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Insider Trading Arrangements
 3 Months Ended 9 Months Ended
Sep. 30, 2024
Sep. 30, 2024
Trading Arrangements, by Individual    
Material Terms of Trading Arrangement  
The following table provides information concerning Rule 10b5-1 trading arrangements (as defined in Item 408 of Regulation S-K under the Securities Exchange Act of 1934) adopted in the third quarter of 2024, by any director or officer who is subject to the filing requirements of Section 16 of the Securities Exchange Act of 1934 ("Section 16 Director or Officer"). These trading arrangements are intended to satisfy the affirmative defense of Rule 10b5-1(c). Certain of the Firm's Section 16 Directors or Officers may participate in employee stock purchase plans, 401(k) plans or dividend reinvestment plans of the Firm that have been designed to comply with Rule 10b5-1(c). No non-Rule 10b5-1 trading arrangements (as defined in Item 408 of Regulation S-K under the Securities Exchange Act of 1934) were adopted by any Section 16 Director or Officer during the third quarter of 2024. Additionally, no Rule 10b5-1 or non-Rule 10b5-1 trading arrangements were terminated by any Section 16 Director or Officer in the third quarter of 2024.
NameTitleAdoption date
Duration(b)
Aggregate number of shares to be sold(c)
Ashley BaconChief Risk OfficerAugust 7, 2024
August 7, 2024 – March 31, 2025
50% of the net issued shares received as a result of RSUs vesting on January 13, 2025
Mary ErdoesCEO, AWMAugust 1, 2024
August 1, 2024 – March 31, 2025
50% of the net issued shares received as a result of RSUs vesting on January 13, 2025
Stacey FriedmanGeneral CounselAugust 6, 2024
August 6, 2024 – March 31, 2025
50% of the net issued shares received as a result of RSUs vesting on January 13, 2025
Marianne Lake(a)
CEO, CCBJuly 31, 2024
July 31, 2024 – March 31, 2025
50% of the net issued shares received as a result of RSUs vesting on January 13, 2025
(a)Transaction by trust of which Ms. Lake has either a direct or indirect pecuniary interest.
(b)Sales under the trading arrangement will not commence until completion of the required cooling off period under Rule 10b5-1. Subject to compliance with Rule 10b5-1, duration could cease earlier than the final date shown above to the extent that the aggregate number of shares to be sold under the trading arrangement have been sold.
(c)The aggregate number of shares to be sold pursuant to each trading agreement is dependent on the terms and conditions of, and taxes on, the applicable RSUs, and therefore, is indeterminable at this time.
Non-Rule 10b5-1 Arrangement Adopted false  
Rule 10b5-1 Arrangement Terminated false  
Non-Rule 10b5-1 Arrangement Terminated false  
Ashley Bacon [Member]    
Trading Arrangements, by Individual    
Name Ashley Bacon  
Title Chief Risk Officer  
Rule 10b5-1 Arrangement Adopted true  
Adoption Date August 7, 2024  
Expiration Date March 31, 2025  
Arrangement Duration 236 days  
Mary Erdoes [Member]    
Trading Arrangements, by Individual    
Name Mary Erdoes  
Title CEO, AWM  
Rule 10b5-1 Arrangement Adopted true  
Adoption Date August 1, 2024  
Expiration Date March 31, 2025  
Arrangement Duration 242 days  
Stacey Friedman [Member]    
Trading Arrangements, by Individual    
Name Stacey Friedman  
Title General Counsel  
Rule 10b5-1 Arrangement Adopted true  
Adoption Date August 6, 2024  
Expiration Date March 31, 2025  
Arrangement Duration 237 days  
Marianne Lake [Member]    
Trading Arrangements, by Individual    
Name Marianne Lake(a)  
Title CEO, CCB  
Rule 10b5-1 Arrangement Adopted true  
Adoption Date July 31, 2024  
Expiration Date March 31, 2025  
Arrangement Duration 243 days