| |
Company
Roster
|
|
Total
Insiders : |
76 |
|
|
|
Total
Direct Shares :
|
59,189,140 |
|
|
Total
Indirect Shares :
|
65,442,938 |
| |
%
Held by Insiders:
|
35.06% |
|
|
| |
| Filer's Name |
Relation |
Direct Date |
Direct Shares |
Indirect Date |
Indirect Shares |
  Peck Kristin C |
Director |
2024-03-28 |
1,320 |
2021-09-30 |
0 |
| Daley Pamela |
Director |
2024-03-28 |
7,214 |
2014-03-31 |
0 |
| Nasser Amin H. |
Director |
2024-03-28 |
399 |
2024-03-28 |
142 |
| Slim Domit Marco Antonio |
Director |
2024-03-28 |
6,909 |
2011-12-30 |
0 |
| Robbins Charles |
Director |
2024-03-28 |
3,135 |
2018-01-03 |
0 |
| Ford William E |
Director |
2024-03-28 |
15,921 |
2018-04-04 |
0 |
| Nixon Gordon M. |
Director |
2024-03-28 |
4,810 |
2015-12-31 |
0 |
| Vestberg Hans Erik |
Director |
2024-03-28 |
1,372 |
2021-06-30 |
0 |
| Alsaad Bader M. |
Director |
2024-03-28 |
1,899 |
2019-06-28 |
0 |
| Freda Fabrizio |
Director |
2024-03-28 |
7,546 |
2012-12-31 |
0 |
| Johnson Margaret L |
Director |
2024-03-28 |
2,551 |
2024-03-28 |
836 |
| Fink Laurence |
Chairman and CEO, Director |
2024-02-28 |
414,146 |
2013-10-24 |
36,171 |
| Wiedman Mark |
Senior Managing Director |
2024-02-23 |
6,480 |
2019-01-17 |
0 |
| Lord Rachel |
Senior Managing Director |
2024-02-23 |
17,004 |
|
0 |
| Wagner Susan |
Director |
2024-02-22 |
427,887 |
2019-09-30 |
4,800 |
| Cohen Stephen |
Senior Managing Director |
2024-02-12 |
4,437 |
|
0 |
| Meade Christopher J. |
General Counsel and CLO |
2024-02-07 |
8,628 |
|
0 |
| Comerchero Marc D. |
Principal Accounting Officer |
2024-02-05 |
5,975 |
|
0 |
| Kushel J. Richard |
Senior Managing Director |
2024-02-05 |
67,107 |
2024-02-05 |
77,303 |
| Small Martin |
CFO & Senior Managing Director |
2024-02-02 |
5,259 |
|
0 |
| Kapito Robert |
President, Director |
2024-01-31 |
217,127 |
2018-07-26 |
0 |
| Goldstein Robert L. |
Chief Operating Officer |
2024-01-31 |
41,916 |
2024-01-31 |
9,435 |
| Heller Caroline |
Senior Managing Director |
2024-01-31 |
2,436 |
|
0 |
| Wilson Mark A |
Director |
2024-01-16 |
2,830 |
2018-04-04 |
0 |
| Gerber Murry |
Director |
2024-01-16 |
42,648 |
2006-09-29 |
0 |
| Mills Cheryl D |
Director |
2024-01-16 |
5,478 |
2013-12-31 |
0 |
| Shedlin Gary |
CFO & Senior Managing Director |
2023-01-31 |
19,432 |
2013-05-29 |
0 |
| Mehta Manish |
Senior Managing Director |
2022-11-15 |
10,059 |
|
0 |
| Mccombe Mark |
Senior Managing Director |
2022-11-11 |
20,106 |
2012-01-17 |
0 |
| Ford Beth |
Director |
2022-09-30 |
473 |
2021-09-30 |
0 |
| Einhorn Jessica P |
Director |
2022-01-18 |
4,836 |
2012-09-28 |
0 |
| Buckingham Geraldine |
Senior Managing Director |
2021-01-31 |
7,877 |
2020-01-16 |
0 |
| Cabiallavetta Mathis |
Director |
2021-01-15 |
3,380 |
2021-01-15 |
5,009 |
| Pnc Bancorp Inc/ |
10% Owner |
2020-05-15 |
0 |
2007-05-25 |
0 |
| Seidenberg Ivan G |
Director |
2020-03-31 |
14,434 |
|
0 |
| Fairbairn Robert W |
Officer |
2019-07-24 |
32,622 |
2006-11-08 |
0 |
| Smith Jeff A |
Senior Managing Director |
2019-04-29 |
