Insider · CIK 0001187441

CARBONE RICHARD J

Reports to the SEC for 2 companies · NEWARK, NJ

sec.gov

Transactions

Companies

Filings

CIK

0001187441

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2020-10-02	E TRADE FINANCIAL CORPD Disposition to Issuer	Director	DDisposition to Issuer	−41.7K sh	—	—	0
2020-08-25	E TRADE FINANCIAL CORPA Award	Director	AAward	+93 sh	—	—	41,677
2020-05-19	E TRADE FINANCIAL CORPA Award	Director	AAward	+123 sh	—	—	41,584
2020-05-08	E TRADE FINANCIAL CORPA Award	Director	AAward	+3,186 sh	—	—	41,461
2020-03-02	E TRADE FINANCIAL CORPA Award	Director	AAward	+108 sh	—	—	38,275
2020-01-02	E TRADE FINANCIAL CORPA Award	Director	AAward	+792 sh	—	—	38,167
2019-11-15	E TRADE FINANCIAL CORPA Award	Director	AAward	+108 sh	—	—	37,375
2019-10-01	E TRADE FINANCIAL CORPA Award	Director	AAward	+1,007 sh	—	—	37,267
2019-08-26	E TRADE FINANCIAL CORPA Award	Director	AAward	+118 sh	—	—	36,260
2019-07-01	E TRADE FINANCIAL CORPA Award	Director	AAward	+793 sh	—	—	36,142
2019-05-20	E TRADE FINANCIAL CORPA Award	Director	AAward	+97 sh	—	—	35,349
2019-05-10	E TRADE FINANCIAL CORPA Award	Director	AAward	+2,630 sh	—	—	35,252
2019-04-01	E TRADE FINANCIAL CORPA Award	Director	AAward	+761 sh	—	—	32,622
2019-02-15	E TRADE FINANCIAL CORPA Award	Director	AAward	+87 sh	—	—	31,861
2019-01-02	E TRADE FINANCIAL CORPA Award	Director	AAward	+826 sh	—	—	31,774
2018-11-15	E TRADE FINANCIAL CORPA Award	Director	AAward	+76 sh	—	—	30,948
2018-10-01	E TRADE FINANCIAL CORPA Award	Director	AAward	+694 sh	—	—	30,872
2018-07-02	E TRADE FINANCIAL CORPA Award	Director	AAward	+550 sh	—	—	30,178
2018-05-18	E TRADE FINANCIAL CORPA Award	Director	AAward	+154 sh	—	—	29,628
2018-05-11	E TRADE FINANCIAL CORPA Award	Director	AAward	+2,010 sh	—	—	29,474
2018-04-02	E TRADE FINANCIAL CORPA Award	Director	AAward	+551 sh	—	—	27,464
2018-01-02	E TRADE FINANCIAL CORPA Award	Director	AAward	+602 sh	—	—	26,913
2017-12-01	E TRADE FINANCIAL CORPA Award	Director	AAward	+207 sh	—	—	26,311
2017-10-02	E TRADE FINANCIAL CORPA Award	Director	AAward	+688 sh	—	—	26,104
2017-08-18	E TRADE FINANCIAL CORPA Award	Director	AAward	+253 sh	—	—	25,416
2017-07-03	E TRADE FINANCIAL CORPA Award	Director	AAward	+782 sh	—	—	25,163
2017-05-12	E TRADE FINANCIAL CORPA Award	Director	AAward	+3,777 sh	—	—	24,381
2016-05-13	E TRADE FINANCIAL CORPA Award	Director	AAward	+5,931 sh	—	—	20,604
2015-05-08	E TRADE FINANCIAL CORPA Award	Director	AAward	+5,173 sh	—	—	14,673
2013-08-27	E TRADE FINANCIAL CORPA Award	Director	AAward	+2,470 sh	—	—	2,470
2013-02-12	PRUPRUDENTIAL FINANCIAL INCF Tax Payment	EVP and CFO	FTax Payment	−2,348 sh	$57.00	−$134K	86,451
2013-02-12	PRUPRUDENTIAL FINANCIAL INC · 2010 Performance SharesM Exercise/Conversion	EVP and CFO	MExercise/Conversion	−4,976 sh	—	—	0
2013-02-12	PRUPRUDENTIAL FINANCIAL INCM Exercise/Conversion	EVP and CFO	MExercise/Conversion	+5,606 sh	—	—	88,799
2013-02-12	PRUPRUDENTIAL FINANCIAL INC · 2013 Performance SharesA Award	EVP and CFO	AAward	+6,958 sh	—	—	6,958
2013-02-12	PRUPRUDENTIAL FINANCIAL INC · 2013 Employee Stock Option (right to buy)A Award	EVP and CFO	AAward	+58.1K sh	—	—	58,140
2013-02-09	PRUPRUDENTIAL FINANCIAL INCF Tax Payment	EVP and CFO	FTax Payment	−1,723 sh	$57.60	−$99.2K	83,193
2012-03-09	PRUPRUDENTIAL FINANCIAL INC · 2/10/04 Employee Stock Option (right to buy)M Exercise/Conversion	EVP and CFO	MExercise/Conversion	−48.9K sh	—	—	0
2012-03-09	PRUPRUDENTIAL FINANCIAL INCM Exercise/Conversion	EVP and CFO	MExercise/Conversion	+48.9K sh	—	—	147,932
2012-03-09	PRUPRUDENTIAL FINANCIAL INCM Exercise/Conversion	EVP and CFO	MExercise/Conversion	+48.5K sh	—	—	196,395
2012-03-09	PRUPRUDENTIAL FINANCIAL INCS Sale	EVP and CFO	SSale	−111K sh	$62.08	−$6.92M	84,916
2012-03-09	PRUPRUDENTIAL FINANCIAL INC · 2/10/09 Employee Stock Option (right to buy)M Exercise/Conversion	EVP and CFO	MExercise/Conversion	−48.5K sh	—	—	0
2012-02-14	PRUPRUDENTIAL FINANCIAL INC · 2012 Employee Stock Option (right to buy)A Award	EVP and CFO	AAward	+52.6K sh	—	—	52,632
2012-02-14	PRUPRUDENTIAL FINANCIAL INC · 2012 Employee Stock Option (right to buy)A Award	EVP and CFO	AAward	+50.4K sh	—	—	50,442
2012-02-14	PRUPRUDENTIAL FINANCIAL INC · 2012 Performance SharesA Award	EVP and CFO	AAward	+7,240 sh	—	—	7,240
2012-02-10	PRUPRUDENTIAL FINANCIAL INCF Tax Payment	EVP and CFO	FTax Payment	−12.6K sh	$59.00	−$744K	99,015
2012-02-10	PRUPRUDENTIAL FINANCIAL INC · 2/10/09 Restricted Stock UnitsM Exercise/Conversion	EVP and CFO	MExercise/Conversion	−27.5K sh	—	—	0
2012-02-10	PRUPRUDENTIAL FINANCIAL INCM Exercise/Conversion	EVP and CFO	MExercise/Conversion	+27.5K sh	—	—	111,626
2012-02-09	PRUPRUDENTIAL FINANCIAL INCF Tax Payment	EVP and CFO	FTax Payment	−1,690 sh	$59.85	−$101K	84,103
2011-02-09	PRUPRUDENTIAL FINANCIAL INCF Tax Payment	EVP and CFO	FTax Payment	−1,677 sh	$63.13	−$106K	85,793
2011-02-08	PRUPRUDENTIAL FINANCIAL INC · 2011 Performance SharesA Award	EVP and CFO	AAward	+4,574 sh	—	—	4,574

