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Piper Sandler Companies Executive Compensation
* In original currency USD
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|
Filing Date (SEC Report) |
Year | Reporting Name | Salary | Bonus | Stock Award | Incentive Plan Compensation | Other Compensation | Total Amount |
|---|---|---|---|---|---|---|---|---|
| Friday, April 12th, 2024 | 2023 | Jonathan J. Doyle Vice Chairman and Head of Financial Services | 500,000 | 3,146,875 | 2,362,575 | 0 | 746,987 | 6,756,437 |
| Friday, April 12th, 2024 | 2022 | Chad R. Abraham CEO | 650,000 | 4,042,500 | 6,087,638 | 0 | 329,290 | 11,109,428 |
| Friday, April 12th, 2024 | 2022 | Timothy L. Carter Former CFO | 425,000 | 1,203,125 | 1,003,374 | 0 | 65,363 | 2,696,862 |
| Friday, April 12th, 2024 | 2021 | Timothy L. Carter Former CFO | 425,000 | 1,671,875 | 607,235 | 0 | 21,927 | 2,726,037 |
| Friday, April 12th, 2024 | 2023 | Timothy L. Carter Former CFO | 425,000 | 1,045,000 | 722,124 | 0 | 114,653 | 2,306,777 |
| Friday, April 12th, 2024 | 2022 | Michael R. Dillahunt Global Co-Head of Investment Banking and Capital Markets | 425,000 | 2,765,938 | 1,636,940 | 0 | 44,249 | 4,872,127 |
| Friday, April 12th, 2024 | 2021 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 425,000 | 3,362,188 | 936,890 | 0 | 16,678 | 4,740,756 |
| Friday, April 12th, 2024 | 2022 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 425,000 | 2,368,438 | 1,712,878 | 0 | 37,794 | 4,544,110 |
| Friday, April 12th, 2024 | 2023 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 425,000 | 2,269,063 | 1,206,723 | 0 | 184,549 | 4,085,335 |
| Friday, April 12th, 2024 | 2021 | Chad R. Abraham CEO | 633,333 | 5,279,167 | 3,085,233 | 0 | 140,481 | 9,138,214 |
| Friday, April 12th, 2024 | 2023 | Chad R. Abraham CEO | 650,000 | 3,162,500 | 3,307,681 | 0 | 568,018 | 11,191,449 |
| Friday, April 12th, 2024 | 2023 | Michael R. Dillahunt Global Co-Head of Investment Banking and Capital Markets | 425,000 | 2,269,063 | 1,409,165 | 0 | 48,899 | 4,152,127 |
| Friday, April 12th, 2024 | 2021 | Jonathan J. Doyle Vice Chairman and Head of Financial Services | 500,000 | 7,687,500 | 2,062,269 | 0 | 32,685 | 10,282,454 |
| Friday, April 12th, 2024 | 2022 | Jonathan J. Doyle Vice Chairman and Head of Financial Services | 500,000 | 4,637,500 | 2,562,554 | 0 | 41,883 | 7,741,937 |
| Wednesday, April 5th, 2023 | 2022 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,733,355 | 2,368,438 | 37,794 | 4,564,587 |
| Wednesday, April 5th, 2023 | 2020 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 241,667 | 0 | 797,833 | 2,285,500 | 15,381 | 3,340,381 |
| Wednesday, April 5th, 2023 | 2021 | Jonathan J. Doyle Vice Chairman and Head of Financial Services Group | 500,000 | 0 | 2,062,269 | 7,687,500 | 32,685 | 10,282,454 |
| Wednesday, April 5th, 2023 | 2022 | Jonathan J. Doyle Vice Chairman and Head of Financial Services Group | 500,000 | 0 | 2,580,934 | 4,637,500 | 41,883 | 7,760,317 |
| Wednesday, April 5th, 2023 | 2022 | Michael R. Dillahunt Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,656,509 | 2,765,938 | 44,249 | 4,891,696 |
