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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 22-Jun-16 4:34 PM View:  | Phoenix Companies Inc. (PNX) | 20-Jun-16 | Disposition | 2,750 | -- | -- | (100%) 2.75K to 0 | |
| 10-Dec-12 4:03 PM View: | Duke Energy Corp. (DUK) | 07-Dec-12 | Option Exercise | 1,333 | -- | -- | 6% 22.02K to 23.35K | |
| 30-Aug-12 4:42 PM View: | Duke Energy Corp. (DUK) | 28-Aug-12 | Grant | 320 | $65.37 | $20,890.00 | 1% 21.7K to 22.02K | 16% |
| 08-Aug-12 4:34 PM View: | Duke Energy Corp. (DUK) | 06-Aug-12 | Grant | 1,466 | $68.21 | $99,995.90 | 7% 20.23K to 21.7K | 12% |
| 07-May-12 1:03 PM View: | Duke Energy Corp. (DUK) | 03-May-12 | Grant | 4,673 | $21.40 | $100,000.00 | 8% 56.02K to 60.7K | 260% |
| 07-Mar-12 4:13 PM View: | Phoenix Companies Inc. (PNX) | 06-Mar-12 | Market Purchase | 15,000 | $1.99 | $29,911.50 | 38% 40.0K to 55.0K | (23%) |
| 10-Aug-11 4:12 PM View: | Phoenix Companies Inc. (PNX) | 09-Aug-11 | Market Purchase | 40,000 | $1.76 | $70,228.00 | 100% 0 to 40.0K | (13%) |
| 09-May-11 1:24 PM View: | Duke Energy Corp. (DUK) | 05-May-11 | Grant | 5,342 | $18.72 | $100,000.00 | 11% 50.68K to 56.02K | 333% |
| 14-May-10 1:25 PM View: | Duke Energy Corp. (DUK) | 12-May-10 | Option Exercise | 108 | $16.98 | $1,833.84 | < 1% 50.58K to 50.68K | 404% |
| 10-May-10 12:25 PM View: | Duke Energy Corp. (DUK) | 06-May-10 | Grant | 6,068 | $16.48 | $100,000.00 | 14% 44.51K to 50.58K | 419% |
| 02-Mar-10 3:31 PM View: | Duke Energy Corp. (DUK) | 28-Feb-10 | Option Exercise | 364 | $16.35 | $5,951.40 | < 1% 44.14K to 44.51K | 423% |
| 25-Nov-09 12:44 PM View: | Duke Energy Corp. (DUK) | 24-Nov-09 | Option Exercise | 4,000 | $14.17 | $56,680.00 | 9% 43.8K to 47.8K | |
| 25-Nov-09 12:44 PM View: | Duke Energy Corp. (DUK) | 24-Nov-09 | Market Option Sale | 4,000 | $16.40 | $65,600.00 | (8%) 47.8K to 43.8K | (430%) |
| 14-May-09 2:06 PM View: | Duke Energy Corp. (DUK) | 13-May-09 | Option Exercise | 180 | -- | -- | < 1% 43.62K to 43.8K | |
| 14-May-09 2:06 PM View: | Duke Energy Corp. (DUK) | 12-May-09 | Option Exercise | 108 | -- | -- | < 1% 43.51K to 43.62K | |
| 11-May-09 4:27 PM View: | Duke Energy Corp. (DUK) | 07-May-09 | Grant | 7,047 | $14.19 | $99,996.90 | 19% 36.46K to 43.51K | 549% |
| 03-Mar-09 5:33 PM View: | Duke Energy Corp. (DUK) | 27-Feb-09 | Option Exercise | 364 | $13.47 | $4,903.08 | 1% 36.1K to 36.46K | 575% |
| 26-Feb-09 2:20 PM View: | Duke Energy Corp. (DUK) | 24-Feb-09 | Option Exercise | 300 | $14.31 | $4,293.00 | < 1% 35.8K to 36.1K | 536% |
| 14-May-08 4:18 PM View: | Duke Energy Corp. (DUK) | 13-May-08 | Option Exercise | 180 | -- | -- | < 1% 35.94K to 36.12K | |
| 14-May-08 4:18 PM View: | Duke Energy Corp. (DUK) | 12-May-08 | Option Exercise | 108 | -- | -- | < 1% 35.83K to 35.94K | |
| 12-May-08 6:37 PM View: | Duke Energy Corp. (DUK) | 08-May-08 | Grant | 5,390 | $18.55 | $99,984.50 | 18% 30.44K to 35.83K | 366% |
| 03-Mar-08 6:16 PM View: | Duke Energy Corp. (DUK) | 28-Feb-08 | Option Exercise | 364 | -- | -- | 1% 30.08K to 30.44K | |
| 27-Feb-08 5:54 PM View: | Duke Energy Corp. (DUK) | 24-Feb-08 | Option Exercise | 300 | $18.22 | $5,466.00 | 1% 29.78K to 30.08K | 374% |
