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M 10b5-1 Plan

$ Value

$0

Shares

113,611

Price

$0

Filed

Apr 2

Insider

Name

FRIEDMAN ADENA T

Title

Chair and CEO

CIK

0001240169

Roles

Director Officer

Transaction Details

Transaction Date

2026-04-01

Code

M

Table

Derivative

Ownership

Direct

Equity Swap

No

Shares After

Footnotes

The reported sale was effected pursuant to a Rule 10b5-1(c) trading plan adopted on September 11, 2025. | The price reported in this box is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.00 to $85.88, inclusive. The reporting person undertakes to provide to the Issuer, any of its security holders, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. | Represents an award of Restricted Stock Units (RSUs) granted pursuant to the Issuer's Equity Incentive Plan. Each unit represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest with respect to 33% of the RSUs on April 1, 2028, 33% on April 1, 2029, and the remainder on April 1, 2030. | Represents shares of Common Stock withheld for taxes in connection with the settlement of an equity award previously granted under the Issuer's Equity Incentive Plan. | Represents (i) 466,640 shares or units of restricted stock, of which 327,569 are vested, (ii) 1,411,948 shares of Common Stock underlying PSUs, 1,370,208 of which are vested, (iii) 10,000 shares of Common Stock acquired through open market purchases, and (iv) 103,353 shares granted under the Issuer's Equity Incentive Plan or the Issuer's Employee Stock Purchase Plan when the reporting person was an employee of the Issuer prior to returning as President in 2014. | Reflects shares gifted for estate planning purposes to a family trust for the benefit of the reporting person's child, of which the reporting person's spouse is the trustee and the reporting person's brother is the investment advisor. | The option is currently exercisable. | The option vests on January 3, 2027.

Filing Info

Accession No.

0001193125-26-140439

Form Type

4

Issuer CIK

0001120193

FRIEDMAN ADENA T's History

Date Ticker Type Value
2026-04-03 NDAQ F $700K
2026-04-01 NDAQ M $2.5M
2026-04-01 NDAQ $9.7M
2026-04-01 NDAQ A $0
2026-04-01 NDAQ F $1.2M
2026-04-01 NDAQ M $0

Other Insiders at NDAQ (90d)

Insider Bought Sold Last
FRIEDMAN ADENA T
Chair and CEO
$9.7M 2026-04-03
Peterson Bradley J
EVP, CIO
2026-04-03
Griggs PC Nelson
Pres. Capital Access Platforms
2026-04-03
SKULE JEREMY
EVP, CSO
2026-04-03
Tal Cohen
Pres. Market Platforms
2026-04-03
Zecca John
EVP, Global CLO
2026-04-03
Smith Bryan Everard
EVP, CPO
2026-04-03
Daly Michelle Lynn
SVP, Controller & PAO
2026-04-03
Youngwood Sarah
EVP & CFO
2026-04-01