10,789 |
|
0 |
| Maughan Deryck C |
Director |
2019-03-29 |
16,514 |
2007-06-29 |
0 |
| Stork Ryan |
Senior Managing Director |
2019-01-31 |
19,835 |
|
0 |
| Grosfeld James |
Director |
2018-04-04 |
507,646 |
2018-04-04 |
100,000 |
| Al-Hamad Abdlatif Yousef |
Director |
2018-04-04 |
6,437 |
2009-03-31 |
0 |
| Komansky David H |
Director |
2017-03-31 |
10,421 |
2006-09-29 |
0 |
| Varley John S. |
Director |
2017-03-31 |
3,152 |
2012-03-30 |
0 |
| Obrien Thomas H |
Director |
2017-03-31 |
16,278 |
2017-03-31 |
100 |
| Blumer David |
Senior Managing Director |
2017-01-31 |
13,923 |
2014-01-17 |
0 |
| Demchak William S |
Director |
2016-10-27 |
1,200 |
2016-10-27 |
0 |
| Mallow Matthew J. |
General Counsel and Senior MD |
2016-02-01 |
16,568 |
2013-01-18 |
0 |
| Feliciani Joseph |
Principal Accounting Officer |
2016-02-01 |
10,663 |
2007-01-25 |
0 |
| Hallac Charles |
Co-President |
2015-04-23 |
551,506 |
2015-04-23 |
144,998 |
| Dammerman Dennis D |
Director |
2013-06-28 |
3,882 |
2006-09-29 |
0 |
| Montag Thomas K. |
Director |
2013-04-18 |
5,000 |
2013-04-18 |
0 |
| Charrington N. James |
Senior Managing Director |
2013-02-28 |
36,816 |
|
0 |
| Petach Ann Marie |
CFO and Senior MD |
2013-01-31 |
52,046 |
|
0 |
| Wilson Kendrick R Iii |
Vice Chairman |
2012-01-31 |
78,020 |
|
0 |
| Golub Bennett |
Chief Risk Officer |
2012-01-31 |
235,447 |
2012-01-31 |
56,223 |
| Robinson Linda Gosden |
Senior Managing Director |
2012-01-20 |
21,420 |
2006-09-29 |
0 |
| Connolly Robert |
General Counsel and Senior MD |
2011-06-02 |
34,250 |
2006-12-15 |
0 |
| Dunn Kenneth B |
Director |
2011-03-31 |
7,738 |
2006-09-29 |
0 |
| Bhagat Rohit |
Senior Managing Director |
2011-01-27 |
48,137 |
|
0 |
| Grossman Blake R. |
Officer |
2009-12-01 |
100 |
|
0 |
| Barclays Bank Plc /eng/ |
Director |
2009-12-01 |
0 |
2012-05-23 |
0 |
| Bank Of America Corp /de/ |
Director |
2009-02-09 |
0 |
2011-12-30 |
586 |
| Doll Robert C Jr |
Director |
2009-01-31 |
236,703 |
2007-01-25 |
0 |
| Merrill Lynch Bank & Trust Co Fsb |
10% Owner |
2009-01-28 |
2,331,450 |
2008-12-23 |
52,196,417 |
| Princeton Administrators Lp |
10% Owner |
2008-12-11 |
52,395,082 |
2006-10-05 |
0 |
| Audet Paul |
Vice Chairman |
2008-07-18 |
100,518 |
|
0 |
| Albertini William O |
Director |
2008-03-31 |
19,874 |
2006-09-29 |
0 |
| Novick Barbara |
Vice Chairman |
2008-02-04 |
140,975 |
2006-11-20 |
0 |
| Amero Scott |
Vice Chairman |
2008-01-31 |
48,760 |
|
0 |
| Anderson Keith |
Vice Chairman |
2007-10-25 |
55,518 |
2007-10-25 |
6,000 |
| Schlosstein Ralph |
President, Director |
2007-02-14 |
601,934 |
2007-02-14 |
200,000 |
| Rohr James E |
Director |
2007-02-02 |
3,524 |
2007-02-02 |
0 |
| Buller Steven E |
Chief Financial Officer |
2007-01-25 |
36,689 |
2007-01-25 |
0 |
| Nickell Frank T |
Former Director |
2006-09-29 |
74,577 |
2006-09-29 |
0 |
| Fleming Gregory J |
Director |
2006-09-29 |
95 |
|
0 |
| Merrill Lynch Pierce Fenner & Smith Inc |
10% Owner |
|
0 |
2006-09-29 |
12,604,918 |
|
3.82 (0.5%) 
