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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 04-Aug-20 5:37 PM View:  | GAIN Capital Holdings, Inc. (GCAP) | 31-Jul-20 | Disposition | 237,219 | $6.00 | $1,423,310.00 | (100%) 237.22K to 0 | (< 1%) |
| 21-Jul-20 4:17 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 17-Jul-20 | Option Exercise | 40,000 | $3.83 | $153,200.00 | 20% 197.22K to 237.22K | |
| 18-Mar-19 5:47 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 14-Mar-19 | Grant | 30,581 | -- | -- | 18% 166.64K to 197.22K | |
| 23-Nov-18 4:14 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 21-Nov-18 | Market Purchase | 10,000 | $7.32 | $73,242.00 | 6% 156.64K to 166.64K | (16%) |
| 29-May-18 5:45 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 24-May-18 | Grant | 25,000 | -- | -- | 19% 131.64K to 156.64K | |
| 05-Oct-17 7:06 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 03-Oct-17 | Grant | 5,178 | -- | -- | 4% 126.46K to 131.64K | |
| 12-Jun-17 3:48 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 09-Jun-17 | Option Exercise | 12,024 | $3.83 | $46,051.90 | 11% 114.44K to 126.46K | |
| 17-Mar-17 4:24 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 15-Mar-17 | Grant | 12,091 | -- | -- | 12% 102.34K to 114.44K | |
| 19-Dec-16 4:36 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 16-Dec-16 | Market Purchase | 10,000 | $6.91 | $69,082.00 | 11% 92.34K to 102.34K | (16%) |
| 10-Nov-16 7:06 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 09-Nov-16 | Market Purchase | 10,000 | $5.41 | $54,097.00 | 13% 77.62K to 87.62K | 6% |
| 09-May-16 7:50 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 05-May-16 | Grant | 12,573 | -- | -- | 19% 65.05K to 77.62K | |
| 01-Jul-15 1:33 PM View: | Hudson Valley Holding Corp. (HVB) | 30-Jun-15 | Disposition | 15,000 | -- | -- | (100%) 15.0K to 0 | |
| 28-May-15 6:27 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 26-May-15 | Grant | 8,937 | -- | -- | 16% 54.85K to 63.79K | |
| 09-Feb-15 3:06 PM View: | Hudson Valley Holding Corp. (HVB) | 06-Feb-15 | Grant | 1,000 | -- | -- | 7% 14.0K to 15.0K | |
| 08-Jan-15 8:13 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 06-Jan-15 | Option Exercise | 10,910 | -- | -- | 18% 59.22K to 70.13K | |
| 28-May-15 6:27 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 05-Mar-14 | Grant | 7,537 | -- | -- | 16% 47.31K to 54.85K | |
| 06-Feb-14 6:15 PM View: | Hudson Valley Holding Corp. (HVB) | 06-Feb-14 | Grant | 1,000 | -- | -- | 8% 13.0K to 14.0K | |
| 16-Dec-13 4:51 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 12-Dec-13 | Market Purchase | 5,000 | $7.89 | $39,467.50 | 9% 54.22K to 59.22K | (32%) |
| 12-Dec-13 12:28 PM View: | Hudson Valley Holding Corp. (HVB) | 11-Dec-13 | Market Purchase | 1,000 | $18.99 | $18,992.00 | 8% 12.0K to 13.0K | 43% |
| 29-Aug-13 12:19 PM View: | Hudson Valley Holding Corp. (HVB) | 28-Aug-13 | Market Purchase | 1,000 | $18.17 | $18,172.90 | 9% 11.0K to 12.0K | 50% |
| 01-Aug-13 1:19 PM View: | Hudson Valley Holding Corp. (HVB) | 30-Jul-13 | Market Purchase | 1,000 | $20.87 | $20,872.30 | 10% 10.0K to 11.0K | 31% |
| 14-May-13 2:39 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 10-May-13 | Market Purchase | 13,671 | $4.98 | $68,137.60 | 34% 40.55K to 54.22K | 5% |
| 10-May-13 2:16 PM View: | Hudson Valley Holding Corp. (HVB) | 09-May-13 | Market Purchase | 2,323 | $16.94 | $39,354.60 | 30% 7.62K to 9.94K | 62% |
| 10-May-13 2:25 PM View: | Hudson Valley Holding Corp. (HVB) | 09-May-13 | Market Purchase | 56 | $17.05 | $954.80 | < 1% 9.94K to 10.0K | 61% |
