Capital L P Carlson - Insider Trading Tracker

아크록, Inc.

US ˙ NYSE ˙ US03957W1062

소개

이 페이지에서는 Capital L P Carlson의 공개된 내부자의 매매 거래 내역을 종합적으로 분석합니다. 내부자들은 기업의 임원(내부 경영진), 이사 또는 주요 투자자입니다. 일반적으로 내부자가 중요한 비공개 정보를 기반으로 자신이 속한 기업을 거래하는 것은 불법으로 간주됩니다. 이것은 내부자가 자신의 기업 내에서 행하는 모든 거래가 불법이라는 것을 뜻은 아닙니다. 그러나 그들은 자신들의 모든 거래를 양식 4를 통해 SEC에 보고해야만 합니다. 이러한 제한에도 불구하고, 학계 연구에 따르면 내부자는, 일반적으로, 자신의 회사 주식에 대한 실적이 시장의 수익률을 능가하는 경향성을 보였습니다.

평균 거래 수익성

평균 거래 수익성은 내부자가 지난 3년 동안 매입한 모든 "공개 시장"(Open market)에서의 매입의 평균 수익률입니다. 이를 계산하기 위해 10b5-1 거래 계획의 일부로 표시된 모든 거래를 제외하고 내부자가 계획되지 않은 모든 오픈 마켓에서의 매입을 조사합니다. 그런 다음 3개월, 6개월, 12개월 동안 해당 거래의 평균 성과를 계산하여 각 거래에 대한 최종 성과 지표를 생성합니다. 마지막으로 내부자에 대한 성과 지표를 계산하기 위해 모든 성과 지표의 평균을 내립니다. 이 목록에는 지난 2년 동안 최소 3번 이상 거래한 내부자만 포함됩니다.

내부자의 매매 거래 수익성이 "해당 없음"인 경우, 내부자는 지난 3년 동안 공개 시장에서 매수한 적이 없거나, 거래가 너무 최근에 이루어져서 신뢰할 수 있는 성과 지표를 산출할 수 없는 경우에 해당합니다.

업데이트 주기: 일별

최고 수익율의 내부자 목록을 확인하세요.

가장 높은 순위의 내부자를 확인하세요

내부자 포지션이 보고된 기업

SEC 서류에 따르면 Capital L P Carlson 기업이 다음 기업에 대한 보유 또는 거래를 보고했습니다:

증권	소유권	최근 보고된 보유 주식
US:RWAY / Runway Growth Finance Corp.	10% Owner	4,445,105
US:SWKH / SWK Holdings Corporation	10% Owner	0
US:GLT / Glatfelter Corporation	10% Owner	4,335,000
US:TFFP / TFF Pharmaceuticals, Inc.	10% Owner	5,280,000
US:REGI / Renewable Energy Group Inc	10% Owner	3,835,000
US:AROC / Archrock, Inc.	10% Owner	6,688,905
US:UTEK / Ultratech, Inc.	10% Owner	2,643,986
US:TPH / Tri Pointe Homes, Inc.	10% Owner	4,235,030
US:EPL /	Director	2,515,673
US:SRZ / Sunrise Senior Living Inc	10% Owner	5,749,358

차트 해석 방법

아래 차트는 Capital L P Carlson에 의한 각 "공개 시장"(Open market)에서 계획되지 않은 거래 이후 증권의 주가 실적을 보여줍니다. 계획되지 않은 거래는 10b5-1 거래 계획의 일환으로 이루어지지 않은 거래입니다. 주가 실적은 주가의 누적 백분율 변화로 표시됩니다. 예를 들어, 2019년 1월 1일 내부자의 매매 거래가 이루어졌을 경우, 차트는 현재까지 증권의 일별 백분율 변화를 보여줍니다. 이 기간 동안 주가가 10달러에서 15달러로 간다면, 주가의 누적 백분율 변화는 50%가 됩니다. 10달러에서 20달러로의 가격 변화는 100%가 되며, 10달러에서 5달러로의 가격 변화는 -50%가 됩니다.

궁극적으로 내부자의 매매 거래가 내부자의 정보를 이용하여 이익을 얻기 위해 거래 타이밍을 맞추고 있는지 확인하기 위해 내부자의 매매 거래가 주가의 초과 수익률(양 또는 음)과 얼마나 밀접한 상관 관계가 있는지 확인하고자 합니다. 내부자가 이러한 작업을 수행하고 있는 상황을 고려해 보겠습니다. 이러한 상황에서 우리는 (a) 매입 후 양의 수익률 또는 (b) 매각 후 음의 수익률을 기대할 수 있습니다. (a)의 경우, 매입 차트는 상향으로 기울어진 일련의 곡선을 보여주며, 각 매입 거래 후 양의 수익률을 나타냅니다. (b)의 경우, SALE 차트는 하향으로 기울어진 일련의 곡선을 보여주며, 각 판매 거래 후 음의 수익률을 나타냅니다.

그러나 이것만으로는 결론을 도출하기에 충분하지 않습니다. 예를 들어, 해당 기업의 주가가 수년에 걸쳐 비주기적 상승 추세에 있다면, Fintel은 매입 후 도표가 모두 상향 곡선으로 예상할 수 있습니다. 마찬가지로, 수년에 걸쳐 비주기적 하락은 거래 후에 하향 곡선으로 초래할 가능성이 높습니다. 이 도표들 중 어느 것도 내부자의 매매 거래 활동을 시사하지는 않습니다.

가장 강력한 지표는 주가가 극단적으로 순환하는 상황일 것이고, PURCHASE 차트에는 긍정적인 시그널이, SALE 차트에는 부정적인 플롯이 존재했습니다. 이는 자신들의 금전적 이익을 위한 거래 타이밍을 재던 내부자에 의한 상황일 가능성이 높습니다.

내부자 매입 AROC / Archrock, Inc.: 단기 이익 분석

이 섹션에서는 AROC / Archrock, Inc.에 대한 "공개 시장"(Open market)에서 계획되지 않은 내부자의 매입이 발생한 모든 상품의 수익성을 분석합니다. 이 분석은 내부자가 지속적으로 비정상적인 수익을 창출하는지 이해하는 데 도움이 되며, 이를 따를 가치가 있습니다. 이 분석은 각 거래 후 1년 동안 수행되며, 결과는 이론 값입니다.

아래 표는 사전 거래 계획(Automated trading plan)에 포함되지 않은 가장 최근의 공개 시장 매입을 보여줍니다.