| Wednesday, April 5th, 2023 | 2022 | Chad R. Abraham CEO | 650,000 | 0 | 6,160,411 | 4,042,500 | 329,290 | 11,182,201 |
| Wednesday, April 5th, 2023 | 2021 | Chad R. Abraham CEO | 633,333 | 0 | 3,085,233 | 5,279,167 | 140,481 | 9,138,214 |
| Wednesday, April 5th, 2023 | 2020 | Chad R. Abraham CEO | 283,333 | 0 | 2,522,168 | 3,857,000 | 31,349 | 6,693,850 |
| Wednesday, April 5th, 2023 | 2020 | Jonathan J. Doyle Vice Chairman and Head of Financial Services Group | 260,898 | 0 | 9,895,652 | 6,621,000 | 9,359 | 16,786,909 |
| Wednesday, April 5th, 2023 | 2022 | Timothy L. Carter CFO | 425,000 | 0 | 1,015,368 | 1,203,125 | 65,363 | 2,708,855 |
| Wednesday, April 5th, 2023 | 2021 | Timothy L. Carter CFO | 425,000 | 0 | 607,235 | 1,671,875 | 21,927 | 2,726,037 |
| Wednesday, April 5th, 2023 | 2020 | Timothy L. Carter CFO | 241,667 | 0 | 479,989 | 1,351,000 | 10,466 | 2,083,122 |
| Wednesday, April 5th, 2023 | 2021 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 936,890 | 3,362,188 | 16,678 | 4,740,756 |
| Friday, March 25th, 2022 | 2021 | Chad R. Abraham CEO | 633,333 | 0 | 3,085,233 | 5,279,167 | 140,481 | 9,138,214 |
| Friday, March 25th, 2022 | 2020 | Jonathan J. Doyle Vice Chairman and Head of Financial Services Group | 260,898 | 0 | 9,895,652 | 6,621,000 | 9,359 | 16,786,909 |
| Friday, March 25th, 2022 | 2020 | Chad R. Abraham CEO | 283,333 | 0 | 2,522,168 | 3,857,000 | 31,349 | 6,693,850 |
| Friday, March 25th, 2022 | 2021 | Jonathan J. Doyle Vice Chairman and Head of Financial Services Group | 500,000 | 0 | 2,062,269 | 7,687,500 | 32,685 | 10,282,454 |
| Friday, March 25th, 2022 | 2021 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 936,890 | 3,362,188 | 16,678 | 4,740,756 |
| Friday, March 25th, 2022 | 2019 | Timothy L. Carter CFO | 425,000 | 0 | 274,239 | 796,875 | 9,797 | 1,505,911 |
| Friday, March 25th, 2022 | 2021 | Timothy L. Carter CFO | 425,000 | 0 | 607,235 | 1,671,875 | 21,927 | 2,726,037 |
| Friday, March 25th, 2022 | 2019 | Debbra L. Schoneman President | 500,000 | 0 | 629,871 | 1,531,250 | 18,078 | 2,679,199 |
| Friday, March 25th, 2022 | 2020 | Debbra L. Schoneman President | 266,667 | 0 | 922,350 | 2,438,000 | 32,029 | 3,659,046 |
| Friday, March 25th, 2022 | 2021 | Debbra L. Schoneman President | 500,000 | 0 | 1,095,466 | 2,500,000 | 77,029 | 4,172,495 |
| Friday, March 25th, 2022 | 2019 | Chad R. Abraham CEO | 550,000 | 0 | 1,578,174 | 2,487,500 | 26,727 | 4,642,401 |
| Friday, March 25th, 2022 | 2019 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 255,044 | 1,573,438 | 2,885,380 | 5,138,862 |
| Friday, March 25th, 2022 | 2020 | Timothy L. Carter CFO | 241,667 | 0 | 479,989 | 1,351,000 | 10,466 | 2,083,122 |
| Friday, March 25th, 2022 | 2020 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 241,667 | 0 | 797,833 | 2,285,500 | 15,381 | 3,340,381 |
| Thursday, April 8th, 2021 | 2020 | Chad R. Abraham CEO โ | 283,333 | 0 | 2,522,168 | 3,857,000 | 31,349 | 6,693,850 |
| Thursday, April 8th, 2021 | 2018 | Timothy L. Carter CFO โ | 425,000 | 0 | 129,780 | 462,500 | 11,912 | 1,029,192 |
| Thursday, April 8th, 2021 | 2019 | Timothy L. Carter CFO โ | 425,000 | 0 | 274,239 | 796,875 | 9,797 | 1,505,911 |
