Phillip Goldstein
CIK 1067621 · View on SEC EDGAR ↗
Insider
First SEC filing: Aug. 29, 2019 · Latest: Feb. 14, 2020
On this page
Insider at
Insider transactions
21 buys (P)
1 sells (S)
Net:
$783,651
+ 13 non-open-market transactions below
Avg return of open purchases vs now:
-14.2%
last 12 months, based on the transactions shown below
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
13 other filings hidden
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Aug. 6, 2026 | PCF | P | 819 | $5.30 | $4,341 | 47,860 Direct | +1.74% | Acquired | 1.7% (price as of 2026-08-19) |
| July 6, 2026 | SWZ | P | 5,980 | $5.95 | $35,581 | 119,214 Direct | +5.28% | Acquired | -0.5% (price as of 2026-08-19) |
| April 8, 2026 | PCF | P | 600 | $5.53 | $3,318 | 47,041 Direct | +1.29% | Acquired | -2.5% (price as of 2026-08-19) |
| April 7, 2026 | PCF | P | 5,088 | $5.45 | $27,730 | 46,441 Direct | +12.30% | Acquired | -1.1% (price as of 2026-08-19) |
| March 18, 2026 | SWZ | P | 10,000 | $5.98 | $59,800 | 113,234 Direct | +9.69% | Acquired | -1.0% (price as of 2026-08-19) |
| March 18, 2026 | PCF | P | 17,905 | $5.46 | $97,761 | 41,353 Direct | +76.36% | Acquired | -1.2% (price as of 2026-08-19) |
| March 5, 2026 | SWZ | P | 10,000 | $5.99 | $59,900 | 103,234 Direct | +10.73% | Acquired | -1.2% (price as of 2026-08-19) |
| March 5, 2026 | SPE | P | 3,952 | $25.09 | $99,156 | 10,250 Direct | +62.75% | Acquired | -46.6% (price as of 2026-08-19) |
| March 3, 2026 | SWZ | P | 5,000 | $6.01 | $30,050 | 93,234 Direct | +5.67% | Acquired | -1.5% (price as of 2026-08-19) |
| Feb. 27, 2026 | SPE | P | 5,821 | $25.09 | $146,049 | 6,098 Direct | +2101.44% | Acquired | -46.6% (price as of 2026-08-19) |
| Feb. 26, 2026 | SPE | P | 27 | $25.09 | $677 | 277 Direct | +10.80% | Acquired | -46.6% (price as of 2026-08-19) |
| Feb. 24, 2026 | SPE | P | 30 | $25.09 | $753 | 250 Direct | +13.64% | Acquired | -46.6% (price as of 2026-08-19) |
| Feb. 23, 2026 | SPE | P | 100 | $25.05 | $2,505 | 220 Direct | +83.33% | Acquired | -46.5% (price as of 2026-08-19) |
| Feb. 23, 2026 | SWZ | P | 5,000 | $6.13 | $30,650 | 87,910 Direct | +6.03% | Acquired | -3.4% (price as of 2026-08-19) |
| Feb. 6, 2026 | SWZ | P | 10,000 | $6.07 | $60,700 | 82,910 Direct | +13.72% | Acquired | -2.5% (price as of 2026-08-19) |
| Feb. 3, 2026 | PCF | P | 10,000 | $6.05 | $60,500 | 23,448 Direct | +74.36% | Acquired | -10.9% (price as of 2026-08-19) |
| Feb. 2, 2026 | PCF | P | 7,514 | $6.05 | $45,460 | 13,448 Direct | +126.63% | Acquired | -10.9% (price as of 2026-08-19) |
| Jan. 30, 2026 | SWZ | P | 10,000 | $5.92 | $59,200 | 72,910 Direct | +15.90% | Acquired | 0.0% (price as of 2026-08-19) |
| Dec. 18, 2025 | PCF | P | 2,500 | $5.99 | $14,975 | 5,934 Direct | +72.80% | Acquired | -10.0% (price as of 2026-08-19) |