거래일	티커	내부자	보고된 지분	보고된 가격	조정된 지분	조정된 가격	가격 기준	최고까지 일수	최고 가격	최고 이익 ($)	최고 수익률 (%)
2016-02-26	AROC US	CARLSON CAPITAL L P	150,000	3.9904	150,000	3.9904	598,560	731	10.0500	908,940	151.85
2016-02-26	AROC US	CARLSON CAPITAL L P	150,000	3.9878	150,000	3.9878	598,170
2016-02-26	AROC US	CARLSON CAPITAL L P	150,000	3.9363	150,000	3.9363	590,445
2016-02-25	AROC US	CARLSON CAPITAL L P	43,304	3.6356	43,304	3.6356	157,436
2016-02-25	AROC US	CARLSON CAPITAL L P	170,129	3.5837	170,129	3.5837	609,691
2016-01-28	AROC US	CARLSON CAPITAL L P	200,000	5.6626	200,000	5.6626	1,132,520
2016-01-28	AROC US	CARLSON CAPITAL L P	85,104	5.7564	85,104	5.7564	489,893
2016-01-27	AROC US	CARLSON CAPITAL L P	156,964	5.2960	156,964	5.2960	831,281
2016-01-26	AROC US	CARLSON CAPITAL L P	235,200	4.8729	235,200	4.8729	1,146,106
2016-01-26	AROC US	CARLSON CAPITAL L P	157,932	5.0044	157,932	5.0044	790,355
2016-01-25	AROC US	CARLSON CAPITAL L P	82,859	5.1472	82,859	5.1472	426,492
2016-01-22	AROC US	CARLSON CAPITAL L P	100,000	5.4792	100,000	5.4792	547,920
2016-01-22	AROC US	CARLSON CAPITAL L P	200,000	5.5466	200,000	5.5466	1,109,320
2016-01-22	AROC US	CARLSON CAPITAL L P	189,644	5.6569	189,644	5.6569	1,072,797
2016-01-21	AROC US	CARLSON CAPITAL L P	78,397	5.4113	78,397	5.4113	424,230

조정 가격은 분할 조정된 가격입니다. 조정된 주식은 조정된 지분입니다.

내부자 매매 AROC / Archrock, Inc.: 단기 손실 분석

이 섹션에서는 AROC / Archrock, Inc.에서 이루어진 계획되지 않은 모든 공개 시장에서의 내부자 매도의 단기 손실 회피를 분석합니다. 일관된 손실 회피 패턴은 향후 매각 거래에서 가격 하락이 발생할 수도 있다는 것을 예측할 수 있습니다. 이 분석은 각 거래 후 1년을 대상으로 한 것이며, 결과는 이론 값입니다.

아래 표는 자동 거래 계획에 포함되지 않은 가장 최근의 "공개 시장"(Open market) 매매를 보여줍니다.

거래일	티커	내부자	보고된 지분	보고된 가격	조정된 지분	조정된 가격	가격 기준	최저까지 일수	최저에서 가격	회피된 최대 손실($)	회피된 최대 손실율(%)
2016-12-07	AROC US	CARLSON CAPITAL L P	142,900	13.6645	142,900	13.6645	1,952,657	730	9.3000	-623,687	-31.94
2016-12-06	AROC US	CARLSON CAPITAL L P	142,900	13.9209	142,900	13.9209	1,989,297
2016-12-06	AROC US	CARLSON CAPITAL L P	19,100	13.9213	19,100	13.9213	265,897
2016-12-05	AROC US	CARLSON CAPITAL L P	149,300	13.6092	149,300	13.6092	2,031,854
2016-12-05	AROC US	CARLSON CAPITAL L P	100,000	13.5773	100,000	13.5773	1,357,730
2016-12-02	AROC US	CARLSON CAPITAL L P	149,774	13.2325	149,774	13.2325	1,981,884
2016-12-02	AROC US	CARLSON CAPITAL L P	21,954	13.0479	21,954	13.0479	286,454
2016-12-01	AROC US	CARLSON CAPITAL L P	27,369	13.5419	27,369	13.5419	370,628
2016-12-01	AROC US	CARLSON CAPITAL L P	46,562	13.0512	46,562	13.0512	607,690
2016-12-01	AROC US	CARLSON CAPITAL L P	31,484	13.0040	31,484	13.0040	409,418
2016-12-01	AROC US	CARLSON CAPITAL L P	52,185	13.4041	52,185	13.4041	699,493
2016-12-01	AROC US	CARLSON CAPITAL L P	52,420	13.4034	52,420	13.4034	702,606
2016-11-30	AROC US	CARLSON CAPITAL L P	24,412	13.8498	24,412	13.8498	338,101
2016-11-30	AROC US	CARLSON CAPITAL L P	47,815	13.7168	47,815	13.7168	655,869
2016-11-30	AROC US	CARLSON CAPITAL L P	47,806	13.7171	47,806	13.7171	655,760
2016-11-30	AROC US	CARLSON CAPITAL L P	48,131	13.7158	48,131	13.7158	660,155
2016-11-25	AROC US	CARLSON CAPITAL L P	75,000	13.7899	75,000	13.7899	1,034,242
2016-11-23	AROC US	CARLSON CAPITAL L P	32,583	13.4951	32,583	13.4951	439,711
2016-11-23	AROC US	CARLSON CAPITAL L P	85,548	13.4952	85,548	13.4952	1,154,487
2016-11-22	AROC US	CARLSON CAPITAL L P	2,350	13.5718	2,350	13.5718	31,894
2016-11-22	AROC US	CARLSON CAPITAL L P	2,320	13.5652	2,320	13.5652	31,471
2016-11-22	AROC US	CARLSON CAPITAL L P	12,180	13.5540	12,180	13.5540	165,088
2016-11-22	AROC US	CARLSON CAPITAL L P	243,452	13.5656	243,452	13.5656	3,302,572
2016-11-21	AROC US	CARLSON CAPITAL L P	19,720	13.6009	19,720	13.6009	268,210
2016-11-21	AROC US	CARLSON CAPITAL L P	3,780	13.6000	3,780	13.6000	51,408
2016-11-21	AROC US	CARLSON CAPITAL L P	200,709	13.6145	200,709	13.6145	2,732,553
2016-11-18	AROC US	CARLSON CAPITAL L P	88,353	13.3875	88,353	13.3875	1,182,826
2016-11-18	AROC US	CARLSON CAPITAL L P	17,473	13.2791	17,473	13.2791	232,026
2016-11-18	AROC US	CARLSON CAPITAL L P	7,140	13.2364	7,140	13.2364	94,508
2016-11-18	AROC US	CARLSON CAPITAL L P	3,110	13.2459	3,110	13.2459	41,195
2016-11-16	AROC US	CARLSON CAPITAL L P	150,000	12.9132	150,000	12.9132	1,936,980
2016-11-16	AROC US	CARLSON CAPITAL L P	26,030	13.0670	26,030	13.0670	340,134
2016-11-15	AROC US	CARLSON CAPITAL L P	36,111	13.0103	36,111	13.0103	469,815
2016-11-15	AROC US	CARLSON CAPITAL L P	32,897	13.0014	32,897	13.0014	427,707
2016-11-15	AROC US	CARLSON CAPITAL L P	148,280	12.9697	148,280	12.9697	1,923,147
2016-11-14	AROC US	CARLSON CAPITAL L P	234,292	12.6943	234,292	12.6943	2,974,173
2016-10-12	AROC US	CARLSON CAPITAL L P	43,904	12.8551	43,904	12.8551	564,390

조정 가격은 분할 조정된 가격입니다. 조정된 주식은 조정된 지분입니다.

