Option
MANDELBAUM JAY officer: Executive Vice President officer: Executive Vice President
Restricted Stock Units 44,906 N/A N/A Option
STALEY JAMES E officer: Managing Director officer: Managing Director
Common Stock 57,737 N/A N/A Option
STALEY JAMES E officer: Managing Director officer: Managing Director
Restricted Stock Units 57,737 N/A N/A Option
SCHARF CHARLES W other: Executive Vice Pesident other: Executive Vice Pesident
Common Stock 51,322 N/A N/A Option
SCHARF CHARLES W other: Executive Vice Pesident other: Executive Vice Pesident
Restricted Stock Units 51,322 N/A N/A Option
ZUBROW BARRY L officer: Executive Vice President officer: Executive Vice President
Restricted Stock Units 44,906 N/A N/A Option
DALEY WILLIAM M officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 42,251 N/A N/A Option
DALEY WILLIAM M officer: Vice Chairman officer: Vice Chairman
Common Stock 201,913 N/A N/A Sale
CROWN JAMES S director director
Common Stock 22,800 N/A N/A Purchase
ZUBROW BARRY L officer: Executive Vice President officer: Executive Vice President
Preferred Stock, Series J 200 N/A N/A Option
SCHARF CHARLES W other: Executive Vice Pesident other: Executive Vice Pesident
Common Stock 100,000 N/A N/A Option
SCHARF CHARLES W other: Executive Vice Pesident other: Executive Vice Pesident
Stock Option (Right to Buy) 100,000 N/A N/A Sale
BISIGNANO FRANK officer: Co-Chief Operating Officer officer: Co-Chief Operating Off..
Common Stock 25,000 N/A N/A Option
CAVANAGH MICHAEL J officer: Executive Vice President officer: Executive Vice President
Stock Option (Right to Buy) 10,006 N/A N/A Option
CAVANAGH MICHAEL J officer: Executive Vice President officer: Executive Vice President
Common Stock 10,006 N/A N/A Option
BISIGNANO FRANK officer: Co-Chief Operating Officer officer: Co-Chief Operating Off..
Common Stock 40,000 N/A N/A Sale
SMITH GORDON officer: Co-President & COO, CEO CCB officer: Co-President & COO, CE..
Common Stock 19,142 N/A N/A Sale
CAVANAGH MICHAEL J officer: Executive Vice President officer: Executive Vice President
Common Stock 32,073 N/A N/A Sale
STALEY JAMES E officer: Managing Director officer: Managing Director
Common Stock 19,584 N/A N/A Sale
MACLIN SAMUEL TODD officer: Executive Vice President officer: Executive Vice President
Common Stock 12,100 N/A N/A Option
BISIGNANO FRANK officer: Co-Chief Operating Officer officer: Co-Chief Operating Off..
Stock Appreciation Rights 40,000 N/A N/A Option
DIMON JAMES director, officer: Chairman & CEO director, officer: Chairman & CEO
Common Stock 862,835 N/A N/A Option
DIMON JAMES director, officer: Chairman & CEO director, officer: Chairman & CEO
Stock Option (Right to Buy) 862,835 N/A N/A Sale
MANDELBAUM JAY officer: Executive Vice President officer: Executive Vice President
Common Stock 25,000 N/A N/A Sale
BLACK STEVEN D officer: Vice Chairman officer: Vice Chairman
Common Stock 168,574 N/A N/A Option
MILLER HEIDI officer: Executive Vice President officer: Executive Vice President
Common Stock 205,100 N/A N/A Option
MILLER HEIDI officer: Executive Vice President officer: Executive Vice President
Stock Option (Right to Buy) 205,100 N/A N/A Sale
ERDOES MARY E. officer: CEO Asset & Wealth Management officer: CEO Asset & Wealth Man..
Common Stock 5,000 N/A N/A Sale
MANDELBAUM JAY officer: Executive Vice President officer: Executive Vice President
Common Stock 25,000 N/A N/A Option
DIMON JAMES director, officer: Chairman & CEO director, officer: Chairman & CEO
Common Stock 1,864,486 N/A N/A Option
DIMON JAMES director, officer: Chairman & CEO director, officer: Chairman & CEO
Stock Option (Right to Buy) 641,156 N/A N/A Sale
ERDOES MARY E. officer: CEO Asset & Wealth Management officer: CEO Asset & Wealth Man..
Common Stock 5,000 N/A N/A Sale
MILLER HEIDI officer: Executive Vice President officer: Executive Vice President
Common Stock 25,000 N/A N/A Sale
CUTLER STEPHEN M officer: General Counsel officer: General Counsel
Common Stock 5,242 N/A N/A Option
JACKSON LABAN director director
Common Stock 8,909 N/A N/A Option
CROWN JAMES S director director
Common Stock 8,909 N/A N/A Option
JACKSON LABAN director director
Stock Option (Right to Buy) 8,909 N/A N/A Option
CROWN JAMES S director director
Stock Option (Right to Buy) 8,909 N/A N/A Sale
CROWN JAMES S director director
Common Stock 13,500 N/A N/A Sale
STALEY JAMES E officer: Managing Director officer: Managing Director
Common Stock 2,814 N/A N/A Purchase
RAYMOND LEE R director director
Preferred Stock, Series J 40,000 N/A N/A Purchase
RAYMOND LEE R director director
Preferred Stock, Series J 40,000 N/A N/A Sale
MACLIN SAMUEL TODD officer: Executive Vice President officer: Executive Vice President
Common Stock 6,400 N/A N/A Option
STALEY JAMES E officer: Managing Director officer: Managing Director
Common Stock 15,415 N/A N/A Option
STALEY JAMES E officer: Managing Director officer: Managing Director
Stock Option (Right to Buy) 15,415 N/A N/A Option
STALEY JAMES E officer: Managing Director officer: Managing Director
Common Stock 15,417 N/A N/A Option
STALEY JAMES E officer: Managing Director officer: Managing Director
Stock Option (Right to Buy) 15,417 N/A N/A Option
STALEY JAMES E officer: Managing Director officer: Managing Director
Stock Option (Right to Buy) 15,417 N/A N/A Option
STALEY JAMES E officer: Managing Director officer: Managing Director
Common Stock 15,417 N/A N/A Sale
BISIGNANO FRANK officer: Co-Chief Operating Officer officer: Co-Chief Operating Off..
Common Stock 10,000 N/A N/A