| Dec. 17, 2025 | PCF | P | 800 | $6.03 | $4,824 | 3,434 Direct | +30.37% | Acquired | -10.6% (price as of 2026-08-19) |
| Dec. 16, 2025 | PCF | P | 2,487 | $6.04 | $15,021 | 2,634 Direct | +1691.84% | Acquired | -10.7% (price as of 2026-08-19) |
| Aug. 22, 2025 | SPE | S | 3,000 | $25.10 | $75,300 | 120 Direct | -96.15% | Disposed | -46.6% (price as of 2026-08-19) |
| April 4, 2025 | SPE | P | 3,000 | $13.80 | $41,400 | 34,822 Direct | +9.43% | Acquired | -2.9% (price as of 2026-08-19) |
| Feb. 25, 2025 | PCF | S | 6,984 | $6.85 | $47,840 | 147 Direct | -97.94% | Disposed | -21.3% (price as of 2026-08-19) |
| Feb. 24, 2025 | PCF | S | 9,296 | $6.85 | $63,678 | 7,131 Direct | -56.59% | Disposed | -21.3% (price as of 2026-08-19) |
| Feb. 24, 2025 | PCF | S | 10,000 | $6.84 | $68,400 | 16,427 Direct | -37.84% | Disposed | -21.2% (price as of 2026-08-19) |
| Jan. 17, 2025 | SWZ | S | 4,535 | $8.45 | $38,321 | 12,248 Direct | -27.02% | Disposed | -29.9% (price as of 2026-08-19) |
| Oct. 15, 2024 | SPE | S | 618 | $23.50 | $14,523 | 3,120 Direct | -16.53% | Disposed | -43.0% (price as of 2026-08-19) |
| June 28, 2024 | PCF | S | 10,000 | $6.94 | $69,400 | 9,773 Direct | -50.57% | Disposed | -22.3% (price as of 2026-08-19) |
| June 28, 2024 | PCF | S | 10,000 | $6.93 | $69,300 | 19,773 Direct | -33.59% | Disposed | -22.2% (price as of 2026-08-19) |
| June 28, 2024 | PCF | S | 10,000 | $6.92 | $69,200 | 29,773 Direct | -25.14% | Disposed | -22.1% (price as of 2026-08-19) |
| June 28, 2024 | PCF | S | 60,000 | $6.93 | $415,800 | 39,773 Direct | -60.14% | Disposed | -22.2% (price as of 2026-08-19) |
| June 27, 2024 | PCF | S | 10,000 | $6.84 | $68,400 | 99,773 Direct | -9.11% | Disposed | -21.2% (price as of 2026-08-19) |
| June 27, 2024 | PCF | S | 10,000 | $6.91 | $69,100 | 109,773 Direct | -8.35% | Disposed | -22.0% (price as of 2026-08-19) |
| June 27, 2024 | PCF | S | 10,000 | $6.91 | $69,100 | 119,773 Direct | -7.71% | Disposed | -22.0% (price as of 2026-08-19) |
| June 27, 2024 | PCF | S | 24,600 | $6.92 | $170,232 | 129,773 Direct | -15.94% | Disposed | -22.1% (price as of 2026-08-19) |
| June 26, 2024 | PCF | S | 10,000 | $6.81 | $68,100 | 154,373 Direct | -6.08% | Disposed | -20.8% (price as of 2026-08-19) |
| June 26, 2024 | PCF | S | 10,000 | $6.83 | $68,300 | 164,373 Direct | -5.73% | Disposed | -21.0% (price as of 2026-08-19) |
| June 26, 2024 | PCF | S | 40,000 | $6.81 | $272,400 | 174,373 Direct | -18.66% | Disposed | -20.8% (price as of 2026-08-19) |
| June 26, 2024 | PCF | S | 200 | $6.84 | $1,368 | 214,373 Direct | -0.09% | Disposed | -21.2% (price as of 2026-08-19) |
| June 26, 2024 | PCF | S | 29,800 | $6.84 | $203,832 | 214,573 Direct | -12.19% | Disposed | -21.2% (price as of 2026-08-19) |
| Dec. 29, 2023 | SPE | S | 3,008 | $22.90 | $68,883 | 3,738 Direct | -44.59% | Disposed | -41.5% (price as of 2026-08-19) |