Recent filings

Accepted (ET)
Oct 54
CARBONE RICHARD J0000950103-20-019676
SEC(opens sec.gov)
Aug 274
CARBONE RICHARD J0001015780-20-000186
SEC(opens sec.gov)
May 214
CARBONE RICHARD J0001015780-20-000146
SEC(opens sec.gov)
May 124
CARBONE RICHARD J0001015780-20-000119
SEC(opens sec.gov)
Mar 44
CARBONE RICHARD J0001015780-20-000085
SEC(opens sec.gov)
Jan 64
CARBONE RICHARD J0001015780-20-000007
SEC(opens sec.gov)
Nov 194
CARBONE RICHARD J0001015780-19-000224
SEC(opens sec.gov)
Oct 34
CARBONE RICHARD J0001015780-19-000193
SEC(opens sec.gov)
Aug 284
CARBONE RICHARD J0001015780-19-000174
SEC(opens sec.gov)
Jul 34
CARBONE RICHARD J0001015780-19-000150
SEC(opens sec.gov)
May 224
CARBONE RICHARD J0001015780-19-000135
SEC(opens sec.gov)
May 144
CARBONE RICHARD J0001015780-19-000110
SEC(opens sec.gov)
Apr 34
CARBONE RICHARD J0001015780-19-000087
SEC(opens sec.gov)
Feb 204
CARBONE RICHARD J0001015780-19-000071
SEC(opens sec.gov)
Jan 44
CARBONE RICHARD J0001015780-19-000005
SEC(opens sec.gov)
Nov 194
CARBONE RICHARD J0001015780-18-000123
SEC(opens sec.gov)
Oct 34
CARBONE RICHARD J0001015780-18-000098
SEC(opens sec.gov)
Jul 34
CARBONE RICHARD J0001015780-18-000072
SEC(opens sec.gov)
May 224
CARBONE RICHARD J0001015780-18-000067
SEC(opens sec.gov)
May 154
CARBONE RICHARD J0001015780-18-000056
SEC(opens sec.gov)

Companies

Address

751 BROAD STREET, 4TH FLOOR ATTN. CORPORATE COMPLIANCE

NEWARK, NJ, 07102