내부자 매입 RWAYI / Runway Growth Finance Corp.: 단기 이익 분석

아래 표는 사전 거래 계획(Automated trading plan)에 포함되지 않은 가장 최근의 공개 시장 매입을 보여줍니다.

거래일	티커	내부자	보고된 지분	보고된 가격	조정된 지분	조정된 가격	가격 기준	최고까지 일수	최고 가격	최고 이익 ($)	최고 수익률 (%)
이 내부자와 유가 증권의 조합과 관련하여 계획되지 않은 공개된 "공개 시장"(Open market) 거래는 없습니다.

조정 가격은 분할 조정된 가격입니다. 조정된 주식은 조정된 지분입니다.

RWAYI / Runway Growth Finance Corp. Insider Trades

내부자 매매 RWAYI / Runway Growth Finance Corp.: 단기 손실 분석

아래 표는 자동 거래 계획에 포함되지 않은 가장 최근의 "공개 시장"(Open market) 매매를 보여줍니다.

거래일	티커	내부자	보고된 지분	보고된 가격	조정된 지분	조정된 가격	가격 기준	최저까지 일수	최저에서 가격	회피된 최대 손실($)	회피된 최대 손실율(%)
2026-04-09	RWAY	CARLSON CAPITAL L P	560,105	6.5900	560,105	6.5900	3,691,092	57	6.1600	-240,844	-6.53

조정 가격은 분할 조정된 가격입니다. 조정된 주식은 조정된 지분입니다.

내부자의 매매 거래 내역

아래 표는 증권거래위원회(SEC)에 공시된 Capital L P Carlson의 내부자의 전체 거래 목록입니다.