| Dec. 28, 2023 | SPE | S | 2,623 | $22.85 | $59,936 | 6,746 Direct | -28.00% | Disposed | -41.4% (price as of 2026-08-19) |
| Dec. 28, 2023 | SPE | P | 1,319 | $11.78 | $15,538 | 31,822 Direct | +4.32% | Acquired | 13.8% (price as of 2026-08-19) |
| Dec. 28, 2023 | SPE | P | 44 | $11.75 | $517 | 30,503 Direct | +0.14% | Acquired | 14.0% (price as of 2026-08-19) |
| April 21, 2023 | PCF | P | 10,000 | $6.37 | $63,700 | 244,373 Direct | +4.27% | Acquired | -15.3% (price as of 2026-08-19) |
| April 10, 2023 | PCF | P | 10,000 | $6.39 | $63,900 | 234,373 Direct | +4.46% | Acquired | -15.6% (price as of 2026-08-19) |
| April 6, 2023 | PCF | P | 9,510 | $6.41 | $60,959 | 224,373 Direct | +4.43% | Acquired | -15.9% (price as of 2026-08-19) |
| April 6, 2023 | SPE | P | 5,000 | $10.85 | $54,250 | 31,459 Direct | +18.90% | Acquired | 23.5% (price as of 2026-08-19) |
| April 5, 2023 | SPE | P | 2,400 | $10.85 | $26,040 | 26,459 Direct | +9.98% | Acquired | 23.5% (price as of 2026-08-19) |
| March 30, 2023 | SPE | P | 1,568 | $10.85 | $17,013 | 24,059 Direct | +6.97% | Acquired | 23.5% (price as of 2026-08-19) |
| March 29, 2023 | SPE | P | 675 | $10.74 | $7,250 | 22,491 Direct | +3.09% | Acquired | 24.8% (price as of 2026-08-19) |
| March 17, 2023 | PCF | P | 4,000 | $6.28 | $25,120 | 214,863 Direct | +1.90% | Acquired | -14.1% (price as of 2026-08-19) |
| March 13, 2023 | PCF | P | 790 | $6.36 | $5,024 | 210,863 Direct | +0.38% | Acquired | -15.2% (price as of 2026-08-19) |
| Feb. 3, 2023 | SPE | P | 2,000 | $11.85 | $23,700 | 21,816 Direct | +10.09% | Acquired | 13.1% (price as of 2026-08-19) |
| Jan. 30, 2023 | SPE | P | 2,000 | $11.63 | $23,260 | 19,816 Direct | +11.23% | Acquired | 15.2% (price as of 2026-08-19) |
| Feb. 7, 2022 | SPE | P | 2,000 | $14.76 | $29,520 | 21,350 Direct | +10.34% | Acquired | -9.2% (price as of 2026-08-19) |
| Dec. 16, 2021 | SPE | S | 2,542 | $15.55 | $39,528 | 19,350 Direct | -11.61% | Disposed | -13.8% (price as of 2026-08-19) |
| Aug. 17, 2021 | PCF | S | 10,000 | $9.97 | $99,700 | 5,129 Direct | -66.10% | Disposed | -45.9% (price as of 2026-08-19) |
| Aug. 17, 2021 | PCF | S | 5,000 | $9.97 | $49,850 | 129 Direct | -97.48% | Disposed | -45.9% (price as of 2026-08-19) |
| Aug. 17, 2021 | PCF | S | 13,000 | $10.00 | $130,000 | 15,129 Direct | -46.22% | Disposed | -46.1% (price as of 2026-08-19) |
| Aug. 16, 2021 | PCF | S | 909 | $9.95 | $9,045 | 38,129 Direct | -2.33% | Disposed | -45.8% (price as of 2026-08-19) |
| Aug. 16, 2021 | PCF | S | 5,000 | $9.94 | $49,700 | 28,129 Direct | -15.09% | Disposed | -45.8% (price as of 2026-08-19) |
| Aug. 16, 2021 | PCF | S | 5,000 | $9.93 | $49,650 | 33,129 Direct | -13.11% | Disposed | -45.7% (price as of 2026-08-19) |
| Aug. 13, 2021 | PCF | S | 5,000 | $9.92 | $49,600 | 53,439 Direct | -8.56% | Disposed | -45.6% (price as of 2026-08-19) |
