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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 17-Jan-20 12:59 PM View:  | Northeast Utilities (ES) | 15-Jan-20 | Grant | 1,908 | -- | -- | 3% 57.66K to 59.57K | |
| 05-Mar-19 5:26 PM View: | Northeast Utilities (ES) | 04-Mar-19 | Market Sale | 1,042 | $68.87 | $71,762.50 | (2%) 57.41K to 56.37K | (17%) |
| 16-Jan-19 5:11 PM View: | Northeast Utilities (ES) | 15-Jan-19 | Grant | 2,085 | -- | -- | 4% 55.33K to 57.41K | |
| 17-Jan-18 6:08 PM View: | Northeast Utilities (ES) | 16-Jan-18 | Grant | 2,175 | -- | -- | 4% 51.98K to 54.16K | |
| 19-Jan-17 5:49 PM View: | Northeast Utilities (ES) | 17-Jan-17 | Grant | 2,452 | -- | -- | 5% 48.52K to 50.98K | |
| 12-Sep-16 4:03 PM View: | Northeast Utilities (ES) | 09-Sep-16 | Market Purchase | 432 | $54.09 | $23,366.20 | < 1% 47.62K to 48.05K | 45% |
| 22-Jun-16 4:21 PM View: | Phoenix Companies Inc. (PNX) | 20-Jun-16 | Disposition | 2,328 | -- | -- | (100%) 2.33K to 0 | |
| 20-Jan-16 5:50 PM View: | Northeast Utilities (ES) | 15-Jan-16 | Grant | 2,637 | -- | -- | 6% 44.56K to 47.19K | |
| 04-Mar-15 4:03 PM View: | Northeast Utilities (ES) | 02-Mar-15 | Market Sale | 3,965 | $50.45 | $200,035.00 | (8%) 47.67K to 43.7K | (62%) |
| 20-Jan-15 6:46 PM View: | Northeast Utilities (ES) | 15-Jan-15 | Grant | 1,863 | -- | -- | 5% 37.6K to 39.47K | |
| 11-Aug-14 5:14 PM View: | Northeast Utilities (ES) | 07-Aug-14 | Market Sale | 2,716 | $42.57 | $115,620.00 | (7%) 39.93K to 37.22K | (97%) |
| 17-Feb-15 3:24 PM View: | Northeast Utilities (ES) | 16-Jan-14 | Gift | 8,200 | -- | -- | 17% 47.67K to 55.87K | |
| 17-Feb-15 3:24 PM View: | Northeast Utilities (ES) | 16-Jan-14 | Gift | 8,200 | -- | -- | (15%) 55.87K to 47.67K | |
| 17-Jan-14 4:59 PM View: | Northeast Utilities (ES) | 15-Jan-14 | Grant | 2,381 | -- | -- | 5% 45.35K to 47.73K | |
| 09-Dec-13 11:10 AM View: | Northeast Utilities (ES) | 05-Dec-13 | Market Sale | 2,134 | $41.04 | $87,584.30 | (5%) 47.3K to 45.17K | (110%) |
| 17-Jan-13 6:34 PM View: | Northeast Utilities (ES) | 15-Jan-13 | Grant | 2,545 | -- | -- | 6% 43.0K to 45.55K | |
| 05-Jan-12 3:38 PM View: | Northeast Utilities (ES) | 03-Jan-12 | Grant | 3,000 | -- | -- | 8% 39.44K to 42.44K | |
| 15-Nov-11 11:27 AM View: | Northeast Utilities (ES) | 10-Nov-11 | Disposition (other) | 1,242 | $34.29 | $42,588.20 | (3%) 40.58K to 39.34K | (168%) |
| 15-Nov-11 11:27 AM View: | Northeast Utilities (ES) | 10-Nov-11 | Exercise (in-the money or at-the-money) | 1,242 | -- | -- | 3% 39.34K to 40.58K | |
| 06-Sep-11 4:51 PM View: | Northeast Utilities (ES) | 02-Sep-11 | Market Sale | 1,000 | $34.18 | $34,176.00 | (2%) 41.47K to 40.47K | (169%) |
| 05-Jan-11 3:28 PM View: | Northeast Utilities (ES) | 03-Jan-11 | Grant | 3,000 | -- | -- | 8% 38.25K to 41.25K | |
| 06-Jan-10 2:39 PM View: | Northeast Utilities (ES) | 04-Jan-10 | Grant | 3,000 | -- | -- | 9% 34.8K to 37.8K | |
| 27-Mar-09 1:48 PM View: | Phoenix Companies Inc. (PNX) | 27-Mar-09 | Grant | 12,778 | $1.06 | $13,544.70 | 38% 33.57K to 46.35K | 43% |
| 03-Feb-09 5:44 PM View: | Phoenix Companies Inc. (PNX) | 02-Feb-09 | Option Exercise | 26,574 | -- | -- | 380% 7.0K to 33.57K | |
| 06-Jan-09 2:35 PM View: | Northeast Utilities (ES) | 02-Jan-09 | Grant | 3,000 | -- | -- | 10% 31.36K to 34.37K | |
| 03-Jan-08 5:05 PM View: | Northeast Utilities (ES) | 02-Jan-08 | Grant | 3,000 | -- | -- | 11% 27.98K to 30.98K | |
| 27-Mar-07 4:04 PM View: | Northeast Utilities (ES) | 26-Mar-07 | Option Exercise | 7,500 | $20.58 | $154,325.00 | 27% 27.83K to 35.33K | |
| 27-Mar-07 4:04 PM View: | Northeast Utilities (ES) | 26-Mar-07 | Market Option Sale | 7,500 | $32.17 | $241,262.00 | (21%) 35.33K to 27.83K | (201%) |
| 04-Jan-07 3:27 PM View: | Northeast Utilities (ES) | 03-Jan-07 | Grant | 3,000 | -- | -- | 12% 24.83K to 27.83K | |
| 05-Jan-06 10:00 PM View: | Northeast Utilities (ES) | 03-Jan-06 | Grant | 3,000 | -- | -- | 14% 21.6K to 24.6K | |
| 22-Aug-05 4:05 PM View: | Phoenix Companies Inc. (PNX) | 22-Aug-05 | Market Purchase | 2,000 | $11.75 | $23,500.00 | 40% 5.0K to 7.0K | (69%) |
| 04-Jan-05 5:29 PM View: | Northeast Utilities (ES) | 03-Jan-05 | Grant | 3,000 | -- | -- | 16% 18.21K to 21.21K | |
| 14-Feb-05 10:00 PM View: | Northeast Utilities (ES) | 31-Dec-04 | Grant | 202 | $18.85 | $3,807.70 | < 1% 21.21K to 21.41K | 449% |
| 14-Jan-04 10:00 PM View: | Northeast Utilities (ES) | 13-Jan-04 | Grant | 3,000 | -- | -- | 20% 15.21K to 18.21K | |
| 02-Oct-03 10:00 PM View: | Northeast Utilities (ES) | 01-Oct-03 | Grant | 277 | $18.03 | $4,994.31 | 2% 14.89K to 15.17K | 498% |
| 28-Aug-03 10:00 PM View: | Phoenix Companies Inc. (PNX) | 27-Aug-03 | Market Purchase | 5,000 | $10.61 | $53,050.00 | 100% 0 to 5.0K | (65%) |