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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 28-Nov-16 10:34 AM View:  | Cifc LLC (CIFC) | 21-Nov-16 | Disposition | 370,520 | $11.36 | $4,209,110.00 | (47%) 793.2K to 422.68K | |
| 28-Nov-16 10:34 AM View: | Cifc LLC (CIFC) | 21-Nov-16 | Disposition | 82,676 | $11.36 | $939,199.00 | (20%) 422.68K to 340.0K | |
| 28-Nov-16 10:34 AM View: | Cifc LLC (CIFC) | 21-Nov-16 | Disposition (other) | 340,000 | -- | -- | (100%) 340.0K to 0 | |
| 04-Oct-16 5:25 PM View: | Cifc LLC (CIFC) | 30-Sep-16 | Payment of Exercise | 3,094 | $11.17 | $34,560.00 | (< 1%) 796.29K to 793.2K | (1%) |
| 05-Jul-16 11:06 AM View: | Cifc LLC (CIFC) | 30-Jun-16 | Option Exercise | 6,000 | -- | -- | < 1% 790.29K to 796.29K | |
| 04-Apr-16 5:07 PM View: | Cifc LLC (CIFC) | 31-Mar-16 | Payment of Exercise | 14,497 | $7.10 | $102,929.00 | (3%) 552.79K to 538.29K | (59%) |
| 04-Apr-16 5:07 PM View: | Cifc LLC (CIFC) | 31-Mar-16 | Option Exercise | 62,250 | -- | -- | 13% 490.54K to 552.79K | |
| 15-Mar-16 4:48 PM View: | Cifc LLC (CIFC) | 11-Mar-16 | Option Exercise | 50,000 | $4.83 | $241,500.00 | 11% 440.54K to 490.54K | |
| 05-Jan-16 7:16 PM View: | Cifc LLC (CIFC) | 01-Jan-16 | Option Exercise | 50,000 | -- | -- | 13% 390.54K to 440.54K | |
| 05-Jan-16 7:15 PM View: | Deerfield Capital Corp. (CIFC) | 31-Dec-15 | Option Exercise | 15,000 | -- | -- | 4% 375.54K to 390.54K | |
| 04-Dec-15 5:11 PM View: | Deerfield Capital Corp. (CIFC) | 03-Dec-15 | Market Purchase | 9,800 | $6.85 | $67,130.00 | 3% 365.74K to 375.54K | 81% |
| 04-Dec-15 5:11 PM View: | Deerfield Capital Corp. (CIFC) | 02-Dec-15 | Market Purchase | 200 | $6.75 | $1,350.00 | < 1% 365.54K to 365.74K | 84% |
| 24-Nov-15 6:06 PM View: | Deerfield Capital Corp. (CIFC) | 23-Nov-15 | Market Purchase | 10,000 | $6.75 | $67,500.00 | 3% 355.54K to 365.54K | 84% |
| 19-Nov-15 4:35 PM View: | Deerfield Capital Corp. (CIFC) | 17-Nov-15 | Market Purchase | 10,000 | $6.80 | $68,000.00 | 3% 343.54K to 353.54K | 83% |
| 19-Nov-15 4:35 PM View: | Deerfield Capital Corp. (CIFC) | 17-Nov-15 | Market Purchase | 2,000 | $6.81 | $13,620.00 | < 1% 353.54K to 355.54K | 83% |
| 30-Sep-15 5:55 PM View: | Deerfield Capital Corp. (CIFC) | 30-Sep-15 | Option Exercise | 3,000 | -- | -- | < 1% 340.54K to 343.54K | |
| 02-Jul-15 1:01 PM View: | Deerfield Capital Corp. (CIFC) | 30-Jun-15 | Option Exercise | 3,000 | -- | -- | < 1% 337.54K to 340.54K | |
| 03-Jun-15 4:53 PM View: | Deerfield Capital Corp. (CIFC) | 01-Jun-15 | Market Purchase | 5,000 | $7.80 | $39,000.00 | 2% 332.54K to 337.54K | 64% |
| 27-May-15 4:17 PM View: | Deerfield Capital Corp. (CIFC) | 26-May-15 | Market Purchase | 2,532 | $7.85 | $19,876.20 | < 1% 282.33K to 284.86K | 63% |
| 27-May-15 4:17 PM View: | Deerfield Capital Corp. (CIFC) | 22-May-15 | Market Purchase | 463 | $7.85 | $3,634.55 | < 1% 281.87K to 282.33K | 63% |
| 21-May-15 4:07 PM View: | Deerfield Capital Corp. (CIFC) | 20-May-15 | Market Purchase | 5 | $7.85 | $39.25 | < 1% 281.86K to 281.87K | 63% |
| 21-May-15 4:07 PM View: | Deerfield Capital Corp. (CIFC) | 19-May-15 | Market Purchase | 11,413 | $8.02 | $91,532.30 | 4% 270.45K to 281.86K | 62% |
| 18-May-15 4:18 PM View: | Deerfield Capital Corp. (CIFC) | 14-May-15 | Market Purchase | 1,100 | $7.89 | $8,675.00 | < 1% 269.35K to 270.45K | 64% |
| 13-May-15 4:42 PM View: | Deerfield Capital Corp. (CIFC) | 12-May-15 | Market Purchase | 3,728 | $7.55 | $28,146.40 | 1% 265.62K to 269.35K | 72% |
| 13-May-15 4:42 PM View: | Deerfield Capital Corp. (CIFC) | 11-May-15 | Market Purchase | 9,649 | $7.26 | $70,065.90 | 4% 255.97K to 265.62K | 79% |