보고일	거래일	보고	티커	증권	코드	지분	잔여 지분	변동률 (%)	지분 가치	거래 가치	잔여 가치
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock, par value $0.001 per share (the Common Stock)			4,445,105
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			6,430
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			209,125
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			32,505
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			32,505
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			32,505
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			1,312
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			4,445,105
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			4,445,105
2026-04-13		3	RWAY	Runway Growth Finance Corp. Common Stock			4,517,857
2026-04-13	2026-04-09	4	RWAY	Runway Growth Finance Corp. Common Stock, par value $0.01 per share (the "Common Stock")	S - Sale	-560,105	3,885,000	-12.60	6.59	-3,691,092	25,602,150
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-8,632,093	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-8,493,088	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-8,493,088	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-2,506	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-62,106	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-62,106	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-62,106	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-399,567	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock	J - Other	-12,287	0	-100.00
2026-04-08	2026-04-06	4	SWKH	SWK Holdings Corp Common Stock, par value $0.01 per share (the "Common Stock")	J - Other	-8,493,088	0	-100.00
2024-10-25	2024-10-23	4	SWKH	SWK Holdings Corp Common Stock, par value $0.01 per share (the "Common Stock")	J - Other	-600,678	0	-100.00
2024-09-26	2024-09-25	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	S - Sale	-320,691	4,335,000	-6.89	1.74	-558,002	7,542,900
2024-09-23	2024-09-19	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	S - Sale	-50,000	4,655,691	-1.06	1.82	-91,000	8,473,358
2024-07-01	2024-06-28	4	GLT	Glatfelter Corp Common Stock	S - Sale	-2,262,984	4,705,691	-32.47	1.40	-3,168,178	6,587,967
2024-07-01	2024-06-27	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	S - Sale	-207,325	6,968,675	-2.89	1.65	-342,086	11,498,314
2023-10-26	2023-10-26	4	GLT	Glatfelter Corp Common Stock	P - Purchase	50,000	7,176,000	0.70	1.60	80,000	11,481,600
2023-10-26	2023-10-25	4	GLT	Glatfelter Corp Common Stock	P - Purchase	25,000	7,126,000	0.35	1.55	38,698	11,030,335
2023-10-26	2023-10-24	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	75,000	7,101,000	1.07	1.54	115,320	10,918,498
2023-10-12	2023-10-10	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	236,000	7,026,000	3.48	1.80	424,800	12,646,800
2023-10-04	2023-10-03	4	GLT	Glatfelter Corp Common Stock	P - Purchase	75,000	6,790,000	1.12	1.90	142,500	12,901,000
2023-10-04	2023-10-02	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	250,000	6,715,000	3.87	1.95	488,425	13,119,096
2023-09-07	2023-09-06	4	GLT	Glatfelter Corp Common Stock	P - Purchase	100,000	6,465,000	1.57	2.00	200,040	12,932,586
2023-09-07	2023-09-05	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	200,000	6,365,000	3.24	1.92	384,340	12,231,620
2023-08-17		3	TFFP	TFF Pharmaceuticals, Inc. Common Stock, par value $0.001 per share (the "Common Stock"			5,280,000
2023-08-17	2023-08-16	4	TFFP	TFF Pharmaceuticals, Inc. Common Stock	S - Sale	-1,000	5,064,000	-0.02	0.39	-392	1,983,062
2023-08-17	2023-08-15	4	TFFP	TFF Pharmaceuticals, Inc. Common Stock, par value $0.001 per share (the "Common Stock"	S - Sale	-215,000	5,065,000	-4.07	0.44	-94,041	2,215,431
2023-08-17	2023-08-16	4	GLT	Glatfelter Corp Common Stock	P - Purchase	65,000	6,165,000	1.07	2.00	129,954	12,325,684
2023-08-17	2023-08-15	4	GLT	Glatfelter Corp Common Stock	P - Purchase	5,000	6,100,000	0.08	2.03	10,129	12,357,380
2023-08-17	2023-08-15	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	180,000	6,095,000	3.04	2.00	360,000	12,190,000
2023-03-31	2023-03-29	4	GLT	Glatfelter Corp Common Stock	P - Purchase	500,000	5,915,000	9.23	3.09	1,546,900	18,299,827
2023-03-31	2023-01-20	4	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")	X - Other	50,000	5,415,000	0.93	2.50	125,000	13,537,500
2022-10-21		3	GLT	Glatfelter Corp Common Stock, par value $0.01 per share (the "Common Stock")			5,365,000
2017-07-05	2017-06-26	4	REGI	Renewable Energy Group, Inc. Common Stock	S - Sale	-65,000	3,835,000	-1.67	12.83	-834,067	49,209,953
2017-05-22	2017-05-19	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	8,147	9,093,766	0.09	11.00	89,617	100,031,426
2017-05-22	2017-05-18	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	1,600	9,085,619	0.02	11.00	17,599	99,936,358
2017-05-17	2017-05-17	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	500	9,084,019	0.01	10.85	5,425	98,561,606
2017-05-17	2017-05-15	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	10,000	9,083,519	0.11	11.10	111,050	100,872,478
2017-05-17	2017-05-15	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	19,900	9,073,519	0.22	11.10	220,890	100,716,061
2016-12-08	2016-12-07	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-142,900	6,688,905	-2.09	13.66	-1,952,657	91,400,542
2016-12-08	2016-12-06	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-19,100	6,831,805	-0.28	13.92	-265,897	95,107,607
2016-12-08	2016-12-06	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-142,900	6,850,905	-2.04	13.92	-1,989,297	95,370,763
2016-12-06	2016-12-05	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-100,000	6,993,805	-1.41	13.58	-1,357,730	94,956,989
2016-12-06	2016-12-05	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-149,300	7,093,805	-2.06	13.61	-2,031,854	96,541,011
2016-12-06	2016-12-02	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-21,954	7,243,105	-0.30	13.05	-286,454	94,507,310
2016-12-06	2016-12-02	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-149,774	7,265,059	-2.02	13.23	-1,981,884	96,134,893
2016-12-02	2016-12-01	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-52,420	7,414,833	-0.70	13.40	-702,606	99,383,973
2016-12-02	2016-12-01	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-52,185	7,467,253	-0.69	13.40	-699,493	100,091,806
2016-12-02	2016-12-01	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-31,484	7,519,438	-0.42	13.00	-409,418	97,782,772
2016-12-02	2016-12-01	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-46,562	7,550,922	-0.61	13.05	-607,690	98,548,593
2016-12-02	2016-12-01	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-27,369	7,597,484	-0.36	13.54	-370,628	102,884,369
2016-12-02	2016-11-30	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-48,131	7,624,853	-0.63	13.72	-660,155	104,580,959
2016-12-02	2016-11-30	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-47,806	7,672,984	-0.62	13.72	-655,760	105,251,089
2016-12-02	2016-11-30	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-47,815	7,720,790	-0.62	13.72	-655,869	105,904,532
2016-12-02	2016-11-30	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-24,412	7,768,605	-0.31	13.85	-338,101	107,593,626
2016-11-29	2016-11-25	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-75,000	7,793,017	-0.95	13.79	-1,034,242	107,464,925
2016-11-25	2016-11-23	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-85,548	7,868,017	-1.08	13.50	-1,154,487	106,180,463
