Bauman James L

Executive Vice President at 3M CO · on record since Nov 24, 2015
Director at Western Asset Municipal Defined Opportunity Trust Inc. · on record since Jan 28, 2021

Insider trading activity of Bauman James L

Transactions on record: 95; since Feb 5, 2015

Open-market buys: 0

Open-market sells: 52; $11.9M

Companies traded: 1; last filing Feb 19, 2019

Figures computed from official regulatory filings — .

Companies where Bauman James L has traded

3M CO95 tx · $16.9M · Feb 19, 2019

Track record of Bauman James L

Insufficient history for a statistical track record (fewer than 5 open-market buys).

Transaction history of Bauman James L

Co-insiders of Bauman James L

Agdern Robert DWestern Asset Municipal Defined Opportunity Trust Inc.
ALBERTS BRUCE DWestern Asset Municipal Defined Opportunity Trust Inc.
ALVARADO LINDA G3M CO
Ashish Khandpur K3M CO
Banovetz John Patrick3M CO
Barbour Sondra L3M CO
Bauer Wendy A3M CO
BELSCHNER RONALD R3M CO
Berarducci ChristopherWestern Asset Municipal Defined Opportunity Trust Inc.
Berg Jennifer sWestern Asset Municipal Defined Opportunity Trust Inc.
BILSON F BARRYWestern Asset Municipal Defined Opportunity Trust Inc.
BOLT JENNIFER JWestern Asset Municipal Defined Opportunity Trust Inc.
BORSETH J MARK3M CO
Bozeman David P3M CO
BRENNAN EDWARD A3M CO
BROWN THOMAS K3M CO
Brown William M3M CO
BUCKLEY GEORGE W3M CO
Bushman Julie L3M CO
CAMPBELL PATRICK D3M CO
Canon Brett BenjaminWestern Asset Municipal Defined Opportunity Trust Inc.
Chavez Rodriguez Beatriz Karina3M CO
Chepiga PamelaWestern Asset Municipal Defined Opportunity Trust Inc.
Choi Audrey3M CO
Chow Anne H3M CO
Clarke Victoria3M CO
COFFMAN VANCE D3M CO
COLMAN CAROL LWestern Asset Municipal Defined Opportunity Trust Inc.
CRAIG PAMELA3M CO

This page republishes public regulatory disclosures.

Company	Filed	Type	Qty	Price	Value · USD	Signals	Src
3M COListing on record	Feb 19, 2019	AwardD (derivative)	33,172	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 19, 2019	Other	-216.57	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 19, 2019	Award	6,828.91	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 13, 2019	Sell	-619	200.28 USD	$124K		SEC
3M COListing on record	Feb 13, 2019	Sell	-851	200.27 USD	$170.4K		SEC
3M COListing on record	Feb 13, 2019	Sell	-700	200.33 USD	$140.2K		SEC
3M COListing on record	Feb 13, 2019	Sell	-11,390	200.22 USD	$2.3M	Unusual size	SEC
3M COListing on record	Feb 13, 2019	Exercise	16,065	78.72 USD	$1.3M	Unusual size	SEC
3M COListing on record	Feb 13, 2019	Sell	-400	200.26 USD	$80.1K		SEC
3M COListing on record	Feb 13, 2019	Sell	-20	200.25 USD	$4K		SEC
3M COListing on record	Feb 13, 2019	Sell	-19	200.31 USD	$3.8K		SEC
3M COListing on record	Feb 13, 2019	Sell	-1,183	200.24 USD	$236.9K		SEC
3M COListing on record	Feb 13, 2019	Sell	-883	200.30 USD	$176.9K		SEC
3M COListing on record	Feb 13, 2019	ExerciseD (derivative)	-16,065	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 7, 2019	Other	-175.8	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 7, 2019	Award	6,828.91	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 7, 2019	AwardD (derivative)	33,172	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 20, 2018	AwardD (derivative)	34,103	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 20, 2018	Other	-144	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 20, 2018	Award	4,881.19	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 8, 2018	Other	-115	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 8, 2018	Award	4,881.19	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 8, 2018	AwardD (derivative)	34,103	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 5, 2018	Sell	-100	247.99 USD	$24.8K		SEC
3M COListing on record	Feb 5, 2018	Sell	-250	247.94 USD	$62K		SEC

Company	Filed	Type	Qty	Price	Value · USD	Signals	Src
3M COListing on record	Feb 19, 2019	AwardD (derivative)	33,172	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 19, 2019	Other	-216.57	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 19, 2019	Award	6,828.91	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 13, 2019	Sell	-619	200.28 USD	$124K		SEC
3M COListing on record	Feb 13, 2019	Sell	-851	200.27 USD	$170.4K		SEC
3M COListing on record	Feb 13, 2019	Sell	-700	200.33 USD	$140.2K		SEC
3M COListing on record	Feb 13, 2019	Sell	-11,390	200.22 USD	$2.3M	Unusual size	SEC
3M COListing on record	Feb 13, 2019	Exercise	16,065	78.72 USD	$1.3M	Unusual size	SEC
3M COListing on record	Feb 13, 2019	Sell	-400	200.26 USD	$80.1K		SEC
3M COListing on record	Feb 13, 2019	Sell	-20	200.25 USD	$4K		SEC
3M COListing on record	Feb 13, 2019	Sell	-19	200.31 USD	$3.8K		SEC
3M COListing on record	Feb 13, 2019	Sell	-1,183	200.24 USD	$236.9K		SEC
3M COListing on record	Feb 13, 2019	Sell	-883	200.30 USD	$176.9K		SEC
3M COListing on record	Feb 13, 2019	ExerciseD (derivative)	-16,065	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 7, 2019	Other	-175.8	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 7, 2019	Award	6,828.91	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 7, 2019	AwardD (derivative)	33,172	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 20, 2018	AwardD (derivative)	34,103	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 20, 2018	Other	-144	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 20, 2018	Award	4,881.19	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 8, 2018	Other	-115	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 8, 2018	Award	4,881.19	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 8, 2018	AwardD (derivative)	34,103	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
3M COListing on record	Feb 5, 2018	Sell	-100	247.99 USD	$24.8K		SEC
3M COListing on record	Feb 5, 2018	Sell	-250	247.94 USD	$62K		SEC