| 15-May-07 4:25 PM View: | Duke Energy Corp. (DUK) | 13-May-07 | Option Exercise | 180 | -- | -- | < 1% 29.27K to 29.45K | |
| 15-May-07 4:25 PM View: | Duke Energy Corp. (DUK) | 12-May-07 | Option Exercise | 108 | -- | -- | < 1% 29.17K to 29.27K | |
| 14-May-07 2:15 PM View: | Duke Energy Corp. (DUK) | 10-May-07 | Grant | 4,960 | $20.15 | $99,944.00 | 20% 24.21K to 29.17K | 344% |
| 05-Apr-07 2:48 PM View: | Duke Energy Corp. (DUK) | 03-Apr-07 | Option Exercise | 2,600 | -- | -- | 12% 21.61K to 24.21K | |
| 01-Mar-07 10:00 PM View: | Duke Energy Corp. (DUK) | 28-Feb-07 | Option Exercise | 364 | -- | -- | 2% 21.24K to 21.61K | |
| 27-Feb-07 5:03 PM View: | Duke Energy Corp. (DUK) | 24-Feb-07 | Option Exercise | 300 | -- | -- | 1% 20.94K to 21.24K | |
| 30-May-06 10:00 PM View: | Duke Energy Corp. (DUK) | 13-May-06 | Option Exercise | 180 | -- | -- | < 1% 20.75K to 20.93K | |
| 30-May-06 10:00 PM View: | Duke Energy Corp. (DUK) | 12-May-06 | Option Exercise | 108 | -- | -- | < 1% 20.64K to 20.75K | |
| 05-Apr-06 5:01 PM View: | Duke Power Co LLC (DUK) | 03-Apr-06 | Disposition | 18,356 | -- | -- | (37%) 49.18K to 30.83K | |
| 05-Apr-06 5:01 PM View: | Duke Power Co LLC (DUK) | 03-Apr-06 | Disposition | 30,827 | -- | -- | (100%) 30.83K to 0 | |
| 02-Mar-06 7:18 PM View: | Duke Power Co LLC (DUK) | 28-Feb-06 | Option Exercise | 364 | -- | -- | < 1% 48.55K to 48.91K | |
| 28-Feb-06 4:54 PM View: | Duke Power Co LLC (DUK) | 24-Feb-06 | Option Exercise | 300 | -- | -- | < 1% 48.25K to 48.55K | |
| 17-May-05 6:29 PM View: | Duke Power Co LLC (DUK) | 13-May-05 | Option Exercise | 180 | -- | -- | < 1% 46.99K to 47.17K | |
| 28-Feb-05 6:10 PM View: | Duke Power Co LLC (DUK) | 24-Feb-05 | Option Exercise | 300 | -- | -- | < 1% 46.22K to 46.52K | |
| 24-Jan-05 5:07 PM View: | Duke Power Co LLC (DUK) | 20-Jan-05 | Grant | 185 | -- | -- | < 1% 46.04K to 46.22K | |
| 22-Dec-04 2:59 PM View: | Duke Power Co LLC (DUK) | 21-Dec-04 | Grant | 97 | -- | -- | < 1% 45.93K to 46.03K | |
| 01-Dec-04 5:11 PM View: | Duke Power Co LLC (DUK) | 29-Nov-04 | Gift | 540 | -- | -- | (1%) 45.97K to 45.43K | |
| 22-Nov-04 8:40 AM View: | Duke Power Co LLC (DUK) | 18-Nov-04 | Grant | 219 | -- | -- | < 1% 45.75K to 45.97K | |
| 22-Oct-04 4:22 PM View: | Duke Power Co LLC (DUK) | 21-Oct-04 | Grant | 107 | -- | -- | < 1% 45.69K to 45.8K | |
| 20-Sep-04 10:00 PM View: | Duke Power Co LLC (DUK) | 16-Sep-04 | Grant | 316 | -- | -- | < 1% 44.8K to 45.12K | |
| 23-Aug-04 4:44 PM View: | Duke Power Co LLC (DUK) | 19-Aug-04 | Grant | 182 | -- | -- | < 1% 44.63K to 44.81K | |
| 26-Jul-04 1:06 PM View: | Duke Power Co LLC (DUK) | 22-Jul-04 | Grant | 303 | -- | -- | < 1% 44.36K to 44.66K | |
| 23-Jun-04 1:43 PM View: | Duke Power Co LLC (DUK) | 22-Jun-04 | Grant | 468 | -- | -- | 1% 43.91K to 44.38K | |
| 24-May-04 11:29 AM View: | Duke Power Co LLC (DUK) | 20-May-04 | Grant | 112 | -- | -- | < 1% 43.17K to 43.28K | |
| 23-Apr-04 10:00 PM View: | Duke Power Co LLC (DUK) | 22-Apr-04 | Grant | 80 | -- | -- | < 1% 43.02K to 43.1K | |
| 22-Mar-04 10:00 PM View: | Duke Power Co LLC (DUK) | 18-Mar-04 | Grant | 145 | -- | -- | < 1% 42.85K to 43.0K | |
| 23-Feb-04 10:00 PM View: | Duke Power Co LLC (DUK) | 19-Feb-04 | Grant | 76 | -- | -- | < 1% 42.2K to 42.28K |