2016-11-25	2016-11-23	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-32,583	7,953,565	-0.41	13.50	-439,711	107,334,155
2016-11-25	2016-11-22	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-243,452	7,986,148	-2.96	13.57	-3,302,572	108,336,889
2016-11-25	2016-11-22	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-12,180	8,229,600	-0.15	13.55	-165,088	111,543,998
2016-11-25	2016-11-22	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-2,320	8,241,780	-0.03	13.57	-31,471	111,801,394
2016-11-25	2016-11-22	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-2,350	8,244,100	-0.03	13.57	-31,894	111,887,276
2016-11-22	2016-11-21	4	AROC US	Archrock, Inc. Comon Stock	S - Sale	-200,709	8,246,450	-2.38	13.61	-2,732,553	112,271,294
2016-11-22	2016-11-21	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-3,780	8,447,159	-0.04	13.60	-51,408	114,881,362
2016-11-22	2016-11-21	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-19,720	8,450,939	-0.23	13.60	-268,210	114,940,376
2016-11-22	2016-11-18	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-3,110	8,470,659	-0.04	13.25	-41,195	112,201,502
2016-11-22	2016-11-18	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-7,140	8,473,769	-0.08	13.24	-94,508	112,162,196
2016-11-22	2016-11-18	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-17,473	8,480,909	-0.21	13.28	-232,026	112,618,839
2016-11-22	2016-11-18	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-88,353	8,498,382	-1.03	13.39	-1,182,826	113,772,089
2016-11-18	2016-11-16	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-26,030	8,586,735	-0.30	13.07	-340,134	112,202,866
2016-11-18	2016-11-16	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-150,000	8,612,765	-1.71	12.91	-1,936,980	111,218,357
2016-11-16	2016-11-15	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-148,280	8,762,765	-1.66	12.97	-1,923,147	113,650,433
2016-11-16	2016-11-15	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-32,897	8,911,045	-0.37	13.00	-427,707	115,856,060
2016-11-16	2016-11-15	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-36,111	8,943,942	-0.40	13.01	-469,815	116,363,369
2016-11-16	2016-11-14	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-234,292	8,980,053	-2.54	12.69	-2,974,173	113,995,487
2016-10-14	2016-10-12	4	AROC US	Archrock, Inc. Common Stock	S - Sale	-43,904	9,214,345	-0.47	12.86	-564,390	118,451,326
2016-10-05		3	REGI	Renewable Energy Group, Inc. Common Stock			7,800,000
2016-10-05		3	REGI	Renewable Energy Group, Inc. Common Stock			7,800,000
2016-08-30	2016-08-29	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	1,500	9,053,619	0.02	9.75	14,625	88,272,785
2016-08-30	2016-08-26	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	1,600	9,052,119	0.02	9.75	15,600	88,258,160
2016-08-26	2016-08-25	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	1,500	9,050,519	0.02	9.75	14,625	88,242,560
2016-08-26	2016-08-24	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	2,000	9,049,019	0.02	9.75	19,500	88,227,935
2016-07-27	2016-07-26	4	UTEK	ULTRATECH INC Common Stock	S - Sale	-730,688	2,643,986	-21.65	24.43	-17,854,288	64,605,534
2016-07-27	2016-07-25	4	UTEK	ULTRATECH INC Common Stock	S - Sale	-79,312	3,374,674	-2.30	25.33	-2,008,838	85,474,755
2016-02-29	2016-02-26	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	150,000	9,258,249	1.65	3.94	590,445	36,443,246
2016-02-29	2016-02-26	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	150,000	9,108,249	1.67	3.99	598,170	36,321,875
2016-02-29	2016-02-26	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	150,000	8,958,249	1.70	3.99	598,560	35,746,997
2016-02-29	2016-02-25	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	170,129	8,808,249	1.97	3.58	609,691	31,566,122
2016-02-29	2016-02-25	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	43,304	8,638,120	0.50	3.64	157,436	31,404,749
2016-01-29	2016-01-28	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	85,104	8,594,816	1.00	5.76	489,893	49,475,199
2016-01-29	2016-01-28	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	200,000	8,509,712	2.41	5.66	1,132,520	48,187,095
2016-01-29	2016-01-27	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	156,964	8,309,712	1.93	5.30	831,281	44,008,235
2016-01-27	2016-01-26	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	157,932	8,152,748	1.98	5.00	790,355	40,799,612
2016-01-27	2016-01-26	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	235,200	7,994,816	3.03	4.87	1,146,106	38,957,939
2016-01-27	2016-01-25	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	82,859	7,759,616	1.08	5.15	426,492	39,940,295
2016-01-25	2016-01-22	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	189,644	7,676,757	2.53	5.66	1,072,797	43,426,647
2016-01-25	2016-01-22	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	200,000	7,487,113	2.74	5.55	1,109,320	41,528,021
2016-01-25	2016-01-22	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	100,000	7,287,113	1.39	5.48	547,920	39,927,550
2016-01-25	2016-01-21	4	AROC US	Archrock, Inc. Common Stock	P - Purchase	78,397	7,187,113	1.10	5.41	424,230	38,891,625
2016-01-21		3	AROC US	Archrock, Inc. Common Stock			14,217,432
2016-01-21		3	AROC US	Archrock, Inc. Common Stock			14,217,432
2015-12-17	2015-12-16	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	29,000	9,047,019	0.32	11.03	319,795	99,765,097
2015-12-17	2015-12-15	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	6,000	9,018,019	0.07	11.00	66,000	99,198,209
2015-11-03	2015-11-02	4	UTEK	ULTRATECH INC Common Stock	P - Purchase	46,800	3,453,986	1.37	15.69	734,498	54,208,238
2015-11-03	2015-10-30	4	UTEK	ULTRATECH INC Common Stock	P - Purchase	41,135	3,407,186	1.22	15.62	642,397	53,209,342
2015-10-30	2015-10-29	4	UTEK	ULTRATECH INC Common Stock	P - Purchase	27,450	3,366,051	0.82	15.60	428,118	52,497,941
2015-10-30	2015-10-28	4	UTEK	ULTRATECH INC Common Stock	P - Purchase	27,300	3,338,601	0.82	15.74	429,656	52,543,904
2015-10-30	2015-10-28	4	UTEK	ULTRATECH INC Common Stock	P - Purchase	27,300	3,311,301	0.83	15.74	429,661	52,114,911
2015-10-30	2015-10-28	4	UTEK	ULTRATECH INC Common Stock	P - Purchase	4,487	3,284,001	0.14	15.39	69,076	50,556,210
2015-10-28	2015-10-27	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	1,950	3,279,514	0.06	14.96	29,180	49,074,647
2015-10-28	2015-10-27	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	749	3,277,564	0.02	14.94	11,190	48,966,806
2015-10-28	2015-10-26	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	4,265	3,276,815	0.13	14.99	63,932	49,119,457
2015-10-28	2015-10-26	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	3,500	3,272,550	0.11	14.98	52,420	49,012,981
2015-10-28	2015-10-26	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	22,564	3,269,050	0.70	15.00	338,415	49,029,212
2015-10-15	2015-10-13	4	UTEK US	ULTRATECH INC Common Stock	S - Sale	-5,235	3,246,486	-0.16	15.62	-81,771	50,710,111
2015-10-05	2015-10-02	4	UTEK US	ULTRATECH INC Common Stock	S - Sale	-38,196	3,251,721	-1.16	15.40	-588,218	50,076,503
2015-10-05	2015-10-01	4	UTEK US	ULTRATECH INC Common Stock	S - Sale	-8,603	3,289,917	-0.26	15.60	-134,207	51,322,705
2015-10-05	2015-10-01	4	UTEK US	ULTRATECH INC Common Stock	S - Sale	-3,101	3,298,520	-0.09	15.62	-48,438	51,522,882
2015-10-05	2015-10-01	4	UTEK US	ULTRATECH INC Common Stock	S - Sale	-100	3,301,621	0.00	15.72	-1,572	51,901,482
2015-09-25	2015-09-24	4	UTEK US	ULTRATECH INC Common Stock	S - Sale	-35,321	3,301,721	-1.06	15.68	-553,833	51,770,985
