333	—
Nov 1, 2018 AForm 4 →	Nov 2, 2:55 pm EDT	TORO COTTC	Michael G. ValeDirector	4,482	—	—	4,482	—
Oct 31, 2018 AForm 4 →	Nov 2, 2:57 pm EDT	Midwest Energy Emissions Corp.MEEC	Allan T GranthamDirector	6,000	—	—	6,000	—
Oct 31, 2018 AMForm 4 →	Nov 2, 2:58 pm EDT	MITEL NETWORKS CORPMITL	Benjamin BallDirector	3,324	—	—	0	—
Oct 31, 2018 MForm 4 →	Nov 2, 3:00 pm EDT	HUNT J B TRANSPORT SERVICES INCJBHT	Jennifer BoattiniSR VP Legal/General Counsel	255	—	—	544	—
Oct 31, 2018 AForm 4 →	Nov 2, 3:00 pm EDT	Midwest Energy Emissions Corp.MEEC	John PavlishSenior VP/Chief Tech Officer	13,750	—	—	13,750	—
Oct 31, 2018 AForm 4 →	Nov 2, 3:03 pm EDT	Midwest Energy Emissions Corp.MEEC	James TrettelVice President of Operations	12,500	—	—	12,500	—
Nov 1, 2018 JForm 4 →	Nov 2, 3:03 pm EDT	VECTREN CORPVVC	Jean L WojtowiczDirector	92	—	—	17,112	—
Oct 31, 2018 AForm 4 →	Nov 2, 3:06 pm EDT	Midwest Energy Emissions Corp.MEEC	Richard H GrossVice Pres. and CFO	9,375	—	—	9,375	—
Oct 31, 2018 MForm 4 →	Nov 2, 3:06 pm EDT	Cardtronics plcCATM	Dennis LynchDirector	6,051	—	—	0	—
Oct 31, 2018 AMForm 4 →	Nov 2, 3:07 pm EDT	MITEL NETWORKS CORPMITL	Terence H MatthewsChairman of the Board, Director	5,692	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 2, 3:19 pm EDT	NCR CORPNCR	Edward R GallagherSVP, GC & Secy	9,398	—	—	0	—
Oct 31, 2018 AMForm 4 →	Nov 2, 3:23 pm EDT	MITEL NETWORKS CORPMITL	John P McHughDirector	3,096	—	—	0	—
Nov 1, 2018 MForm 4 →	Nov 2, 3:44 pm EDT	Performance Food Group CoPFGC	George L HolmSee Remarks, Director	54,275	—	—	0	—

A trading day runs to 4:00 pm ET; filings accepted later appear on the next trading day. Rows aggregate a filing’s matching transaction lines — see the methodology for the exact roll-up rules.