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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 02-May-12 5:20 PM View:  | Penson Worldwide Inc (PNSN) | 01-May-12 | Option Exercise | 480 | -- | -- | < 1% 883.85K to 884.33K | |
| 02-Feb-12 4:25 PM View: | Penson Worldwide Inc (PNSN) | 31-Jan-12 | Option Exercise | 480 | -- | -- | < 1% 883.37K to 883.85K | |
| 03-Jan-12 7:00 PM View: | Penson Worldwide Inc (PNSN) | 01-Jan-12 | Payment of Exercise | 3,918 | $1.16 | $4,544.88 | (< 1%) 872.28K to 868.37K | 96% |
| 02-Nov-11 6:53 PM View: | Penson Worldwide Inc (PNSN) | 31-Oct-11 | Option Exercise | 480 | -- | -- | < 1% 871.8K to 872.28K | |
| 02-Aug-11 6:23 PM View: | Penson Worldwide Inc (PNSN) | 31-Jul-11 | Option Exercise | 480 | -- | -- | < 1% 871.33K to 871.8K | |
| 13-May-11 3:08 PM View: | Penson Worldwide Inc (PNSN) | 13-May-11 | Grant | 15,000 | $3.44 | $51,600.00 | 2% 856.33K to 871.33K | (99%) |
| 13-May-11 4:02 PM View: | Penson Worldwide Inc (PNSN) | 13-May-11 | Market Purchase | 15,000 | $3.33 | $49,950.00 | 2% 871.33K to 886.33K | (98%) |
| 03-May-11 4:57 PM View: | Penson Worldwide Inc (PNSN) | 01-May-11 | Option Exercise | 479 | -- | -- | < 1% 855.85K to 856.33K | |
| 02-Feb-11 5:34 PM View: | Penson Worldwide Inc (PNSN) | 31-Jan-11 | Option Exercise | 480 | -- | -- | < 1% 817.02K to 817.5K | |
| 22-Feb-11 9:29 PM View: | Penson Worldwide Inc (PNSN) | 14-Jan-11 | Grant | 38,343 | -- | -- | 5% 817.5K to 855.85K | |
| 03-Jan-11 7:57 PM View: | Penson Worldwide Inc (PNSN) | 31-Dec-10 | Payment of Exercise | 2,395 | $4.89 | $11,711.50 | (< 1%) 819.42K to 817.02K | 99% |
| 02-Nov-10 5:34 PM View: | Penson Worldwide Inc (PNSN) | 31-Oct-10 | Option Exercise | 480 | -- | -- | < 1% 818.94K to 819.42K | |
| 04-Oct-10 7:00 PM View: | Penson Worldwide Inc (PNSN) | 30-Sep-10 | Payment of Exercise | 2,067 | $4.97 | $10,273.00 | (< 1%) 821.0K to 818.94K | 99% |
| 03-Aug-10 4:56 PM View: | Penson Worldwide Inc (PNSN) | 31-Jul-10 | Option Exercise | 480 | -- | -- | < 1% 820.52K to 821.0K | |
| 02-Jul-10 6:08 PM View: | Penson Worldwide Inc (PNSN) | 30-Jun-10 | Payment of Exercise | 2,067 | $5.64 | $11,657.90 | (< 1%) 822.59K to 820.52K | 99% |
| 04-May-10 5:31 PM View: | Penson Worldwide Inc (PNSN) | 30-Apr-10 | Option Exercise | 480 | -- | -- | < 1% 822.11K to 822.59K | |
| 01-Apr-10 6:33 PM View: | Penson Worldwide Inc (PNSN) | 31-Mar-10 | Payment of Exercise | 2,067 | $10.07 | $20,814.70 | (< 1%) 824.18K to 822.11K | 99% |
| 01-Apr-10 6:33 PM View: | Penson Worldwide Inc (PNSN) | 23-Feb-10 | Gift | 25,000 | -- | -- | (3%) 849.18K to 824.18K | |
| 02-Feb-10 6:39 PM View: | Penson Worldwide Inc (PNSN) | 30-Jan-10 | Option Exercise | 479 | -- | -- | < 1% 858.7K to 859.18K | |
| 03-Nov-09 5:19 PM View: | Penson Worldwide Inc (PNSN) | 30-Oct-09 | Option Exercise | 480 | -- | -- | < 1% 858.22K to 858.7K | |
| 03-Aug-09 5:32 PM View: | Penson Worldwide Inc (PNSN) | 30-Jul-09 | Option Exercise | 480 | -- | -- | < 1% 857.74K to 858.22K | |