2015-09-25	2015-09-24	4	UTEK US	ULTRATECH INC Common Stock	S - Sale	-5,200	3,337,042	-0.16	15.66	-81,432	52,258,078
2015-09-25	2015-09-24	4	UTEK US	ULTRATECH INC Common Stock	S - Sale	-40,240	3,342,242	-1.19	15.67	-630,561	52,372,932
2015-08-04	2015-08-03	4	UTEK US	ULTRATECH INC COMMON STOCK	P - Purchase	23,433	3,382,482	0.70	15.84	371,179	53,578,515
2015-08-04	2015-08-03	4	UTEK US	ULTRATECH INC COMMON STOCK	P - Purchase	16,807	3,359,049	0.50	15.87	266,727	53,308,108
2015-08-04	2015-08-03	4	UTEK US	ULTRATECH INC COMMON STOCK	P - Purchase	37,122	3,342,242	1.12	15.76	585,043	52,673,734
2015-08-04	2015-08-03	4	UTEK US	ULTRATECH INC COMMON STOCK	P - Purchase	12,350	3,305,120	0.38	15.81	195,254	52,253,947
2015-08-03	2015-07-31	4	UTEK US	ULTRATECH INC COMMON STOCK	P - Purchase	8,729	3,292,770	0.27	15.97	139,402	52,585,537
2015-08-03	2015-07-31	4	UTEK US	ULTRATECH INC COMMON STOCK	P - Purchase	1,652	3,284,041	0.05	16.00	26,432	52,544,656
2015-08-03	2015-07-31	4	UTEK US	ULTRATECH INC COMMON STOCK	P - Purchase	67,347	3,282,389	2.09	15.98	1,076,205	52,452,576
2015-04-28	2015-04-27	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	204,356	3,215,042	6.79	19.52	3,989,274	62,761,478
2015-04-28	2015-04-17	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	12,500	3,010,686	0.42	17.64	220,526	53,114,823
2015-04-28	2015-04-17	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	85,623	2,998,186	2.94	17.73	1,518,490	53,171,629
2015-04-28	2015-04-15	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	3,700	2,912,563	0.13	17.75	65,675	51,697,993
2015-04-28	2015-04-15	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	4,000	2,908,863	0.14	17.67	70,682	51,401,064
2015-04-28	2015-04-09	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	6,708	2,904,863	0.23	17.59	117,984	51,092,183
2015-04-28	2015-04-08	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	7,000	2,898,155	0.24	17.72	124,040	51,355,307
2015-04-28	2015-04-08	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	2,196	2,891,155	0.08	17.45	38,327	50,459,328
2015-04-28	2015-04-08	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	61,605	2,888,959	2.18	17.45	1,075,198	50,421,290
2015-04-28	2015-04-07	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	32,500	2,827,354	1.16	17.18	558,512	48,588,078
2015-04-28	2015-04-07	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	140	2,794,854	0.01	17.30	2,422	48,350,974
2015-04-28	2015-04-07	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	5,992	2,794,714	0.21	17.28	103,547	48,295,173
2015-04-28	2015-04-07	4	UTEK US	ULTRATECH INC Common Stock	P - Purchase	11,236	2,788,722	0.40	17.27	194,061	48,165,133
2015-03-06		3	UTEK US	ULTRATECH INC Common Stock			5,554,972
2015-03-06		3	UTEK US	ULTRATECH INC Common Stock			5,554,972
2014-12-05	2014-12-05	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	17,440,525	90,120,229	24.00	1.37	23,893,519	123,464,714
2014-12-01	2014-11-26	4	SWKH	SWK Holdings Corp Subscription Right	X - Other	-13,149,100	0	-100.00
2014-12-01	2014-11-26	4	SWKH	SWK Holdings Corp Over-Subscription Privilege	X - Other	-13,149,100	0	-100.00
2014-12-01	2014-11-26	4	SWKH	SWK Holdings Corp Common Stock	X - Other	4,622,604	72,679,704	6.79	0.86	3,975,439	62,504,545
2014-08-26	2014-08-18	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	3,801,744	68,057,100	5.92	1.37	5,208,389	93,238,227
2014-08-26	2014-08-18	4	SWKH	SWK Holdings Corp Common Stock	P - Purchase	52,106,256	68,057,100	326.67	1.37	71,385,571	93,238,227
2014-07-10	2014-07-02	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	25,000	4,235,030	0.59	15.54	388,395	65,794,579
2014-07-10	2014-07-02	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	25,000	4,210,030	0.60	15.46	386,500	65,087,064
2014-07-10	2014-07-02	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	25,000	4,185,030	0.60	15.60	390,000	65,286,468
2014-07-10	2014-07-02	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	53,600	4,160,030	1.31	15.57	834,707	64,783,731
2014-07-10	2014-07-01	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	192,700	4,106,430	4.92	15.54	2,994,250	63,807,352
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	68,647	3,913,730	1.79	15.72	1,079,385	61,538,316
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	50,000	3,845,083	1.32	15.56	778,000	59,829,491
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	100,000	3,795,083	2.71	15.54	1,554,000	58,975,590
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	50,000	3,695,083	1.37	15.48	774,000	57,199,885
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	150,000	3,645,083	4.29	15.53	2,329,500	56,608,139
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	1,000	3,495,083	0.03	15.50	15,500	54,173,786
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	1,000	3,488,683	0.03	15.50	15,496	54,060,632
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	600	3,487,683	0.02	15.48	9,286	53,976,777
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	24,900	3,486,683	0.72	15.48	385,328	53,956,419
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	25,000	3,486,083	0.72	15.46	386,478	53,891,706
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	50,000	3,461,183	1.47	15.47	773,500	53,544,501
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	6,781	3,436,183	0.20	15.46	104,868	53,140,570
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	100,000	3,386,183	3.04	15.39	1,539,310	52,123,854
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	20,000	3,379,402	0.60	15.45	309,000	52,211,761
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	94,872	3,279,402	2.98	15.44	1,464,881	50,635,935
2014-07-10	2014-06-30	4	TPH	TRI Pointe Homes, Inc. Common Stock	P - Purchase	84,749	3,259,402	2.67	15.43	1,307,982	50,304,307
2014-07-10		3	TPH	TRI Pointe Homes, Inc. Common Stock, par value $0.01 per share (the "Common Stock")			6,329,060
2014-07-10		3	TPH	TRI Pointe Homes, Inc. Common Stock, par value $0.01 per share (the "Common Stock")			6,329,060
2014-07-10		3	TPH	TRI Pointe Homes, Inc. Common Stock, par value $0.01 per share (the "Common Stock")			6,329,060
2014-07-10		3	TPH	TRI Pointe Homes, Inc. Common Stock, par value $0.01 per share (the "Common Stock")			6,329,060
2014-07-10		3	TPH	TRI Pointe Homes, Inc. Common Stock, par value $0.01 per share (the "Common Stock")			6,329,060
2014-07-10		3	TPH	TRI Pointe Homes, Inc. Common Stock, par value $0.01 per share (the "Common Stock")			6,329,060
2014-07-10		3	TPH	TRI Pointe Homes, Inc. Common Stock, par value $0.01 per share (the "Common Stock")			6,329,060
2014-07-10		3	TPH	TRI Pointe Homes, Inc. Common Stock, par value $0.01 per share (the "Common Stock")			6,329,060
2013-09-09	2013-09-06	4	NONE	SWK Holdings Corp Common Stock Warrant (right to buy)	A - Award	1,000,000	1,000,000
2013-05-08	2013-05-08	4	EPL	EPL OIL & GAS, INC. Common Stock	S - Sale	-50,000	2,515,673	-1.95	33.85	-1,692,535	85,157,292
2013-05-08	2013-05-06	4	EPL	EPL OIL & GAS, INC. Common Stock, par value $0.001 per share ("Common Stock")	S - Sale	-245,000	2,565,673	-8.72	34.05	-8,343,058	87,369,632
2013-03-21	2013-03-19	4	EPL	EPL OIL & GAS, INC. Common Stock, par value $0.001 per share ("Common Stock")	S - Sale	-10,000	2,810,673	-0.35	27.67	-276,664	77,761,203
2013-03-15	2013-03-15	4	EPL	EPL OIL & GAS, INC. Common Stock	S - Sale	-100,000	2,820,673	-3.42	28.50	-2,849,950	80,387,770
2013-03-15	2013-03-14	4	EPL	EPL OIL & GAS, INC. Common Stock	S - Sale	-147,061	2,920,673	-4.79	28.10	-4,133,032	82,083,178
