| |
Company
Roster
|
|
Total
Insiders : |
58 |
|
|
|
Total
Direct Shares :
|
18,313,687 |
|
|
Total
Indirect Shares :
|
4,623,974 |
| |
%
Held by Insiders:
|
5.32% |
|
|
| |
| Filer's Name |
Relation |
Direct Date |
Direct Shares |
Indirect Date |
Indirect Shares |
  Tighe Jan E |
|
|
0 |
|
0 |
| Friedman Stephen |
Director |
2009-01-22 |
98,600 |
|
0 |
| Schiro James J |
Director |
2009-05-08 |
1,000 |
|
0 |
| Scott L Lee Jr |
Director |
2010-05-07 |
5,000 |
|
0 |
| Ogunlesi Adebayo O. |
|
2012-10-15 |
2,000 |
|
0 |
| Tucker Mark |
|
2012-11-05 |
1,000 |
|
0 |
| Oppenheimer Peter |
|
2014-03-03 |
2,000 |
|
0 |
| Winkelman Marius O |
Director |
2014-12-18 |
90,000 |
|
0 |
| Burns M Michele |
|
2016-11-11 |
0 |
|
0 |
| Spar Debora L |
|
2017-01-19 |
0 |
|
0 |
| Seymour Karen Patton |
Executive VP - General Counsel |
2021-01-25 |
9,199 |
|
0 |
| Flaherty Mark A. |
Director |
2022-01-19 |
1,015 |
|
0 |
| Leslie Ericka T |
Chief Administrative Officer |
2023-11-21 |
10,471 |
|
0 |
| Browne Lord Of Madingley |
Director |
2004-12-20 |
1,394 |
2004-12-20 |
0 |
| Simmons Ruth J |
Director |
2005-09-21 |
0 |
2005-09-21 |
0 |
| Kaplan Robert S |
Vice Chairman |
2005-10-21 |
2,002,500 |
2003-07-08 |
0 |
| Gupta Rajat K |
Director |
2007-01-04 |
2,000 |
2007-01-04 |
0 |
| Bryan John H |
Director |
2010-02-18 |
3,053 |
2010-02-18 |
0 |
| Dahlback Claes |
|
2014-02-05 |
0 |
2012-08-13 |
0 |
| George William W |
|
2016-12-20 |
29,630 |
2004-03-30 |
0 |
| Johnson James A /dc/ |
|
2017-01-19 |
0 |
2006-09-26 |
0 |
| Gnodde Richard J |
|
2018-01-23 |
223,067 |
2017-01-24 |
0 |
| Chavez R Martin Phd |
|
2018-02-07 |
76,829 |
2018-02-07 |
0 |
| Holmes Dane E |
|
2019-07-18 |
7,839 |
2019-07-18 |
0 |
| Scherr Stephen M |
CFO |
2021-11-08 |
87,786 |
2019-01-23 |
0 |
| Fredman Sheara J |
Chief Accounting Officer |
2024-01-23 |
11,463 |
2020-01-23 |
0 |
| Ruemmler Kathryn H. |
Chief Legal Officer, GC |
2024-04-30 |
9,589 |
2022-01-25 |
0 |
| Waldron John E. |
President and COO |
2024-04-30 |
106,456 |
2019-01-23 |
0 |
| Schwartz Mark |
|
2016-12-29 |
997,666 |
2016-12-29 |
4,000 |
| Coleman Denis P. |
Chief Financial Officer |
2024-02-23 |
29,417 |
2024-02-23 |
4,118 |
| Mittal Lakshmi N. |
|
2014-01-17 |
10,000 |
2014-01-17 |
5,000 |
| Forst Edward C |
EVP, Chief Admin. Officer |
2007-10-10 |
119,917 |
2007-10-10 |
5,770 |
| Berlinski Philip R. |
Global Treasurer |
2024-02-22 |
18,408 |
2024-02-22 |
6,995 |
| Hammack Elizabeth M |
Global Treasurer |
2021-01-25 |
5,918 |
2021-01-25 |
8,939 |
| Cohen Alan M |
|
2017-02-16 |
58,635 |
2017-02-16 |
9,084 |
| Lee Brian J |
Chief Risk Officer |
2024-04-30 |
15,595 |
2024-04-30 |
14,308 |
| Solomon David M |
Chairman of the Board and CEO, Director |
2024-04-30 |
137,033 |
2024-04-30 |
16,171 |
| Stein Laurence |
Chief Administrative Officer |
2022-02-16 |
10,152 |
2022-02-17 |
17,558 |
| Cooper Edith W |
|
2017-12-28 |
33,847 |
2017-12-28 |
20,650 |
| Stecher Esta E |
Executive VP - General Counsel |
2011-01-25 |
264,777 |
2008-01-07 |
26,698 |
| Smith Sarah G |
|
2019-01-23 |
49,728 |
2019-01-23 |
27,212 |
| Schwartz Harvey M |
|
2017-12-28 |
263,690 |
2017-12-28 |
30,000 |
| Salame Pablo J |
|
2018-02-01 |
181,833 |
2018-02-01 |
39,614 |
| Kennedy Kevin W |
Exec. VP - Human Capital Mgmt. |
2008-01-18 |
452,353 |
2008-01-18 |
49,091 |
| Rogers John F.w. |
Executive Vice President |
2024-04-30 |
72,386 |
2024-04-30 |
61,710 |
| Montag Thomas K. |
Director |
2024-02-02 |
128,800 |
2024-02-02 |
77,916 |
| Evans J. Michael |
|
2013-11-27 |
581,907 |
2009-01-13 |
78,778 |
| Palm Gregory K |
|
2018-12-27 |
946,915 |
2018-12-27 |
87,007 |
| Weinberg John S |
|
2015-05-05 |
1,020,051 |
2015-05-05 |
89,341 |
| Sherwood Michael S. |
|
2016-11-16 |
195,041 |
2016-11-16 |
124,620 |
| Viniar David A |
Director |
2024-04-29 |
623,425 |
2024-04-29 |
195,879 |
| Paulson Henry M Jr |
Chairman of the Board and CEO, Director |
2006-03-30 |
3,230,024 |
2004-04-01 |
200,000 |
| Cohn Gary D |
|
2017-01-24 |
940,908 |
2016-11-14 |
310,730 |
| Nora Johnson Suzanne M |
Vice Chairman of the Corp. |
2007-01-04 |
33,834 |
2007-01-04 |
313,369 |
| Steel Robert K |
Vice Chairman of the Corp. |
2004-01-23 |
951,329 |
2004-01-23 |
500,000 |
| Thain John A |
President and COO, Director |
2004-01-05 |
2,134,061 |
2004-01-05 |
575,000 |
| Winkelried Jon |
President and Co-COO, Director |
2009-01-13 |
779,204 |
2009-01-13 |
657,860 |
| Blankfein Lloyd C |
|
2017-12-28 |
1,244,942 |
2017-12-28 |
1,066,556 |
|
5.61 (1.3%) 