| Thursday, April 8th, 2021 | 2020 | Timothy L. Carter CFO โ | 241,667 | 0 | 479,989 | 1,351,000 | 10,466 | 2,083,122 |
| Thursday, April 8th, 2021 | 2019 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,191,963 | 2,765,938 | 23,629 | 4,406,530 |
| Thursday, April 8th, 2021 | 2020 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 241,667 | 0 | 1,414,268 | 2,963,000 | 29,449 | 4,648,384 |
| Thursday, April 8th, 2021 | 2020 | Jonathan J. Doyle Vice Chairman and Head of Financial Services Group | 260,898 | 0 | 9,895,652 | 6,621,000 | 9,359 | 16,786,908 |
| Thursday, April 8th, 2021 | 2019 | Debbra L. Schoneman President | 500,000 | 0 | 629,871 | 1,531,250 | 18,078 | 2,679,199 |
| Thursday, April 8th, 2021 | 2020 | Debbra L. Schoneman President | 266,667 | 0 | 922,350 | 2,438,000 | 32,029 | 3,659,046 |
| Thursday, April 8th, 2021 | 2018 | Chad R. Abraham CEO โ | 550,000 | 0 | 1,577,790 | 1,952,500 | 109,564 | 5,389,867 |
| Thursday, April 8th, 2021 | 2018 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,098,720 | 2,368,438 | 420,290 | 4,312,448 |
| Thursday, April 8th, 2021 | 2018 | Debbra L. Schoneman President | 500,000 | 0 | 844,470 | 1,062,500 | 47,479 | 3,254,464 |
| Thursday, April 8th, 2021 | 2019 | Chad R. Abraham CEO โ | 550,000 | 0 | 1,578,174 | 2,487,500 | 26,727 | 4,642,401 |
| Friday, April 3rd, 2020 | 2018 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,098,720 | 2,368,438 | 420,290 | 4,312,448 |
| Friday, April 3rd, 2020 | 2019 | Timothy L. Carter CFO | 425,000 | 0 | 274,239 | 796,875 | 9,797 | 1,505,911 |
| Friday, April 3rd, 2020 | 2018 | Timothy L. Carter CFO | 425,000 | 0 | 129,780 | 462,500 | 11,912 | 1,029,192 |
| Friday, April 3rd, 2020 | 2017 | Debbra L. Schoneman President | 500,000 | 0 | 622,735 | 1,437,500 | 40,839 | 2,601,074 |
| Friday, April 3rd, 2020 | 2019 | Chad R. Abraham CEO โ | 550,000 | 0 | 1,578,174 | 2,487,500 | 26,727 | 4,642,401 |
| Friday, April 3rd, 2020 | 2018 | Chad R. Abraham CEO โ | 550,000 | 0 | 1,577,790 | 1,952,500 | 109,564 | 5,389,867 |
| Friday, April 3rd, 2020 | 2017 | Chad R. Abraham CEO โ | 425,000 | 0 | 964,161 | 3,163,438 | 86,407 | 4,639,006 |
| Friday, April 3rd, 2020 | 2019 | Debbra L. Schoneman President | 500,000 | 0 | 629,871 | 1,531,250 | 18,078 | 2,679,199 |
| Friday, April 3rd, 2020 | 2018 | Debbra L. Schoneman President | 500,000 | 0 | 844,470 | 1,062,500 | 47,479 | 3,254,464 |
| Friday, April 3rd, 2020 | 2019 | James P. Baker Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 255,044 | 1,573,438 | 2,885,380 | 5,138,862 |
| Friday, April 3rd, 2020 | 2019 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,191,963 | 2,765,938 | 23,629 | 4,406,530 |
| Friday, April 3rd, 2020 | 2017 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 874,188 | 2,202,813 | 97,435 | 3,599,436 |
| Friday, April 5th, 2019 | 2017 | Frank E. Fairman Head of Public Finance | 425,000 | 0 | 660,888 | 1,020,250 | 45,944 | 2,152,082 |
| Friday, April 5th, 2019 | 2018 | Debbra L. Schoneman President | 500,000 | 0 | 844,470 | 1,062,500 | 47,479 | 3,254,464 |
