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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 02-Apr-12 5:58 PM View:  | Penson Worldwide Inc (PNSN) | 31-Mar-12 | Payment of Exercise | 595 | $0.68 | $404.60 | (< 1%) 91.2K to 90.61K | 93% |
| 03-Jan-12 6:58 PM View: | Penson Worldwide Inc (PNSN) | 01-Jan-12 | Payment of Exercise | 5,224 | $1.16 | $6,059.84 | (5%) 96.43K to 91.2K | 96% |
| 03-Jan-12 6:58 PM View: | Penson Worldwide Inc (PNSN) | 31-Dec-11 | Payment of Exercise | 595 | $1.16 | $690.20 | (< 1%) 97.02K to 96.43K | 96% |
| 03-Oct-11 6:16 PM View: | Penson Worldwide Inc (PNSN) | 01-Oct-11 | Payment of Exercise | 514 | $1.45 | $745.30 | (< 1%) 97.54K to 97.02K | 96% |
| 05-Jul-11 7:28 PM View: | Penson Worldwide Inc (PNSN) | 01-Jul-11 | Payment of Exercise | 514 | $3.45 | $1,773.30 | (< 1%) 98.05K to 97.54K | 99% |
| 01-Apr-11 5:08 PM View: | Penson Worldwide Inc (PNSN) | 31-Mar-11 | Payment of Exercise | 595 | $6.71 | $3,992.45 | (< 1%) 98.65K to 98.05K | 99% |
| 22-Feb-11 9:26 PM View: | Penson Worldwide Inc (PNSN) | 14-Jan-11 | Grant | 51,124 | -- | -- | (34%) 149.77K to 98.65K | |
| 03-Jan-11 8:02 PM View: | Penson Worldwide Inc (PNSN) | 31-Dec-10 | Payment of Exercise | 595 | $4.89 | $2,909.55 | (1%) 48.12K to 47.52K | 99% |
| 04-Oct-10 6:56 PM View: | Penson Worldwide Inc (PNSN) | 01-Oct-10 | Payment of Exercise | 514 | $5.15 | $2,647.10 | (1%) 48.63K to 48.12K | 99% |
| 03-Aug-10 4:56 PM View: | Penson Worldwide Inc (PNSN) | 01-Aug-10 | Payment of Exercise | 1,380 | $5.38 | $7,424.40 | (3%) 50.01K to 48.63K | 99% |
| 02-Jul-10 6:14 PM View: | Penson Worldwide Inc (PNSN) | 01-Jul-10 | Payment of Exercise | 514 | $5.60 | $2,878.40 | (1%) 50.52K to 50.01K | 99% |
| 04-May-10 5:14 PM View: | Penson Worldwide Inc (PNSN) | 01-May-10 | Payment of Exercise | 1,380 | $9.40 | $12,972.00 | (3%) 51.91K to 50.52K | 99% |
| 01-Apr-10 6:42 PM View: | Penson Worldwide Inc (PNSN) | 31-Mar-10 | Payment of Exercise | 571 | $10.07 | $5,749.97 | (1%) 52.48K to 51.91K | 99% |
| 02-Mar-10 5:21 PM View: | Penson Worldwide Inc (PNSN) | 26-Feb-10 | Grant | 10,430 | -- | -- | 25% 42.05K to 52.48K | |
| 04-Jan-10 6:58 PM View: | Penson Worldwide Inc (PNSN) | 01-Jan-10 | Payment of Exercise | 340 | $9.06 | $3,080.40 | (< 1%) 42.39K to 42.05K | 99% |
| 04-Jan-10 6:58 PM View: | Penson Worldwide Inc (PNSN) | 31-Dec-09 | Payment of Exercise | 634 | $9.06 | $5,744.04 | (1%) 43.02K to 42.39K | 99% |
| 05-Oct-09 6:48 PM View: | Penson Worldwide Inc (PNSN) | 01-Oct-09 | Payment of Exercise | 790 | $9.68 | $7,647.20 | (2%) 43.81K to 43.02K | 99% |
