Archrock, Inc.
US ˙ NYSE ˙ US03957W1062

Introdução

Esta página fornece uma análise abrangente do histórico conhecido de negociações internas de Capital L P Carlson. Insiders são oficiais, diretores ou investidores significativos em uma empresa. É ilegal para insiders realizarem negociações em suas próprias empresas baseados em informações específicas, não públicas. Isso não significa que seja ilegal para eles realizarem qualquer negociação em suas próprias empresas. No entanto, eles devem reportar todas as negociações à SEC através de um Formulário 4. Apesar dessas restrições, pesquisas acadêmicas sugerem que insiders - em geral - tendem a superar o mercado em suas próprias empresas.

Rentabilidade Média de Negociação

A rentabilidade média de negociação é o retorno médio de todas as compras de mercado abertas feitas pelo insider nos últimos três anos. Para calcular isso, examinamos cada compra de mercado aberto, não planejada, feita pelo insider, excluindo todas as negociações que foram marcadas como parte de um plano de negociação 10b5-1. Em seguida, calculamos o desempenho médio dessas negociações ao longo de 3, 6 e 12 meses, fazendo a média de cada uma dessas durações para gerar uma métrica de desempenho final para cada negociação. Finalmente, fazemos a média de todas as métricas de desempenho para calcular uma métrica de desempenho para o insider. Esta lista inclui apenas insiders que fizeram pelo menos três negociações nos últimos dois anos.

Se a rentabilidade de negociação deste insider é "N/A", então o insider ou não fez quaisquer compras de mercado aberto nos últimos três anos, ou as negociações que eles fizeram são muito recentes para calcular uma métrica de desempenho confiável.

Frequência de Atualização: Diariamente

Veja a lista dos negociantes internos mais rentáveis.

Veja os Insiders com Maior Classificação
Empresas com Posições Internas Reportadas

As declarações à SEC indicam que Capital L P Carlson reportou posses ou negociações nas seguintes empresas:

Ativo Título Últimas Posições Reportadas
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
Como Interpretar os Gráficos

Os gráficos a seguir mostram o desempenho das ações dos a ativos ubsequentes a cada transação de mercado aberto, não planejada feita por Capital L P Carlson. Transações não planejadas são negociações que não foram feitas como parte de um plano de negociação 10b5-1. O desempenho das ações é representado como mudança percentual cumulativa no preço das ações. Por exemplo, se uma transação interna foi feita em 1 de janeiro de 2019, o gráfico mostrará a mudança percentual diária da segurança até o dia presente. Se o preço da ação passasse de $10 para $15 durante este período, a mudança percentual cumulativa no preço das ações seria de 50%. Uma mudança no preço de $10 para $20 seria de 100%, e uma mudança no preço de $10 para $5 seria de -50%.

Ultimamente, estamos tentando determinar quão estreitamente as negociações do interno correlacionam-se a retornos excessivos (positivos ou negativos) no preço da ação para ver se o interno está cronometrando suas transações para lucrar com informações internas. Considere a situação onde um interno estava fazendo isso. Nesta situação, esperaríamos (a) retornos positivos após compras, ou (b) retornos negativos após vendas. No caso de (a), o gráfico de COMPRA mostraria uma série de curvas ascendentes, indicando retornos positivos após cada transação de compra. No caso de (b), o gráfico de VENDA mostraria uma série de curvas descendentes, indicando retornos negativos após cada transação de venda.

No entanto, isso sozinho não é suficiente para tirar conclusões. Se, por exemplo, o preço da ação da empresa estivesse em uma escalada não cíclica ao longo de muitos anos, então esperaríamos que todos os gráficos pós-compra tivessem uma inclinação ascendente. Da mesma forma, declínios não cíclicos ao longo de muitos anos resultariam em gráficos pós-negociação inclinados para baixo. Nenhum desses gráficos sugeriria atividade de negociação interna.

O indicador mais forte seria uma situação em que o preço da ação fosse extremamente cíclico, e houvesse sinais positivos no gráfico de COMPRA e gráficos negativos no gráfico de VENDA. Esta situação seria altamente sugestiva de um interno que estava cronometrando transações para sua vantagem financeira.

Compras Internas AROC / Archrock, Inc. - Análise de Lucro de Curto Prazo

Nesta seção, analisamos a lucratividade de cada compra interna de mercado aberto, não planejada, feita em AROC / Archrock, Inc.. Esta análise ajuda a entender se o interno gera consistentemente retornos anormais, e vale a pena seguir. Esta análise é para um ano seguinte a cada transação, e os resultados são teóricos.

A tabela a seguir mostra as compras de mercado aberto mais recentes que não faziam parte de um plano de negociação automático.