| Friday, April 5th, 2019 | 2018 | John W. Geelan General Counsel | 300,000 | 0 | 129,240 | 372,438 | 13,804 | 815,482 |
| Friday, April 5th, 2019 | 2018 | Frank E. Fairman Head of Public Finance | 425,000 | 0 | 508,860 | 182,000 | 45,519 | 1,161,379 |
| Friday, April 5th, 2019 | 2016 | Frank E. Fairman Head of Public Finance | 425,000 | 0 | 624,632 | 1,609,675 | 17,580 | 2,676,887 |
| Friday, April 5th, 2019 | 2016 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,118,898 | 2,334,375 | 409,805 | 4,288,078 |
| Friday, April 5th, 2019 | 2016 | Chad R. Abraham CEO โ | 425,000 | 0 | 1,116,898 | 2,654,375 | 53,635 | 4,249,908 |
| Friday, April 5th, 2019 | 2018 | Chad R. Abraham CEO โ | 550,000 | 0 | 1,577,790 | 1,952,500 | 109,567 | 5,389,867 |
| Friday, April 5th, 2019 | 2017 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 874,188 | 2,202,813 | 97,435 | 3,599,436 |
| Friday, April 5th, 2019 | 2018 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,098,720 | 2,368,438 | 420,290 | 4,312,448 |
| Friday, April 5th, 2019 | 2018 | Timothy L. Carter CFO | 425,000 | 0 | 129,780 | 462,500 | 11,912 | 1,029,192 |
| Friday, April 5th, 2019 | 2017 | Debbra L. Schoneman President | 500,000 | 0 | 622,735 | 1,437,500 | 40,839 | 2,601,074 |
| Friday, April 5th, 2019 | 2016 | Debbra L. Schoneman President | 500,000 | 0 | 642,543 | 997,313 | 22,896 | 2,162,752 |
| Friday, April 5th, 2019 | 2017 | Chad R. Abraham CEO โ | 425,000 | 0 | 964,161 | 3,163,438 | 86,407 | 4,639,006 |
| Friday, April 6th, 2018 | 2017 | Chad R. Abraham Global Co-Head of Investment Banking | 425,000 | 0 | 964,161 | 3,163,438 | 86,407 | 4,639,006 |
| Friday, April 6th, 2018 | 2017 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 874,188 | 2,202,813 | 97,435 | 3,599,436 |
| Friday, April 6th, 2018 | 2016 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,118,898 | 2,334,375 | 409,805 | 4,288,078 |
| Friday, April 6th, 2018 | 2015 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,116,936 | 3,158,125 | 270,341 | 4,970,402 |
| Friday, April 6th, 2018 | 2017 | Andrew S. Duff Chairman and CEO โ | 650,000 | 0 | 1,753,256 | 2,472,250 | 159,231 | 5,034,737 |
| Friday, April 6th, 2018 | 2016 | Andrew S. Duff Chairman and CEO โ | 650,000 | 0 | 2,536,851 | 2,736,475 | 66,783 | 5,990,109 |
| Friday, April 6th, 2018 | 2016 | Frank E. Fairman Head of Public Finance | 425,000 | 0 | 624,632 | 1,609,675 | 17,580 | 2,676,887 |
| Friday, April 6th, 2018 | 2017 | Stuart C. Harvey | 500,000 | 0 | 314,418 | 0 | 2,984,358 | 3,798,776 |
| Friday, April 6th, 2018 | 2015 | Andrew S. Duff Chairman and CEO โ | 650,000 | 0 | 2,058,662 | 2,098,200 | 194,599 | 5,001,461 |
| Friday, April 6th, 2018 | 2017 | Debbra L. Schoneman CFO and Global Head of Equities | 500,000 | 0 | 622,735 | 1,437,500 | 40,839 | 2,601,074 |
| Friday, April 6th, 2018 | 2016 | Debbra L. Schoneman CFO and Global Head of Equities | 500,000 | 0 | 642,543 | 997,313 | 22,896 | 2,162,752 |
| Friday, April 6th, 2018 | 2015 | Debbra L. Schoneman CFO and Global Head of Equities | 500,000 | 0 | 712,029 | 1,027,500 | 59,724 | 2,299,253 |
| Friday, April 6th, 2018 | 2016 | Chad R. Abraham Global Co-Head of Investment Banking | 425,000 | 0 | 1,116,898 | 2,654,375 | 53,635 | 4,249,908 |