| 10-May-13 2:16 PM View: | Hudson Valley Holding Corp. (HVB) | 08-May-13 | Market Purchase | 2,023 | $17.09 | $34,565.00 | 36% 5.6K to 7.62K | 60% |
| 06-May-13 3:39 PM View: | Hudson Valley Holding Corp. (HVB) | 03-May-13 | Market Purchase | 2,498 | $15.90 | $39,717.90 | 81% 3.1K to 5.6K | 72% |
| 02-May-13 5:02 PM View: | Hudson Valley Holding Corp. (HVB) | 01-May-13 | Market Purchase | 3,100 | $14.99 | $46,483.50 | 100% 0 to 3.1K | 83% |
| 26-Mar-13 9:29 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 22-Mar-13 | Grant | 17,046 | -- | -- | 73% 23.5K to 40.55K | |
| 05-Mar-12 9:30 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 01-Mar-12 | Grant | 14,151 | -- | -- | 151% 9.35K to 23.5K | |
| 25-Mar-11 6:17 PM View: | GAIN Capital Holdings, Inc. (GCAP) | 23-Mar-11 | Grant | 9,352 | -- | -- | 100% 0 to 9.35K | |
| 10-Dec-07 6:05 PM View: | Jefferies Group Inc. (JEF) | 06-Dec-07 | Gift | 7,000 | -- | -- | (3%) 201.43K to 194.43K | |
| 29-Nov-07 4:50 PM View: | Jefferies Group Inc. (JEF) | 28-Nov-07 | Market Sale | 40,000 | $25.31 | $1,012,200.00 | (17%) 231.68K to 191.68K | 34% |
| 07-Nov-07 6:02 PM View: | Jefferies Group Inc. (JEF) | 06-Nov-07 | Disposition | 21,712 | $0.00 | $10.93 | (8%) 260.8K to 239.09K | |
| 07-Nov-07 6:02 PM View: | Jefferies Group Inc. (JEF) | 06-Nov-07 | Payment of Exercise | 7,403 | $23.95 | $177,302.00 | (3%) 239.09K to 231.68K | 30% |
| 02-Nov-07 2:03 PM View: | Jefferies Group Inc. (JEF) | 01-Nov-07 | Payment of Exercise | 9,749 | $25.36 | $247,235.00 | (4%) 260.75K to 251.0K | 34% |
| 02-Oct-07 12:44 PM View: | Jefferies Group Inc. (JEF) | 30-Sep-07 | Grant | 1,113 | $26.69 | $29,703.60 | < 1% 259.64K to 260.75K | (37%) |
| 03-Jul-07 2:56 PM View: | Jefferies Group Inc. (JEF) | 30-Jun-07 | Grant | 1,143 | $25.86 | $29,560.80 | < 1% 258.5K to 259.64K | (35%) |
| 08-Jun-07 12:21 PM View: | Jefferies Group Inc. (JEF) | 07-Jun-07 | Market Sale | 250,000 | $28.00 | $7,000,000.00 | (49%) 509.42K to 259.42K | 40% |
| 02-May-07 4:35 PM View: | Jefferies Group Inc. (JEF) | 01-May-07 | Payment of Exercise | 8,238 | $31.51 | $259,579.00 | (2%) 517.66K to 509.42K | 46% |
| 03-Apr-07 4:29 PM View: | Jefferies Group Inc. (JEF) | 31-Mar-07 | Grant | 2,066 | $28.39 | $58,662.20 | < 1% 515.59K to 517.66K | (40%) |
| 02-Mar-07 4:59 PM View: | Jefferies Group Inc. (JEF) | 01-Mar-07 | Payment of Exercise | 90,929 | $26.71 | $2,428,710.00 | (13%) 697.45K to 606.52K | 37% |
| 04-Jan-07 2:53 PM View: | Jefferies Group Inc. (JEF) | 31-Dec-06 | Grant | 1,588 | $26.22 | $41,643.90 | < 1% 604.79K to 606.38K | (35%) |
| 06-Dec-06 7:25 PM View: | Jefferies Group Inc. (JEF) | 05-Dec-06 | Payment of Exercise | 92,126 | $29.77 | $2,743,050.00 | (13%) 696.92K to 604.79K | 43% |
| 06-Dec-06 7:25 PM View: | Jefferies Group Inc. (JEF) | 05-Dec-06 | Option Exercise | 234,828 | $10.87 | $2,553,720.00 | 51% 462.09K to 696.92K | |
| 03-Oct-06 4:24 PM View: | Jefferies Group Inc. (JEF) | 29-Sep-06 | Grant | 1,497 | $27.69 | $41,456.70 | < 1% 460.59K to 462.09K | (38%) |
| 05-Jul-06 12:32 PM View: | Jefferies Group Inc. (JEF) | 30-Jun-06 | Grant | 1,445 | $28.57 | $41,276.10 | < 1% 459.15K to 460.59K | (40%) |
| 04-Apr-06 1:43 PM View: | Jefferies Group Inc. (JEF) | 31-Mar-06 | Grant | 436 | $56.66 | $24,700.30 | < 1% 229.1K to 229.54K | (39%) |
| 04-Jan-06 6:25 PM View: | Jefferies Group Inc. (JEF) | 31-Dec-05 | Grant | 518 | $43.35 | $22,462.30 | < 1% 227.97K to 228.49K | (20%) |
| 30-Dec-05 3:47 PM View: | Jefferies Group Inc. (JEF) | 29-Dec-05 | Grant | 14,402 | $45.13 | $649,962.00 | 7% 213.56K to 227.97K | (24%) |
| 22-Nov-05 12:00 PM View: | Jefferies Group Inc. (JEF) | 21-Nov-05 | Acquisition (other) | 388 | -- | -- | < 1% 213.18K to 213.56K |