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James S Phalen

CIK 1318370 · Vice Chairman · last filed 2017-01-23

James S Phalen is a Vice Chairman who has filed 35 SEC Form 4 insider transactions across 2 companies since 2007. The most recent filing, for XLF, was dated Jan 23, 2017. Across all open-market trades the lifetime net is −$18.7M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $84.1M 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

$84.07M

Companies

2

Total Filings

35

Lifetime Open-Market Net

-$18.65M

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
XLF Vice Chairman 366,597 $57.88 $21.22M $0 1 2017-01-23
STT Vice Chairman 339,335 $185.23 $62.86M -$18.65M 34 2016-03-02

Recent Filings

35 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
2017-01-23 XLF Mixed +26,813 -$88.6K EDGAR
2016-03-02 STT Grant (A) +36,821 $0 EDGAR
2016-02-17 STT Tax (F) −39,430 -$2.16M EDGAR
2015-07-30 STT Gift (G) −6,600 $0 EDGAR
2015-03-04 STT Mixed −19,484 -$1.21M EDGAR
2015-02-23 STT Mixed +67,324 -$430.1K EDGAR
2015-02-18 STT Mixed −103,879 -$7.93M EDGAR
2014-12-03 STT Sell (S) −16,507 -$1.26M EDGAR
2014-11-05 STT Sell (S) −14,514 -$1.10M EDGAR
2014-08-05 STT Sell (S) −11,899 -$836.1K EDGAR
Showing 1–10 of 35
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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.