|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $63.52 |
2021-01-27 |
|
BlackRock Inc.
(BLK) |
FINK LAURENCE
(Chairman and CEO) |
2800 (S) $731.17 |
2021-01-26 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
25356 (S) $65.41 |
2021-01-26 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Zyla Gary G.
(EVP, Chief Financial Officer) |
101 (S) $25.03 |
2021-01-25 |
|
GAMCO INVESTORS, INC. ET AL
(GBL) |
GABELLI MARIO J
(Chairman & CEO) |
2452 (S) $18.75 |
2021-01-25 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $67.66 |
2021-01-25 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
25256 (S) $68.81 |
2021-01-22 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
3709 (S) $69.19 |
2021-01-22 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Zyla Gary G.
(EVP, Chief Financial Officer) |
1909 (S) $25.00 |
2021-01-21 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Kim Michael
(EVP, Chief Client Officer) |
637 (S) $25.01 |
2021-01-21 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $68.75 |
2021-01-21 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Kim Michael
(EVP, Chief Client Officer) |
3479 (S) $25.01 |
2021-01-20 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Zyla Gary G.
(EVP, Chief Financial Officer) |
2756 (S) $25.01 |
2021-01-20 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
5053 (S) $68.57 |
2021-01-20 |
|
GOLDMAN SACHS GROUP INC
(GS) |
FREDMAN SHEARA J
(Chief Accounting Officer) |
3304 (S) $294.03 |
2021-01-20 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
36263 (S) $68.57 |
2021-01-20 |
|
GOLDMAN SACHS GROUP INC
(GS) |
LEE BRIAN J
(Chief Risk Officer) |
13738 (S) $292.18 |
2021-01-20 |
|
GOLDMAN SACHS GROUP INC
(GS) |
HAMMACK ELIZABETH M
(Global Treasurer) |
6762 (S) $292.22 |
2021-01-20 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Zyla Gary G.
(EVP, Chief Financial Officer) |
200 (S) $25.17 |
2021-01-19 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $69.27 |
2021-01-19 |
|
Tradeweb Markets Inc.
(TW) |
Maisey Simon
(Managing Director, Corp. Dev.) |
1900 (S) $64.70 |
2021-01-15 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
5116 (S) $69.20 |
2021-01-15 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
36674 (S) $69.19 |
2021-01-15 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $68.94 |
2021-01-14 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
4926 (S) $69.82 |
2021-01-13 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
35439 (S) $69.83 |
2021-01-13 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $69.88 |
2021-01-12 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
5079 (S) $68.98 |
2021-01-11 |
|
Cboe Global Markets, Inc.
(CBOE) |
Harkins Bryan
(EVP, Head of Markets) |
7356 (S) $98.40 |
2021-01-11 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
36427 (S) $68.98 |
2021-01-11 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $69.95 |
2021-01-08 |
|
Intercontinental Exchange, Inc.
(ICE) |
Surdykowski Andrew J
(General Counsel) |
1000 (S) $118.00 |
2021-01-08 |
|
CME GROUP INC.
(CME) |
Piell Hilda Harris
(Sr MD & Chief HR Officer) |
1500 (S) $198.00 |
2021-01-07 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
5091 (S) $69.86 |
2021-01-07 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
36509 (S) $69.86 |
2021-01-07 |
|
GAMCO INVESTORS, INC. ET AL
(GBL) |
GABELLI MARIO J
(Chairman & CEO) |
4000 (S) $19.00 |
2021-01-06 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $67.24 |
2021-01-06 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Angus Ted F.
(EVP, General Counsel) |
17888 (S) $23.51 |
2021-01-05 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
5065 (S) $65.04 |
2021-01-05 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
36345 (S) $65.04 |
2021-01-05 |
|
GLOBAL MACRO TRUST
(N/A) |
Fitzsimmons Mark
(See Remarks Below) |
3 (B) $7,000.00 |
2021-01-04 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Angus Ted F.
