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RICHARD J CARBONE

CIK 1187441 · EVP and CFO · last filed 2020-10-05

RICHARD J CARBONE is an EVP and CFO who has filed 46 SEC Form 4 insider transactions across 2 companies since 2007. The most recent filing, for ETFC, was dated Oct 5, 2020. Across all open-market trades the lifetime net is −$6.1M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $10.6M across reported positions.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

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Disclosed Exposure

$10.60M

Companies

2

Total Filings

46

Lifetime Open-Market Net

-$6.05M

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
Symbol Role Shares Price Disclosed Exposure Lifetime OM Net Filings Latest Filed
E TRADE FINANCIAL CORP (ETFC) Delisted Director 0 — — $0 30 2020-10-05
PRU EVP and CFO 89,983 $117.84 $10.60M -$6.05M 16 2013-02-14

Recent Filings

46 filings
Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
Filed Symbol Action Net Shares Net $ Link
2020-10-05 E TRADE FINANCIAL CORP (ETFC) Delisted Disp (D) −41,677 $0 EDGAR
2020-08-27 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +93 $0 EDGAR
2020-05-21 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +123 $0 EDGAR
2020-05-12 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +3,186 $0 EDGAR
2020-03-04 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +108 $0 EDGAR
2020-01-06 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +792 $0 EDGAR
2019-11-19 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +108 $0 EDGAR
2019-10-03 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +1,007 $0 EDGAR
2019-08-28 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +118 $0 EDGAR
2019-07-03 E TRADE FINANCIAL CORP (ETFC) Delisted Grant (A) +793 $0 EDGAR
Showing 1–10 of 46
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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.