| Aug. 13, 2021 | PCF | S | 14,401 | $9.92 | $142,858 | 39,038 Direct | -26.95% | Disposed | -45.6% (price as of 2026-08-19) |
| Aug. 11, 2021 | PCF | S | 10,000 | $9.89 | $98,900 | 58,439 Direct | -14.61% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 11, 2021 | PCF | S | 17,718 | $9.89 | $175,231 | 68,439 Direct | -20.56% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 10, 2021 | PCF | S | 7,659 | $9.89 | $75,748 | 86,157 Direct | -8.16% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 9, 2021 | PCF | S | 5,000 | $9.89 | $49,450 | 93,816 Direct | -5.06% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 9, 2021 | PCF | S | 5,000 | $9.90 | $49,500 | 98,816 Direct | -4.82% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 9, 2021 | PCF | S | 5,743 | $9.90 | $56,856 | 103,816 Direct | -5.24% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 9, 2021 | PCF | S | 3,104 | $9.89 | $30,699 | 109,559 Direct | -2.76% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 6, 2021 | PCF | S | 3,133 | $9.90 | $31,017 | 112,663 Direct | -2.71% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 6, 2021 | PCF | S | 3,135 | $9.89 | $31,005 | 115,796 Direct | -2.64% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 6, 2021 | PCF | S | 6,870 | $9.89 | $67,944 | 118,931 Direct | -5.46% | Disposed | -45.5% (price as of 2026-08-19) |
| Aug. 5, 2021 | PCF | S | 12,758 | $9.87 | $125,921 | 125,801 Direct | -9.21% | Disposed | -45.4% (price as of 2026-08-19) |
| Aug. 5, 2021 | PCF | S | 1,805 | $9.86 | $17,797 | 138,559 Direct | -1.29% | Disposed | -45.3% (price as of 2026-08-19) |
| Aug. 4, 2021 | PCF | S | 5,000 | $9.85 | $49,250 | 140,364 Direct | -3.44% | Disposed | -45.3% (price as of 2026-08-19) |
| Aug. 4, 2021 | PCF | S | 1,112 | $9.88 | $10,987 | 145,364 Direct | -0.76% | Disposed | -45.4% (price as of 2026-08-19) |
| Aug. 4, 2021 | PCF | S | 501 | $9.87 | $4,945 | 146,476 Direct | -0.34% | Disposed | -45.4% (price as of 2026-08-19) |
| Aug. 4, 2021 | PCF | S | 1,142 | $9.86 | $11,260 | 146,977 Direct | -0.77% | Disposed | -45.3% (price as of 2026-08-19) |
| Aug. 4, 2021 | PCF | S | 3,119 | $9.85 | $30,722 | 148,119 Direct | -2.06% | Disposed | -45.3% (price as of 2026-08-19) |
| Aug. 3, 2021 | PCF | S | 5,827 | $9.87 | $57,512 | 151,238 Direct | -3.71% | Disposed | -45.4% (price as of 2026-08-19) |
| Aug. 3, 2021 | PCF | S | 5,000 | $9.86 | $49,300 | 157,065 Direct | -3.09% | Disposed | -45.3% (price as of 2026-08-19) |
| Aug. 3, 2021 | PCF | S | 1,641 | $9.86 | $16,180 | 162,065 Direct | -1.00% | Disposed | -45.3% (price as of 2026-08-19) |
| July 2, 2021 | SWZ | S | 1,212 | $9.79 | $11,865 | 16,783 Direct | -6.74% | Disposed | -39.5% (price as of 2026-08-19) |
Showing latest 100 of 346 transactions
P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding
Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.