2013-03-15	2013-03-13	4	EPL	EPL OIL & GAS, INC. Common Stock, par value $0.001 per share ("Common Stock")	S - Sale	-41,000	3,067,734	-1.32	27.87	-1,142,494	85,484,555
2013-03-12	2013-03-12	4	EPL	EPL OIL & GAS, INC. Common Stock	S - Sale	-84,749	3,108,734	-2.65	27.91	-2,364,972	86,751,088
2013-03-12	2013-03-11	4	EPL	EPL OIL & GAS, INC. Common Stock	S - Sale	-140,000	3,193,483	-4.20	28.23	-3,952,592	90,160,967
2013-03-12	2013-03-08	4	EPL	EPL OIL & GAS, INC. Common Stock	S - Sale	-4,792	3,333,483	-0.14	27.88	-133,622	92,951,840
2013-03-12	2013-03-08	4	EPL	EPL OIL & GAS, INC. Common Stock, par value $0.001 per share ("Common Stock")	S - Sale	-82,398	3,338,275	-2.41	27.75	-2,286,701	92,643,474
2012-12-26	2012-12-24	4	EPL	EPL OIL & GAS, INC. Common Stock	S - Sale	-500	3,420,673	-0.01	23.04	-11,520	78,809,911
2012-12-26	2012-12-21	4	EPL	EPL OIL & GAS, INC. Common Stock, par value $0.001 per share ("Common Stock")	S - Sale	-266,100	3,421,173	-7.22	23.05	-6,132,487	78,843,669
2012-11-29	2012-11-29	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-142,219	5,749,358	-2.41	14.34	-2,039,093	82,432,570
2012-11-29	2012-11-29	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-7,781	5,891,577	-0.13	14.34	-111,561	84,471,074
2012-11-29	2012-11-29	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-50,000	5,899,358	-0.84	14.37	-718,545	84,779,084
2012-11-29	2012-11-29	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-6,200	5,949,358	-0.10	14.35	-88,943	85,347,705
2012-11-29	2012-11-28	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-3,700	5,955,558	-0.06	14.31	-52,963	85,249,048
2012-11-29	2012-11-28	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-22,500	5,959,258	-0.38	14.34	-322,652	85,456,356
2012-11-29	2012-11-28	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-75,300	5,981,758	-1.24	14.32	-1,078,296	85,658,775
2012-11-29	2012-11-28	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-8,500	6,057,058	-0.14	14.31	-121,635	86,676,500
2012-11-29	2012-11-28	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-91,500	6,065,558	-1.49	14.31	-1,309,392	86,799,955
2012-11-29	2012-11-27	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-3,400	6,157,058	-0.06	14.36	-48,826	88,419,663
2012-11-29	2012-11-27	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	S - Sale	-112,900	6,160,458	-1.80	14.36	-1,621,413	88,473,418
2012-11-21	2012-11-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-3,500	6,273,358	-0.06	14.30	-50,064	89,733,485
2012-11-21	2012-11-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-115,600	6,276,858	-1.81	14.30	-1,653,542	89,784,177
2012-11-21	2012-11-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-50,750	6,392,458	-0.79	14.30	-725,933	91,438,358
2012-11-21	2012-11-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-83,650	6,443,208	-1.28	14.31	-1,196,789	92,183,621
2012-11-21	2012-11-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-966	6,526,858	-0.01	14.31	-13,819	93,372,578
2012-11-21	2012-11-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-3,134	6,527,824	-0.05	14.31	-44,833	93,382,481
2012-11-21	2012-11-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-3,500	6,530,958	-0.05	14.31	-50,074	93,437,763
2012-11-21	2012-11-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-4,100	6,534,458	-0.06	14.31	-58,671	93,508,747
2012-11-21	2012-11-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-64,600	6,538,558	-0.98	14.31	-924,361	93,560,226
2012-11-21	2012-11-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-2,600	6,603,158	-0.04	14.32	-37,232	94,557,223
2012-11-21	2012-11-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	S - Sale	-182,800	6,605,758	-2.69	14.31	-2,616,325	94,544,911
2012-11-16	2012-11-16	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-22,100	6,788,558	-0.32	14.29	-315,886	97,032,254
2012-11-16	2012-11-16	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	278,900	6,810,658	4.27	14.29	3,985,871	97,333,838
2012-11-16	2012-11-16	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-304,120	7,089,558	-4.11	14.29	-4,345,875	101,309,784
2012-11-16	2012-11-16	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-16,270	7,393,678	-0.22	14.29	-232,464	105,640,132
2012-11-16	2012-11-15	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-371,419	7,409,948	-4.77	14.29	-5,307,912	105,894,826
2012-11-16	2012-11-15	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-143,581	7,781,367	-1.81	14.29	-2,051,887	111,201,960
2012-11-16	2012-11-15	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-33,100	7,924,948	-0.42	14.29	-473,022	113,253,054
2012-11-16	2012-11-15	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-9,900	7,958,048	-0.12	14.29	-141,472	113,721,302
2012-11-16	2012-11-14	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-142,489	7,967,948	-1.76	14.33	-2,041,882	114,181,492
2012-11-16	2012-11-14	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	S - Sale	-100,700	8,110,437	-1.23	14.32	-1,442,024	116,141,458
2012-11-16	2012-11-14	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	S - Sale	-8,400	8,211,137	-0.10	14.30	-120,128	117,426,649
2012-06-28	2012-06-28	4	EPL	ENERGY PARTNERS LTD Common Stock	S - Sale	-201,835	3,687,273	-5.19	16.23	-3,276,186	59,851,815
2012-06-28	2012-06-27	4	EPL	ENERGY PARTNERS LTD Common Stock	S - Sale	-249,116	3,889,108	-6.02	16.36	-4,074,541	63,610,250
2012-06-28	2012-06-26	4	EPL	ENERGY PARTNERS LTD Common Stock, par value $0.001 per share ("Common Stock")	S - Sale	-100,000	4,138,224	-2.36	16.11	-1,611,400	66,683,342
2012-05-08	2012-05-07	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	13,918	8,219,537	0.17	6.79	94,461	55,785,998
2012-05-08	2012-05-07	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	12,566	8,205,619	0.15	6.78	85,160	55,609,480
2012-05-08	2012-05-04	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	75,000	8,193,053	0.92	6.68	500,625	54,688,629
2012-05-08	2012-05-04	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	25,000	8,118,053	0.31	6.70	167,400	54,358,483
2012-04-11	2012-04-11	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	26,900	8,093,053	0.33	5.95	160,001	48,137,479
2012-04-11	2012-04-11	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	43,758	8,066,153	0.55	5.92	259,266	47,791,957
2012-04-11	2012-04-11	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	25,000	8,022,395	0.31	5.95	148,825	47,757,317
2012-04-11	2012-04-09	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	50,000	7,997,395	0.63	5.88	294,000	47,024,683
2012-04-11	2012-04-09	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	18,078	7,947,395	0.23	5.90	106,733	46,921,420
2012-04-04	2012-04-04	4	[SRZ]	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	960	7,929,317	0.01	6.00	5,760	47,575,902
2012-04-04	2012-04-04	4	[SRZ]	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	21,622	7,928,357	0.27	6.00	129,710	47,562,214
2012-04-04	2012-04-04	4	[SRZ]	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	10,300	7,906,735	0.13	6.00	61,779	47,424,597
2012-04-04	2012-04-02	4	[SRZ]	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	77,600	7,896,435	0.99	6.48	502,538	51,137,313
2012-03-26	2012-03-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	25,000	7,818,835	0.32	7.13	178,225	55,740,475
2012-03-26	2012-03-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	25,000	7,793,835	0.32	7.12	178,100	55,523,281
2012-03-06	2012-03-06	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	32,400	7,768,835	0.42	7.27	235,548	56,479,430
