SULLIVAN JOSEPH A

Director at STIFEL FINANCIAL CORP · on record since Jan 19, 2006
Director at STIFEL FINANCIAL CORP · on record since Jan 19, 2006
Director of Subadviser at ClearBridge Energy Midstream Opportunity Fund Inc. · on record since Jun 9, 2011
Director at LEGG MASON, INC. · on record since Nov 4, 2014
Executive Vice President at LEGG MASON, INC. · on record since Oct 13, 2004
Director of Sub-Adviser at Clarion Partners Real Estate Income Fund Inc. · on record since Jan 10, 2020

Insider trading activity of SULLIVAN JOSEPH A

Transactions on record: 207; since Sep 9, 2003

Open-market buys: 4; $3.8M

Open-market sells: 20; $59.1M

Companies traded: 2; last filing Aug 4, 2020

Figures computed from official regulatory filings — .

Companies where SULLIVAN JOSEPH A has traded

LEGG MASON, INC.191 tx · $113.2M · Aug 4, 2020
STIFEL FINANCIAL CORP16 tx · $2.4M · Oct 15, 2008

Track record of SULLIVAN JOSEPH A

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

Transaction history of SULLIVAN JOSEPH A

Co-insiders of SULLIVAN JOSEPH A

This page republishes public regulatory disclosures.

Company	Filed	Type	Qty	Price	Value · USD	Signals	Src
LEGG MASON, INC.Listing unverified	Aug 4, 2020	Other	-6,665	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Aug 4, 2020	OtherD (derivative)	-49,820	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Aug 4, 2020	OtherD (derivative)	-336	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Aug 4, 2020	Other	-702,645.52	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Aug 4, 2020	OtherD (derivative)	-4,011.84	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Jul 21, 2020	AwardD (derivative)	33.61	47.35 USD	$1.6K		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-202,861	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-44,518	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-211,735	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	149,460	37.64 USD	$5.6M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	44,518	35.16 USD	$1.6M		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Sell	-648,178	49.98 USD	$32.4M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	211,735	31.24 USD	$6.6M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	202,861	31.46 USD	$6.4M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-149,290	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-149,460	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	149,290	47.64 USD	$7.1M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 11, 2020	Exercise	20,603	31.46 USD	$648.2K		SEC
LEGG MASON, INC.Listing unverified	Jun 11, 2020	ExerciseD (derivative)	-20,603	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 11, 2020	Sell	-16,634	50.04 USD	$832.4K		SEC
LEGG MASON, INC.Listing unverified	Jun 10, 2020	Sell	-223,256	50.04 USD	$11.2M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 10, 2020	ExerciseD (derivative)	-276,536	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 10, 2020	Exercise	276,536	31.46 USD	$8.7M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	May 4, 2020	Other	-14,892	49.77 USD	$741.2K		SEC
LEGG MASON, INC.Listing unverified	Apr 28, 2020	AwardD (derivative)	33.53	47.05 USD	$1.6K		SEC

Company	Filed	Type	Qty	Price	Value · USD	Signals	Src
LEGG MASON, INC.Listing unverified	Aug 4, 2020	Other	-6,665	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Aug 4, 2020	OtherD (derivative)	-49,820	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Aug 4, 2020	OtherD (derivative)	-336	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Aug 4, 2020	Other	-702,645.52	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Aug 4, 2020	OtherD (derivative)	-4,011.84	—	n/a (No price was disclosed in the filing)		SEC
LEGG MASON, INC.Listing unverified	Jul 21, 2020	AwardD (derivative)	33.61	47.35 USD	$1.6K		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-202,861	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-44,518	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-211,735	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	149,460	37.64 USD	$5.6M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	44,518	35.16 USD	$1.6M		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Sell	-648,178	49.98 USD	$32.4M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	211,735	31.24 USD	$6.6M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	202,861	31.46 USD	$6.4M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-149,290	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	ExerciseD (derivative)	-149,460	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 12, 2020	Exercise	149,290	47.64 USD	$7.1M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 11, 2020	Exercise	20,603	31.46 USD	$648.2K		SEC
LEGG MASON, INC.Listing unverified	Jun 11, 2020	ExerciseD (derivative)	-20,603	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 11, 2020	Sell	-16,634	50.04 USD	$832.4K		SEC
LEGG MASON, INC.Listing unverified	Jun 10, 2020	Sell	-223,256	50.04 USD	$11.2M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	Jun 10, 2020	ExerciseD (derivative)	-276,536	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
LEGG MASON, INC.Listing unverified	Jun 10, 2020	Exercise	276,536	31.46 USD	$8.7M	Unusual size	SEC
LEGG MASON, INC.Listing unverified	May 4, 2020	Other	-14,892	49.77 USD	$741.2K		SEC
LEGG MASON, INC.Listing unverified	Apr 28, 2020	AwardD (derivative)	33.53	47.05 USD	$1.6K		SEC