Data de Negociação Ticker Insider Ações
Reportadas		 Preço
Reportado		 Ações
Ajustadas		 Preço
Ajustado		 Base de Custos Dias para
Máx		 Preço em
Máx		 Lucro
Máx ($)		 Retorno Máx (%)
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

O Preço Ajustado é o preço ajustado pela divisão. Ações Ajustadas são as ações ajustadas pela divisão.

AROC / Archrock, Inc. Insider Trades
Vendas Internas AROC / Archrock, Inc. - Análise de Perda de Curto Prazo

Nesta seção, analisamos a evitação de perdas de curto prazo de cada venda interna de mercado aberto, não planejada feita em AROC / Archrock, Inc.. Um padrão consistente de evitação de perdas pode sugerir que transações futuras de venda possam prever declínios no preço. Esta análise é para um ano seguinte a cada transação, e os resultados são teóricos.

A tabela a seguir mostra as vendas de mercado aberto mais recentes que não faziam parte de um plano de negociação automático.

Data de Negociação Ticker Insider Ações
Reportadas		 Preço
Reportado		 Ações
Ajustadas		 Preço
Ajustado		 Base de Custos Dias para
Mín		 Preço em
Mín		 Máxima Perda
Evitada ($)		 Máxima Perda
Evitada (%)
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

O Preço Ajustado é o preço ajustado pela divisão. Ações Ajustadas são as ações ajustadas pela divisão.

AROC / Archrock, Inc. Insider Trades
Compras Internas RWAYI / Runway Growth Finance Corp. - Análise de Lucro de Curto Prazo

Nesta seção, analisamos a lucratividade de cada compra interna de mercado aberto, não planejada, feita em AROC / Archrock, Inc.. Esta análise ajuda a entender se o interno gera consistentemente retornos anormais, e vale a pena seguir. Esta análise é para um ano seguinte a cada transação, e os resultados são teóricos.

A tabela a seguir mostra as compras de mercado aberto mais recentes que não faziam parte de um plano de negociação automático.

Data de Negociação Ticker Insider Ações
Reportadas		 Preço
Reportado		 Ações
Ajustadas		 Preço
Ajustado		 Base de Custos Dias para
Máx		 Preço em
Máx		 Lucro
Máx ($)		 Retorno Máx (%)
Não há negociações abertas de mercado não planejadas conhecidas para esta combinação de insider e ativo

O Preço Ajustado é o preço ajustado pela divisão. Ações Ajustadas são as ações ajustadas pela divisão.

RWAYI / Runway Growth Finance Corp. Insider Trades
Vendas Internas RWAYI / Runway Growth Finance Corp. - Análise de Perda de Curto Prazo

Nesta seção, analisamos a evitação de perdas de curto prazo de cada venda interna de mercado aberto, não planejada feita em AROC / Archrock, Inc.. Um padrão consistente de evitação de perdas pode sugerir que transações futuras de venda possam prever declínios no preço. Esta análise é para um ano seguinte a cada transação, e os resultados são teóricos.

A tabela a seguir mostra as vendas de mercado aberto mais recentes que não faziam parte de um plano de negociação automático.

Data de Negociação Ticker Insider Ações
Reportadas		 Preço
Reportado		 Ações
Ajustadas		 Preço
Ajustado		 Base de Custos Dias para
Mín		 Preço em
Mín		 Máxima Perda
Evitada ($)		 Máxima Perda
Evitada (%)
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

O Preço Ajustado é o preço ajustado pela divisão. Ações Ajustadas são as ações ajustadas pela divisão.

RWAYI / Runway Growth Finance Corp. Insider Trades
Histórico de Negociações Insider

Esta tabela mostra a lista completa de negociações insider realizadas por Capital L P Carlson conforme divulgadas para a Comissão de Valores Mobiliários (SEC).

Data do Arquivo Data da Transação Formulário Ticker Ativo Código 10b5-1 Ações Ações Restantes Variação
Percentual		 Preço
da Ação		 Valor
da Transação		 Valor
Restante
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
P
Compra de mercado aberto ou privada de ativo não-derivativo ou derivativo
S
Venda de mercado aberto ou privada de ativo não-derivativo ou derivativo
A
Concessão, premiação, ou outra aquisição de ativos da empresa (como uma opção)
C
Conversão de derivativo
D
Venda ou transferência de ativos de volta para a empresa
F
Pagamento do preço de exercício ou responsabilidade fiscal utilizando parte dos ativos recebidos da empresa
G
Doação de ativos pelo ou para o insider
K
Swaps de capital e transações de hedge similares
M
Exercício ou conversão de ativo derivativo recebido da empresa (como uma opção)
V
Uma transação voluntariamente reportada no Formulário 4
J
Outro (acompanhado de uma nota explicativa descrevendo a transação)