2012-03-06	2012-03-06	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	17,600	7,736,435	0.23	7.32	128,867	56,646,177
2012-03-06	2012-03-02	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	25,000	7,718,835	0.32	7.69	192,175	59,334,685
2012-03-06	2012-03-02	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	25,000	7,693,835	0.33	7.65	191,350	58,888,613
2012-03-06	2012-03-02	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	25,000	7,668,835	0.33	7.65	191,300	58,681,925
2012-03-06	2012-03-02	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	25,000	7,643,835	0.33	7.69	192,200	58,765,803
2012-03-01	2012-02-28	4	NONE	SWK Holdings Corp Common Stock, par value $0.001 per share (the "Common Stock"	P - Purchase	500,000	12,149,100	4.29	0.82	410,000	9,962,262
2012-01-27	2012-01-25	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	27,420	7,618,835	0.36	6.85	187,909	52,211,876
2012-01-11	2012-01-10	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	1,000	7,591,415	0.01	6.14	6,141	46,618,880
2012-01-11	2012-01-10	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	1,200	7,590,415	0.02	6.05	7,264	45,944,782
2012-01-11	2012-01-10	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	25,000	7,589,215	0.33	6.06	151,400	45,960,286
2012-01-11	2012-01-10	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	20,000	7,564,215	0.27	6.15	122,960	46,504,794
2012-01-11	2012-01-10	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	17,500	7,544,215	0.23	6.15	107,572	46,374,290
2012-01-11	2012-01-10	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	23,800	7,526,715	0.32	6.06	144,109	45,574,259
2012-01-11	2012-01-09	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	1,500	7,502,915	0.02	6.18	9,270	46,368,015
2012-01-11	2012-01-09	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	30,000	7,501,415	0.40	6.17	185,160	46,298,733
2012-01-11	2012-01-09	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	30,000	7,471,415	0.40	6.17	185,130	46,106,102
2011-12-30	2011-12-28	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	35,800	7,353,415	0.49	6.12	218,989	44,980,840
2011-12-30	2011-12-28	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	14,200	7,317,615	0.19	6.02	85,498	44,059,360
2011-12-27	2011-12-27	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	88,000	7,391,415	1.20	6.03	530,552	44,562,841
2011-12-27	2011-12-23	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	820	7,303,415	0.01	5.96	4,891	43,564,870
2011-12-27	2011-12-23	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	410	7,302,595	0.01	6.00	2,459	43,793,662
2011-12-27	2011-12-23	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	15,000	7,302,185	0.21	5.98	89,775	43,703,577
2011-12-27	2011-12-23	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	5,658	7,287,185	0.08	6.08	34,401	44,306,085
2011-12-27	2011-12-23	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	13,193	7,281,527	0.18	5.99	78,973	43,587,221
2011-12-27	2011-12-23	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	7,607	7,268,334	0.10	6.08	46,289	44,227,812
2011-12-27	2011-12-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	15,000	7,260,727	0.21	5.82	87,360	42,286,474
2011-12-27	2011-12-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	18,748	7,245,727	0.26	5.90	110,688	42,778,772
2011-12-27	2011-12-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	16,252	7,226,979	0.23	6.04	98,211	43,672,634
2011-12-27	2011-12-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	19,988	7,210,727	0.28	5.84	116,770	42,125,067
2011-12-27	2011-12-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	13,512	7,190,739	0.19	5.92	79,937	42,540,412
2011-12-27	2011-12-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	14,450	7,177,227	0.20	6.05	87,408	43,415,046
2011-12-27	2011-12-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	1,200	7,162,777	0.02	5.92	7,108	42,425,128
2011-12-27	2011-12-22	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	850	7,161,577	0.01	6.04	5,131	43,234,440
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	1,800	7,160,727	0.03	5.53	9,958	39,613,142
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	4,000	7,158,927	0.06	5.36	21,452	38,393,326
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	12,500	7,154,927	0.18	5.28	66,038	37,799,479
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	9,300	7,142,427	0.13	5.52	51,373	39,454,767
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	187,000	7,133,127	2.69	5.45	1,019,150	38,875,542
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	12,500	6,946,127	0.18	5.26	65,712	36,515,790
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	135,000	6,933,627	1.99	5.42	731,025	37,545,590
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	11,100	6,798,627	0.16	5.52	61,305	37,548,817
2011-12-21	2011-12-21	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	8,500	6,486,527	0.13	5.11	43,426	33,139,666
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	7,800	6,787,527	0.12	5.24	40,903	35,593,792
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	10,000	6,779,727	0.15	5.13	51,300	34,780,000
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	7,400	6,769,727	0.11	5.11	37,844	34,620,384
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	21,900	6,762,327	0.32	5.04	110,354	34,075,366
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	13,900	6,740,427	0.21	5.12	71,168	34,510,986
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	230,000	6,726,527	3.54	5.15	1,184,500	34,641,614
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	10,000	6,496,527	0.15	5.12	51,250	33,294,701
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	18,350	6,478,027	0.28	5,014.00	92,006,900	32,480,827,378
2011-12-21	2011-12-20	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	14,550	6,459,677	0.23	5.15	74,918	33,260,877
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	62,500	6,445,127	0.98	4.85	303,125	31,258,866
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	7,466	6,382,627	0.12	4.80	35,852	30,649,375
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	2,700	6,375,161	0.04	4.84	13,082	30,887,655
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	13,954	6,372,461	0.22	4.83	67,342	30,753,497
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	32,796	6,358,507	0.52	4.86	159,323	30,889,627
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	18,004	6,325,711	0.29	4.82	86,797	30,496,253
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	21,700	6,307,707	0.35	4.88	105,961	30,800,533
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	365,000	6,286,007	6.16	4.82	1,758,935	30,292,268
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	29,380	5,921,007	0.50	4.87	142,992	28,817,541
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock	P - Purchase	425,000	5,891,627	7.77	4.82	2,049,775	28,415,317
2011-12-21	2011-12-19	4	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")	P - Purchase	21,500	5,466,627	0.39	4.89	105,092	26,720,873
2011-12-21		3	SRZ	SUNRISE SENIOR LIVING INC Common Stock, par value $0.01 per share (the "Common Stock")			7,160,727

공개 시장에서 또는 사적으로 비파생증권 또는 파생증권 매입

공개 시장에서 또는 사적으로 비파생증권 또는 파생증권 매각

자사로부터 유가증권(옵션 등)을 보조, 지급 또는 기타 취득

파생상품 전환

자사에게 유가증권을 매각 또는 양도

기업으로부터 인도 받은 유가증권의 일부를 사용한 행사 가격 또는 조세 채무의 지급

내부자에 의한 또는 내부자에게 증권 증여

지분스왑 및 유사 위험 회피거래

자사로부터 인도 받은 파생증권(옵션 등)의 행사 또는 전환

보고서 양식 4에 자진 신고된 거래

기타 (거래 내용을 설명하는 각주와 동반)