James S Phalen
CIK 1318370 · Vice Chairman · last filed 2017-01-23
"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
$95.47M
Companies
3
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 | $54.35 | $19.92M | $0 | 1 | 2017-01-23 |
| STATE STREET CORP (STTpD) Delisted | Vice Chairman | 339,335 | $24.98 | $8.48M | -$8.28M | 9 | 2016-03-02 |
| STT | Executive Vice President | 441,059 | $171.29 | $75.55M | -$10.37M | 25 | 2014-02-24 |
Recent Filings · Page 4 of 4
35 filingsInsider 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 |
|---|---|---|---|---|---|
| 2008-03-03 | STT | Mixed | +30,918 | -$695.5K | EDGAR |
| 2008-02-20 | STT | Tax (F) | −2,729 | -$229.0K | EDGAR |
| 2007-07-03 | STT | Tax (F) | −1,709 | -$116.9K | EDGAR |
| 2007-06-19 | STT | Grant (A) | +8,370 | $0 | EDGAR |
| 2007-02-20 | STT | Mixed | +7,714 | $544.5K | EDGAR |
Showing 31–35 of 35
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Page 4 of 4
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.
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.