| 04-May-09 4:13 PM View: | Penson Worldwide Inc (PNSN) | 30-Apr-09 | Option Exercise | 480 | -- | -- | < 1% 857.26K to 857.74K | |
| 02-Feb-09 7:17 PM View: | Penson Worldwide Inc (PNSN) | 30-Jan-09 | Option Exercise | 480 | -- | -- | < 1% 856.78K to 857.26K | |
| 05-Jan-09 7:37 PM View: | Penson Worldwide Inc (PNSN) | 31-Dec-08 | Grant | 31,250 | -- | -- | 4% 825.53K to 856.78K | |
| 03-Nov-08 5:49 PM View: | Penson Worldwide Inc (PNSN) | 30-Oct-08 | Option Exercise | 480 | -- | -- | < 1% 825.05K to 825.53K | |
| 05-Jan-09 7:37 PM View: | Penson Worldwide Inc (PNSN) | 28-Jul-08 | Gift | 25,000 | -- | -- | (3%) 850.53K to 825.53K | |
| 13-Feb-08 8:32 PM View: | Penson Worldwide Inc (PNSN) | 12-Feb-08 | Market Purchase | 1,450 | $11.00 | $15,950.00 | < 1% 845.05K to 846.5K | (100%) |
| 13-Feb-08 8:32 PM View: | Penson Worldwide Inc (PNSN) | 12-Feb-08 | Market Purchase | 3,550 | $11.00 | $39,050.00 | < 1% 846.5K to 850.05K | (100%) |
| 11-Feb-08 10:00 PM View: | Penson Worldwide Inc (PNSN) | 15-Aug-07 | Gift | 30,000 | -- | -- | (3%) 875.05K to 845.05K | |
| 18-Jun-07 7:24 PM View: | Penson Worldwide Inc (PNSN) | 15-Jun-07 | Market Sale (Planned) | 2,250 | $27.19 | $61,186.80 | (< 1%) 877.3K to 875.05K | 100% |
| 18-Jun-07 7:24 PM View: | Penson Worldwide Inc (PNSN) | 04-Jun-07 | Gift | 5,000 | -- | -- | (< 1%) 882.3K to 877.3K | |
| 17-May-07 5:28 PM View: | Penson Worldwide Inc (PNSN) | 15-May-07 | Market Sale (Planned) | 2,250 | $26.71 | $60,093.90 | (< 1%) 884.55K to 882.3K | 100% |
| 17-Apr-07 6:22 PM View: | Penson Worldwide Inc (PNSN) | 16-Apr-07 | Market Sale (Planned) | 1,000 | $31.56 | $31,557.00 | (< 1%) 1.72M to 1.72M | 100% |
| 17-Apr-07 6:22 PM View: | Penson Worldwide Inc (PNSN) | 29-Mar-07 | Gift | 5,000 | -- | -- | (< 1%) 1.73M to 1.72M | |
| 16-Mar-07 5:36 PM View: | Penson Worldwide Inc (PNSN) | 15-Mar-07 | Market Sale (Planned) | 1,000 | $26.83 | $26,831.40 | (< 1%) 1.74M to 1.74M | 100% |
| 16-Feb-07 5:58 PM View: | Penson Worldwide Inc (PNSN) | 15-Feb-07 | Market Sale (Planned) | 1,000 | $28.68 | $28,679.00 | (< 1%) 1.74M to 1.74M | 100% |
| 18-Jan-07 6:17 PM View: | Penson Worldwide Inc (PNSN) | 16-Jan-07 | Market Sale (Planned) | 1,000 | $28.87 | $28,869.90 | (< 1%) 1.74M to 1.74M | 100% |
| 07-Feb-07 10:00 PM View: | Penson Worldwide Inc (PNSN) | 20-Dec-06 | Gift | 40,000 | -- | -- | (4%) 933.55K to 893.55K | |
| 26-May-06 6:37 PM View: | Penson Worldwide Inc (PNSN) | 24-May-06 | Sale | 15,046 | $17.00 | $255,782.00 | (2%) 949.37K to 934.33K | |
| 26-May-06 6:37 PM View: | Penson Worldwide Inc (PNSN) | 24-May-06 | Sale | 777 | $17.00 | $13,209.00 | (< 1%) 934.33K to 933.55K | |
| 18-May-06 9:14 PM View: | Penson Worldwide Inc (PNSN) | 17-May-06 | Market Sale | 100,304 | $17.00 | $1,705,170.00 | (10%) 1.05M to 954.55K | 100% |
| 18-May-06 9:14 PM View: | Penson Worldwide Inc (PNSN) | 17-May-06 | Market Sale | 5,182 | $17.00 | $88,094.00 | (< 1%) 954.55K to 949.37K | 100% |