| 02-Jul-09 8:08 PM View: | Penson Worldwide Inc (PNSN) | 01-Jul-09 | Payment of Exercise | 790 | $9.03 | $7,133.70 | (2%) 44.6K to 43.81K | 99% |
| 02-Jul-09 10:00 PM View: | Penson Worldwide Inc (PNSN) | 01-Jul-09 | Payment of Exercise Duplicate | 790 | $9.03 | $7,133.70 | (2%) 44.6K to 43.81K | 99% |
| 02-Apr-09 5:24 PM View: | Penson Worldwide Inc (PNSN) | 01-Apr-09 | Payment of Exercise | 341 | $6.73 | $2,294.93 | (< 1%) 44.94K to 44.6K | 99% |
| 02-Apr-09 5:24 PM View: | Penson Worldwide Inc (PNSN) | 31-Mar-09 | Payment of Exercise | 636 | $6.43 | $4,089.48 | (1%) 45.58K to 44.94K | 99% |
| 02-Jan-09 5:51 PM View: | Penson Worldwide Inc (PNSN) | 01-Jan-09 | Payment of Exercise | 341 | $7.62 | $2,598.42 | (< 1%) 45.92K to 45.58K | 99% |
| 02-Jan-09 5:51 PM View: | Penson Worldwide Inc (PNSN) | 31-Dec-08 | Payment of Exercise | 636 | $7.62 | $4,846.32 | (1%) 46.55K to 45.92K | 99% |
| 20-Oct-08 7:44 PM View: | Penson Worldwide Inc (PNSN) | 16-Oct-08 | Grant | 33,000 | -- | -- | 243% 13.55K to 46.55K | |
| 02-Oct-08 4:23 PM View: | Penson Worldwide Inc (PNSN) | 01-Oct-08 | Payment of Exercise | 276 | $13.48 | $3,720.48 | (2%) 13.83K to 13.55K | 100% |
| 02-Jul-08 6:12 PM View: | Penson Worldwide Inc (PNSN) | 01-Jul-08 | Payment of Exercise | 276 | $11.98 | $3,306.48 | (2%) 14.11K to 13.83K | 100% |
| 02-Apr-08 4:34 PM View: | Penson Worldwide Inc (PNSN) | 01-Apr-08 | Payment of Exercise | 276 | $9.78 | $2,699.28 | (2%) 14.38K to 14.11K | 99% |
| 02-Jan-08 6:26 PM View: | Penson Worldwide Inc (PNSN) | 01-Jan-08 | Payment of Exercise | 340 | $14.35 | $4,879.00 | (2%) 14.72K to 14.38K | 100% |
| 02-Oct-07 6:04 PM View: | Penson Worldwide Inc (PNSN) | 01-Oct-07 | Payment of Exercise | 276 | $19.48 | $5,376.48 | (2%) 15.22K to 14.95K | 100% |
| 03-Jul-07 1:25 PM View: | Penson Worldwide Inc (PNSN) | 01-Jul-07 | Payment of Exercise | 276 | $24.53 | $6,770.28 | (2%) 15.5K to 15.22K | 100% |
| 03-Apr-07 5:43 PM View: | Penson Worldwide Inc (PNSN) | 30-Mar-07 | Payment of Exercise | 276 | $30.19 | $8,332.44 | (2%) 15.77K to 15.5K | 100% |
| 04-Jan-07 7:39 PM View: | Penson Worldwide Inc (PNSN) | 04-Jan-07 | Payment of Exercise | 341 | $26.53 | $9,046.73 | (2%) 16.11K to 15.77K | 100% |
| 22-Nov-06 8:56 AM View: | Penson Worldwide Inc (PNSN) | 21-Nov-06 | Payment of Exercise | 552 | $22.46 | $12,397.90 | (3%) 16.67K to 16.11K | 100% |
| 18-May-06 8:31 PM View: | Penson Worldwide Inc (PNSN) | 16-May-06 | Grant | 16,166 | -- | -- | 100% 0 to 16.17K |