(EVP, General Counsel) |
13847 (S) $24.12 |
2021-01-04 |
|
GLOBAL MACRO TRUST
(N/A) |
Beker Harvey
(See Remarks Below) |
1 (B) $3,500.00 |
2021-01-04 |
|
GLOBAL MACRO TRUST
(N/A) |
Buckbinder Gregg
(See Remarks Below) |
9 (B) $19,950.00 |
2021-01-04 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
29500 (S) $61.58 |
2021-01-04 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(10% owner) |
250 (B) $3.89 |
2021-01-04 |
|
Sprout Social, Inc.
(SPT) |
GOLDMAN SACHS GROUP INC
(Director) |
640 (S) $45.67 |
2021-01-04 |
|
GAMCO INVESTORS, INC. ET AL
(GBL) |
GABELLI MARIO J
(Chairman & CEO) |
833 (S) $18.03 |
2020-12-31 |
|
Ares Management Corp
(ARES) |
Arougheti Michael J
(Co-Founder, CEO and President) |
65408 (S) $47.25 |
2020-12-31 |
|
GlassBridge Enterprises, Inc.
(GLAE) |
Hall George E.
(See Explanation of Responses) |
250 (B) $0.00 |
2020-12-31 |
|
Wright Investors Service Holdings, Inc.
(IWSH) |
EISEN HARVEY P
(President and CEO) |
582500 (B) $0.20 |
2020-12-30 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
32000 (S) $60.87 |
2020-12-30 |
|
Wright Investors Service Holdings, Inc.
(IWSH) |
Miller William H III
(10% owner) |
582938 (B) $0.20 |
2020-12-30 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
5043 (S) $61.42 |
2020-12-29 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
36124 (S) $61.42 |
2020-12-29 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(10% owner) |
250 (B) $3.74 |
2020-12-29 |
|
GAMCO INVESTORS, INC. ET AL
(GBL) |
GABELLI MARIO J
(Chairman & CEO) |
9100 (S) $18.30 |
2020-12-28 |
|
Morningstar, Inc.
(MORN) |
Mansueto Joseph D
(Executive Chairman) |
4973 (S) $223.27 |
2020-12-28 |
|
Ares Management Corp
(ARES) |
Arougheti Michael J
(Co-Founder, CEO and President) |
259592 (S) $48.55 |
2020-12-28 |
|
HENNESSY ADVISORS INC
(HNNA) |
OFFENBACH RODGER
(Director) |
7185 (S) $8.94 |
2020-12-28 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
31600 (S) $61.92 |
2020-12-28 |
|
SCHWAB CHARLES CORP
(SCHW) |
SCHWAB CHARLES R
(Chairman) |
98870 (S) $52.05 |
2020-12-24 |
|
NATIONAL HOLDINGS CORP
(NHLD) |
ASHER DANIEL
(10% owner) |
18458 (B) $2.68 |
2020-12-24 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
3859 (S) $61.36 |
2020-12-24 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
27559 (S) $61.36 |
2020-12-24 |
|
HENNESSY ADVISORS INC
(HNNA) |
OFFENBACH RODGER
(Director) |
2815 (S) $8.93 |
2020-12-23 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
22100 (S) $60.78 |
2020-12-23 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(10% owner) |
250 (B) $3.63 |
2020-12-23 |
|
Morningstar, Inc.
(MORN) |
Mansueto Joseph D
(Executive Chairman) |
18923 (S) $222.96 |
2020-12-23 |
|
GAMCO INVESTORS, INC. ET AL
(GBL) |
GABELLI MARIO J
(Chairman & CEO) |
41845 (S) $17.90 |
2020-12-22 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
5020 (S) $60.13 |
2020-12-22 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
35903 (S) $60.13 |
2020-12-22 |
|
BrightSphere Investment Group Inc.
(BSIG) |
Wiater Christina
(PFO / PAO) |
39 (S) $18.68 |
2020-12-21 |
|
BrightSphere Investment Group Inc.