| Friday, April 6th, 2018 | 2015 | Chad R. Abraham Global Co-Head of Investment Banking | 425,000 | 0 | 1,116,936 | 3,158,125 | 192,473 | 4,892,534 |
| Friday, April 6th, 2018 | 2017 | Frank E. Fairman Head of Public Finance | 425,000 | 0 | 660,888 | 1,020,250 | 45,944 | 2,152,082 |
| Tuesday, March 28th, 2017 | 2015 | Debbra L. Schoneman CFO | 500,000 | 0 | 712,029 | 1,027,500 | 59,724 | 2,299,253 |
| Tuesday, March 28th, 2017 | 2016 | Chad R. Abraham Global Co-Head of Investment Banking | 425,000 | 0 | 1,116,898 | 2,654,375 | 53,635 | 4,249,908 |
| Tuesday, March 28th, 2017 | 2014 | Andrew S. Duff Chairman and CEO | 650,000 | 0 | 1,700,913 | 3,403,400 | 312,136 | 6,066,449 |
| Tuesday, March 28th, 2017 | 2016 | Debbra L. Schoneman CFO | 500,000 | 0 | 642,543 | 997,313 | 22,896 | 2,162,752 |
| Tuesday, March 28th, 2017 | 2015 | Chad R. Abraham Global Co-Head of Investment Banking | 425,000 | 0 | 1,116,936 | 3,158,125 | 192,473 | 4,892,534 |
| Tuesday, March 28th, 2017 | 2014 | Chad R. Abraham Global Co-Head of Investment Banking | 425,000 | 0 | 948,165 | 3,158,125 | 340,003 | 4,871,293 |
| Tuesday, March 28th, 2017 | 2016 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,118,898 | 2,334,375 | 409,805 | 4,288,078 |
| Tuesday, March 28th, 2017 | 2015 | Andrew S. Duff Chairman and CEO | 650,000 | 0 | 2,058,662 | 2,098,200 | 194,599 | 5,001,461 |
| Tuesday, March 28th, 2017 | 2016 | Frank E. Fairman Head of Public Finance | 425,000 | 0 | 624,632 | 1,609,675 | 17,580 | 2,676,887 |
| Tuesday, March 28th, 2017 | 2014 | Debbra L. Schoneman CFO | 500,000 | 0 | 490,020 | 1,236,000 | 34,028 | 2,260,048 |
| Tuesday, March 28th, 2017 | 2016 | Andrew S. Duff Chairman and CEO | 650,000 | 0 | 2,536,851 | 2,736,475 | 66,783 | 5,990,109 |
| Tuesday, March 28th, 2017 | 2015 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 1,116,936 | 3,158,125 | 270,341 | 4,970,402 |
| Tuesday, March 28th, 2017 | 2014 | R. Scott LaRue Global Co-Head of Investment Banking and Capital Markets | 425,000 | 0 | 734,406 | 3,158,125 | 238,942 | 4,556,473 |
| Tuesday, March 14th, 2006 | 2003 | Francis E. Fairman Head of Public Finance Services | 158,100 | 675,000 | 150,000 | 0 | 103,950 | 1,166,849 |
| Tuesday, March 14th, 2006 | 2004 | Francis E. Fairman Head of Public Finance Services | 172,183 | 453,350 | 112,618 | 0 | 9,586 | 780,857 |
| Tuesday, March 14th, 2006 | 2004 | Thomas P. Schnettler Head of Corporate and Institutional Services | 198,033 | 1,787,500 | 1,243,125 | 0 | 9,586 | 3,469,902 |
| Tuesday, March 14th, 2006 | 2005 | Andrew S. Duff Chairman and CEO | 380,000 | 900,000 | 765,000 | 0 | 3,675 | 2,183,685 |
| Tuesday, March 14th, 2006 | 2004 | Andrew S. Duff Chairman and CEO | 380,000 | 1,350,000 | 1,147,500 | 0 | 6,070 | 3,086,074 |
| Tuesday, March 14th, 2006 | 2004 | Addison L. Piper Vice Chairman | 249,700 | 250,000 | 212,500 | 0 | 6,574 | 756,289 |
| Tuesday, March 14th, 2006 | 2003 | Addison L. Piper Vice Chairman | 248,200 | 255,000 | 85,000 | 0 | 167,721 | 924,539 |
| Tuesday, March 14th, 2006 | 2005 | Robert W. Peterson Head of Private Client Services | 205,000 | 770,000 | 535,500 | 0 | 7,167 | 1,631,276 |
