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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 15-May-18 10:00 PM View:  | Duke Energy Corp. (DUK) | 14-May-18 | Market Sale | 2,006 | $77.93 | $156,338.00 | (67%) 3.01K to 1.0K | (23%) |
| 07-May-18 4:33 PM View: | Duke Energy Corp. (DUK) | 03-May-18 | Grant | 2,006 | $79.76 | $160,000.00 | 62% 3.25K to 5.26K | 20% |
| 15-May-17 10:00 PM View: | Duke Energy Corp. (DUK) | 12-May-17 | Market Sale | 1,190 | $83.10 | $98,889.00 | (54%) 2.19K to 1.0K | (10%) |
| 15-May-17 10:00 PM View: | Duke Energy Corp. (DUK) | 11-May-17 | Market Sale | 1,000 | $82.57 | $82,570.00 | (31%) 3.19K to 2.19K | (11%) |
| 14-Nov-16 4:45 PM View: | Duke Energy Corp. (DUK) | 09-Nov-16 | Market Purchase | 1,000 | $77.80 | $77,800.00 | 23% 4.38K to 5.38K | 15% |
| 22-Jun-16 4:20 PM View: | Phoenix Companies Inc. (PNX) | 20-Jun-16 | Disposition | 200 | -- | -- | (100%) 0.2K to 0 | |
| 16-May-13 4:53 PM View: | Duke Energy Corp. (DUK) | 14-May-13 | Market Purchase | 1,000 | $71.75 | $71,750.00 | 98% 1.02K to 2.02K | 8% |
| 10-Nov-11 4:26 PM View: | Duke Energy Corp. (DUK) | 08-Nov-11 | Market Sale | 1,400 | $20.83 | $29,165.60 | (31%) 4.47K to 3.07K | (279%) |
| 05-Oct-09 4:09 PM View: | CuraGen Corp. (CRGN) | 01-Oct-09 | Disposition | 55,000 | -- | -- | (100%) 55.0K to 0 | |
| 27-Aug-09 4:02 PM View: | Duke Energy Corp. (DUK) | 25-Aug-09 | Grant | 4,467 | $15.62 | $69,774.50 | 100% 0 to 4.47K | 464% |
| 23-Mar-09 4:15 PM View: | CuraGen Corp. (CRGN) | 19-Mar-09 | Grant | 50,000 | -- | -- | 1000% 5.0K to 55.0K | |
| 21-Nov-07 1:33 PM View: | Phoenix Companies Inc. (PNX) | 20-Nov-07 | Grant | 2,000 | $11.96 | $23,920.00 | 100% 2.0K to 4.0K | (81%) |
| 15-Nov-07 9:52 PM View: | Neon Communications Group, ... (NGI) | 13-Nov-07 | Disposition (other) | 2,061 | $5.15 | $10,614.20 | (100%) 2.06K to 0 | < 1% |
| 04-May-07 9:13 AM View: | CuraGen Corp. (CRGN) | 03-May-07 | Market Purchase | 5,000 | $2.80 | $14,000.00 | 100% 0 to 5.0K | (65%) |
| 03-Jun-05 4:22 PM View: | Phoenix Companies Inc. (PNX) | 03-Jun-05 | Market Purchase | 2,000 | $11.57 | $23,140.00 | 100% 0 to 2.0K | (68%) |
| 09-Mar-05 9:36 PM View: | Neon Communications Group, ... (NGI) | 07-Mar-05 | Option Exercise | 2,061 | -- | -- | 100% 0 to 2.06K | |
| 11-Aug-04 10:00 PM View: | Northeast Utilities (ES) | 10-Aug-04 | Market Sale | 1,738 | $18.90 | $32,849.60 | (2%) 83.93K to 82.19K | (457%) |
| 02-Apr-04 10:00 PM View: | Northeast Utilities (ES) | 31-Mar-04 | Market Sale | 6,000 | $18.55 | $111,300.00 | (7%) 89.02K to 83.02K | (472%) |
| 25-Feb-04 10:00 PM View: | Northeast Utilities (ES) | 25-Feb-04 | Disposition | 3,550 | -- | -- | (4%) 92.51K to 88.96K | |
| 25-Feb-04 10:00 PM View: | Northeast Utilities (ES) | 24-Feb-04 | Grant | 51,442 | -- | -- | 125% 41.07K to 92.51K | |
| 31-Oct-03 10:00 PM View: | Northeast Utilities (ES) | 29-Oct-03 | Option Exercise | 81,519 | $17.25 | $1,406,280.00 | 197% 41.32K to 122.84K | |
| 31-Oct-03 10:00 PM View: | Northeast Utilities (ES) | 29-Oct-03 | Market Option Sale | 81,519 | $19.13 | $1,559,090.00 | (66%) 122.84K to 41.32K | (463%) |
| 31-Oct-03 10:00 PM View: | Northeast Utilities (ES) | 29-Oct-03 | Market Sale | 400 | $19.13 | $7,650.21 | (< 1%) 41.32K to 40.92K | (463%) |