(BSIG) |
Hart Richard Jonathan
(Chief Legal Officer) |
39 (S) $18.68 |
2020-12-21 |
|
CME GROUP INC.
(CME) |
Piell Hilda Harris
(Sr MD & Chief HR Officer) |
2300 (S) $182.00 |
2020-12-21 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $58.93 |
2020-12-21 |
|
JMP GROUP LLC
(JMP) |
WEDBUSH SECURITIES INC
(10% owner) |
500 (B) $3.60 |
2020-12-21 |
|
Morningstar, Inc.
(MORN) |
Mansueto Joseph D
(Executive Chairman) |
11874 (S) $221.62 |
2020-12-21 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
5096 (S) $58.94 |
2020-12-18 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
36520 (S) $58.95 |
2020-12-18 |
|
Pzena Investment Management, Inc.
(PZN) |
Cai Chenyu Caroline
(Executive Vice President) |
401 (S) $7.90 |
2020-12-18 |
|
GAMCO INVESTORS, INC. ET AL
(GBL) |
GABELLI MARIO J
(Chairman & CEO) |
11800 (S) $16.59 |
2020-12-17 |
|
PRICE T ROWE GROUP INC
(TROW) |
Robert W. Sharps
(Vice President) |
7064 (S) $151.07 |
2020-12-17 |
|
EATON VANCE CORP
(EV) |
FAUST THOMAS E JR
(CEO) |
98936 (S) $65.66 |
2020-12-17 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
28800 (S) $59.44 |
2020-12-17 |
|
Intercontinental Exchange, Inc.
(ICE) |
Namkung James W
(Chief Accounting Officer) |
2193 (S) $113.00 |
2020-12-17 |
|
Morningstar, Inc.
(MORN) |
Mansueto Joseph D
(Executive Chairman) |
24910 (S) $219.03 |
2020-12-17 |
|
SCHWAB CHARLES CORP
(SCHW) |
SCHWAB CHARLES R
(Chairman) |
98870 (S) $51.48 |
2020-12-17 |
|
COHEN & STEERS, INC.
(CNS) |
Nolty Michele
(Executive Vice President) |
3200 (S) $75.67 |
2020-12-16 |
|
Intercontinental Exchange, Inc.
(ICE) |
Surdykowski Andrew J
(General Counsel) |
1000 (S) $112.00 |
2020-12-16 |
|
NATIONAL HOLDINGS CORP
(NHLD) |
ASHER DANIEL
(10% owner) |
1621 (B) $2.70 |
2020-12-16 |
|
Apollo Global Management, Inc.
(APO) |
Kelly Martin
(Chief Financial Officer) |
20000 (S) $49.10 |
2020-12-16 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Brody Paul Jonathan
(Chief Financial Officer) |
3622 (S) $58.59 |
2020-12-16 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Frank Thomas AJ
(Chief Information Officer) |
25088 (S) $58.58 |
2020-12-16 |
|
AssetMark Financial Holdings, Inc.
(AMK) |
Kim Michael
(EVP, Chief Client Officer) |
5895 (S) $24.16 |
2020-12-15 |
|
FRANKLIN RESOURCES INC
(BEN) |
Byerwalter Mariann H
(Director) |
1826 (S) $23.97 |
2020-12-15 |
|
MARKETAXESS HOLDINGS INC
(MKTX) |
Casper Stephen P
(Director) |
750 (S) $554.96 |
2020-12-15 |
|
GAMCO INVESTORS, INC. ET AL
(GBL) |
GABELLI MARIO J
(Chairman & CEO) |
21039 (S) $15.59 |
2020-12-15 |
|
Interactive Brokers Group, Inc.
(IBKR) |
Peterffy Thomas
(Chairman) |
30200 (S) $56.67 |
2020-12-15 |
|
Morningstar, Inc.
(MORN) |
Mansueto Joseph D
(Executive Chairman) |
22097 (S) $210.32 |
2020-12-15 |