| Tuesday, March 14th, 2006 | 2004 | Robert W. Peterson Head of Private Client Services | 198,033 | 880,000 | 612,000 | 0 | 9,478 | 1,810,798 |
| Tuesday, March 14th, 2006 | 2003 | Robert W. Peterson Head of Private Client Services | 163,200 | 922,500 | 330,498 | 0 | 575,717 | 2,042,711 |
| Tuesday, March 14th, 2006 | 2005 | Addison L. Piper Vice Chairman | 250,000 | 250,000 | 212,500 | 0 | 4,179 | 754,184 |
| Tuesday, March 14th, 2006 | 2005 | Thomas P. Schnettler Head of Corporate and Institutional Services | 205,000 | 1,306,250 | 908,438 | 0 | 7,275 | 2,662,972 |
| Tuesday, March 14th, 2006 | 2003 | Thomas P. Schnettler Head of Corporate and Institutional Services | 163,200 | 1,391,250 | 498,452 | 0 | 260,279 | 2,392,577 |
| Tuesday, March 14th, 2006 | 2003 | Andrew S. Duff Chairman and CEO | 379,700 | 2,266,250 | 632,765 | 0 | 4,575,191 | 8,396,600 |
| Tuesday, March 14th, 2006 | 2005 | Francis E. Fairman Head of Public Finance Services | 190,000 | 385,000 | 267,750 | 0 | 7,275 | 897,294 |
| Monday, March 14th, 2005 | 2003 | Barry J. Nordstrand Head of Fixed Income | 178,200 | 1,278,750 | 458,123 | 0 | 42,489 | 1,957,562 |
| Monday, March 14th, 2005 | 2002 | Robert W. Peterson Head of Investment Research | 163,200 | 946,800 | 0 | 0 | 8,000 | 1,118,000 |
| Monday, March 14th, 2005 | 2004 | Barry J. Nordstrand Head of Fixed Income | 200,533 | 495,000 | 344,250 | 0 | 9,496 | 1,049,279 |
| Monday, March 14th, 2005 | 2003 | Thomas P. Schnettler Head of Equities and Investment Banking | 163,200 | 1,391,250 | 498,452 | 0 | 260,279 | 2,313,181 |
| Monday, March 14th, 2005 | 2002 | Thomas P. Schnettler Head of Equities and Investment Banking | 163,200 | 1,200,000 | 0 | 0 | 8,000 | 1,371,200 |
| Monday, March 14th, 2005 | 2004 | Andrew S. Duff Chairman and CEO | 380,000 | 1,350,000 | 1,147,500 | 0 | 6,070 | 2,883,570 |
| Monday, March 14th, 2005 | 2003 | Andrew S. Duff Chairman and CEO | 379,700 | 2,266,250 | 632,765 | 0 | 4,575,191 | 7,853,906 |
| Monday, March 14th, 2005 | 2002 | Andrew S. Duff Chairman and CEO | 378,200 | 225,000 | 0 | 0 | 3,680 | 606,880 |
| Monday, March 14th, 2005 | 2002 | Paul D. Grangaard Head of Private Client Services | 203,200 | 650,000 | 0 | 0 | 8,000 | 861,200 |
| Monday, March 14th, 2005 | 2004 | Robert W. Peterson Head of Investment Research | 198,033 | 880,000 | 612,000 | 0 | 9,478 | 1,699,511 |
| Monday, March 14th, 2005 | 2003 | Robert W. Peterson Head of Investment Research | 163,200 | 922,500 | 330,498 | 0 | 575,717 | 1,991,915 |
| Monday, March 14th, 2005 | 2004 | Paul D. Grangaard Head of Private Client Services | 204,700 | 687,500 | 478,125 | 0 | 9,586 | 1,379,911 |
| Monday, March 14th, 2005 | 2003 | Paul D. Grangaard Head of Private Client Services | 203,200 | 566,250 | 202,873 | 0 | 286,680 | 1,259,003 |
| Monday, March 14th, 2005 | 2004 | Thomas P. Schnettler Head of Equities and Investment Banking | 198,033 | 1,787,500 | 1,243,125 | 0 | 9,586 | 3,238,244 |
| Monday, March 14th, 2005 | 2002 | Barry J. Nordstrand Head of Fixed Income | 178,200 | 1,025,000 | 0 | 0 | 8,000 | 1,211,200 |
