v3.26.3
Insider Trading Arrangements
 3 Months Ended
Sep. 30, 2026
shares
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 2026, by any director or officer who is subject to the filing requirements of Section 16 of the Securities Exchange Act of 1934 (each a "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 2026. 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 2026.
NameTitleAdoption date
Duration(a)
Aggregate number of shares to be sold(b)
Ashley BaconChief Risk OfficerAugust 6, 2026August 6, 2026 – March 31, 202750% of the net issued shares received as a result of the RSUs vesting on January 13, 2027
Jeremy BarnumChief Financial OfficerJuly 24, 2026July 24, 2026 – March 31, 202750% of the net issued shares received as a result of the RSUs vesting on January 13, 2027
Lori BeerChief Information OfficerAugust 12, 2026August 12, 2026 – March 31, 202750% of the net issued shares received as a result of the RSUs vesting on January 13, 2027
Mary ErdoesCEO, AWMAugust 6, 2026August 6, 2025 – March 31, 202750% of the net issued shares received as a result of the RSUs vesting on January 13, 2027
Stacey FriedmanGeneral CounselJuly 24, 2026July 24, 2026 – March 31, 202750% of the net issued shares received as a result of the RSUs vesting on January 13, 2027
Robin LeopoldHead of Human ResourcesAugust 14, 2026August 14, 2026 – March 31, 2027
1,177 shares and 50% of the net issued shares received as a result of the RSUs vesting on January 13, 2027
Douglas PetnoCo-President;
CEO, CIB		July 25, 2026July 25, 2026 – March 31, 202750% of the net issued shares received as a result of the RSUs vesting on January 13, 2027
Jennifer PiepszakChief Operating OfficerJuly 30, 2026July 30, 2026 – March 31, 202750% of the net issued shares received as a result of the RSUs vesting on January 13, 2027
(a)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.
(b)Unless otherwise stated, the aggregate number of shares to be sold pursuant to each trading arrangement 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 6, 2026
Expiration Date March 31, 2027
Arrangement Duration 237 days
Jeremy Barnum [Member]  
Trading Arrangements, by Individual  
Name Jeremy Barnum
Title Chief Financial Officer
Rule 10b5-1 Arrangement Adopted true
Adoption Date July 24, 2026
Expiration Date March 31, 2027
Arrangement Duration 250 days
Lori Beer [Member]  
Trading Arrangements, by Individual  
Name Lori Beer
Title Chief Information Officer
Rule 10b5-1 Arrangement Adopted true
Adoption Date August 12, 2026
Expiration Date March 31, 2027
Arrangement Duration 231 days
Mary Erdoes [Member]  
Trading Arrangements, by Individual  
Name Mary Erdoes
Title CEO, AWM
Rule 10b5-1 Arrangement Adopted true
Adoption Date August 6, 2026
Expiration Date March 31, 2027
Arrangement Duration 237 days
Stacey Friedman [Member]  
Trading Arrangements, by Individual  
Name Stacey Friedman
Title General Counsel
Rule 10b5-1 Arrangement Adopted true
Adoption Date July 24, 2026
Expiration Date March 31, 2027
Arrangement Duration 250 days
Robin Leopold [Member]  
Trading Arrangements, by Individual  
Name Robin Leopold
Title Head of Human Resources
Rule 10b5-1 Arrangement Adopted true
Adoption Date August 14, 2026
Expiration Date March 31, 2027
Arrangement Duration 229 days
Aggregate Available 1,177
Douglas Petno [Member]  
Trading Arrangements, by Individual  
Name Douglas Petno
Title Co-President;CEO, CIB
Rule 10b5-1 Arrangement Adopted true
Adoption Date July 25, 2026
Expiration Date March 31, 2027
Arrangement Duration 249 days
Jennifer Piepszak [Member]  
Trading Arrangements, by Individual  
Name Jennifer Piepszak
Title Chief Operating Officer
Rule 10b5-1 Arrangement Adopted true
Adoption Date July 30, 2026
Expiration Date March 31, 2027
Arrangement Duration 244 days