| 01-Apr-15 5:10 PM View: | Deerfield Capital Corp. (CIFC) | 31-Mar-15 | Option Exercise | 3,000 | -- | -- | < 1% 300.65K to 303.65K | |
| 23-Feb-15 4:59 PM View: | Deerfield Capital Corp. (CIFC) | 19-Feb-15 | Option Exercise | 25,000 | $4.83 | $120,750.00 | 9% 275.64K to 300.64K | |
| 02-Jan-15 7:36 PM View: | Deerfield Capital Corp. (CIFC) | 01-Jan-15 | Option Exercise | 50,000 | -- | -- | 22% 225.65K to 275.64K | |
| 02-Jan-15 7:36 PM View: | Deerfield Capital Corp. (CIFC) | 31-Dec-14 | Option Exercise | 12,000 | -- | -- | 6% 213.65K to 225.65K | |
| 19-Dec-14 5:24 PM View: | Deerfield Capital Corp. (CIFC) | 17-Dec-14 | Exercise (in-the money or at-the-money) | 20,000 | $4.83 | $96,600.00 | 10% 193.65K to 213.65K | |
| 08-Apr-14 7:05 PM View: | Deerfield Capital Corp. (CIFC) | 07-Apr-14 | Market Purchase | 2,000 | $7.60 | $15,200.00 | 1% 191.65K to 193.65K | 79% |
| 07-Apr-14 7:05 PM View: | Deerfield Capital Corp. (CIFC) | 04-Apr-14 | Market Purchase | 5,000 | $7.80 | $38,996.40 | 3% 186.65K to 191.65K | 74% |
| 04-Apr-14 11:55 AM View: | Deerfield Capital Corp. (CIFC) | 03-Apr-14 | Market Purchase | 65 | $7.88 | $512.20 | < 1% 186.58K to 186.65K | 73% |
| 04-Apr-14 11:55 AM View: | Deerfield Capital Corp. (CIFC) | 02-Apr-14 | Market Purchase | 700 | $7.85 | $5,495.00 | < 1% 185.88K to 186.58K | 73% |
| 02-Apr-14 10:17 AM View: | Deerfield Capital Corp. (CIFC) | 31-Mar-14 | Market Purchase | 2,100 | $8.00 | $16,798.10 | 2% 136.11K to 138.21K | 72% |
| 28-Feb-14 7:38 PM View: | Deerfield Capital Corp. (CIFC) | 26-Feb-14 | Exercise (in-the money or at-the-money) | 50,000 | $4.83 | $241,500.00 | 37% 133.78K to 183.78K | |
| 20-Feb-14 8:03 PM View: | Deerfield Capital Corp. (CIFC) | 18-Feb-14 | Exercise (in-the money or at-the-money) | 50,000 | $4.83 | $241,500.00 | 60% 83.78K to 133.78K | |
| 11-Apr-13 3:44 PM View: | Deerfield Capital Corp. (CIFC) | 09-Apr-13 | Grant | 4,963 | $8.26 | $40,994.40 | 12% 42.71K to 47.67K | 71% |
| 01-Apr-15 5:10 PM View: | Deerfield Capital Corp. (CIFC) | 08-Apr-13 | Market Purchase | 2 | $8.04 | $16.08 | < 1% 300.64K to 300.65K | 76% |
| 08-Apr-13 4:52 PM View: | Deerfield Capital Corp. (CIFC) | 05-Apr-13 | Grant | 1,627 | $8.07 | $13,129.90 | 4% 41.08K to 42.71K | 75% |
| 04-Apr-13 3:36 PM View: | Deerfield Capital Corp. (CIFC) | 03-Apr-13 | Grant | 984 | $8.07 | $7,940.88 | 2% 40.1K to 41.08K | 75% |
| 29-Nov-12 5:15 PM View: | Deerfield Capital Corp. (CIFC) | 28-Nov-12 | Grant | 9,500 | $6.75 | $64,100.00 | 31% 30.6K to 40.1K | 109% |
| 29-Nov-12 5:15 PM View: | Deerfield Capital Corp. (CIFC) | 27-Nov-12 | Grant | 600 | $6.77 | $4,062.00 | 2% 30.0K to 30.6K | 109% |
| 27-Aug-12 4:43 PM View: | Deerfield Capital Corp. (CIFC) | 24-Aug-12 | Grant | 1,055 | $7.40 | $7,807.00 | 3% 35.05K to 36.11K | 91% |
| 22-Aug-12 5:56 PM View: | Deerfield Capital Corp. (CIFC) | 22-Aug-12 | Grant | 2,085 | $7.49 | $15,615.20 | 6% 32.97K to 35.05K | 89% |
| 22-Aug-12 5:56 PM View: | Deerfield Capital Corp. (CIFC) | 21-Aug-12 | Grant | 22 | $7.50 | $165.00 | < 1% 32.94K to 32.97K | 88% |
| 22-Aug-12 4:40 PM View: | Deerfield Capital Corp. (CIFC) | 20-Aug-12 | Grant | 2,893 | $7.50 | $21,697.50 | 10% 30.05K to 32.94K | 88% |
| 07-May-12 11:27 AM View: | Deerfield Capital Corp. (CIFC) | 03-May-12 | Grant | 2,993 | $5.93 | $17,743.70 | 11% 27.06K to 30.05K | 138% |
| 03-May-12 3:38 PM View: | Deerfield Capital Corp. (CIFC) | 02-May-12 | Grant | 3,570 | $5.76 | $20,570.70 | 15% 23.49K to 27.06K | 145% |
| 30-Apr-12 4:08 PM View: | Deerfield Capital Corp. (CIFC) | 26-Apr-12 | Grant | 2,000 | $5.94 | $11,884.00 | 9% 21.49K to 23.49K | 138% |