Derivative holdings (Form 4 Table II)
Options, RSUs and convertible securities reported on Form 4 Table II.
| Date | Ticker | Security | Underlying | Exercise price | Expiration | Shares | A/D |
|---|---|---|---|---|---|---|---|
| March 5, 2026 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (6,645) | $0.00 | — | 3,952 | Acquired |
| March 4, 2026 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (168) | $0.00 | — | 100 | Acquired |
| March 2, 2026 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (168) | $0.00 | — | 100 | Acquired |
| Feb. 27, 2026 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (9,787) | $0.00 | — | 5,821 | Acquired |
| Feb. 26, 2026 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (45) | $0.00 | — | 27 | Acquired |
| Feb. 24, 2026 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (50) | $0.00 | — | 30 | Acquired |
| Feb. 23, 2026 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (168) | $0.00 | — | 100 | Acquired |
| Aug. 22, 2025 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (4,591) | $0.00 | — | 3,000 | Disposed |
| Oct. 15, 2024 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (888) | $0.00 | — | 618 | Disposed |
| Dec. 29, 2023 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (4,101) | $0.00 | — | 3,008 | Disposed |
| Dec. 28, 2023 | SPE | 2.75% Convertible Preferred Stock, Series C [F2] | Common Stock (3,576) | $0.00 | — | 2,623 | Disposed |
| Jan. 27, 2022 | SPE | 2.75% Convertible Preferred Stock, Series C [F1] | Common Stock | $0.00 | — | 9,369 | Acquired |
| June 24, 2021 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (5,475) | $0.00 | — | 2,800 | Disposed |
| June 7, 2021 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (5,436) | $0.00 | — | 2,800 | Acquired |
| June 19, 2020 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (1,503) | $0.00 | — | 842 | Disposed |
| June 19, 2020 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (3,951) | $0.00 | — | 2,213 | Disposed |
| June 8, 2020 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (17,852) | $0.00 | — | 10,000 | Disposed |
| June 8, 2020 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (29,570) | $0.00 | — | 16,564 | Disposed |
| Feb. 21, 2020 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (4,573) | $0.00 | — | 2,613 | Acquired |
| Feb. 14, 2020 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (174) | $0.00 | — | 100 | Acquired |
| Feb. 13, 2020 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (1,565) | $0.00 | — | 900 | Acquired |
| Feb. 8, 2019 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (218) | $0.00 | — | 165 | Acquired |
| Jan. 8, 2019 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (3,947) | $0.00 | — | 3,000 | Acquired |
| Jan. 4, 2019 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (3,290) | $0.00 | — | 2,500 | Acquired |
| Jan. 3, 2019 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (3,947) | $0.00 | — | 3,000 | Acquired |
| Jan. 3, 2019 | SPE | 3.50% Convertible Preferred Stock Series B | Common Stock (3,947) | $0.00 | — | 3,000 | Acquired |
| Aug. 26, 2016 | SPE | 3.50% Convertible Preferred Stock, Series B | Common Stock (1,108) | $0.00 | — | 842 | Acquired |
| Aug. 26, 2016 | SPE | Subscription Rights (right to buy) [F1] | 3.50% Convertible Preferred Stock, Series B (842) | $25.00 | Aug. 26, 2016 | 842 | Disposed |
| Aug. 26, 2016 | SPE | 3.50% Convertible Preferred Stock, Series B | Common Stock (21,709) | $0.00 | — | 16,499 | Acquired |
| Aug. 26, 2016 | SPE | Subscription Rights (right to buy) [F1] | 3.50% Convertible Preferred Stock, Series B (16,499) | $25.00 | Aug. 26, 2016 | 16,499 | Disposed |
| Feb. 25, 2014 | SPE | 3% convertible preferred stock, series A | Common Stock (1,917) | $0.00 | — | 516 | Disposed |
| Feb. 25, 2014 | SPE | 3% convertible preferred stock, series A | Common Stock (81) | $0.00 | — | 22 | Disposed |
| Feb. 25, 2014 | SPE | 3% convertible preferred stock, series A | Common Stock (13,641) | $0.00 | — | 3,671 | Disposed |
| Feb. 25, 2014 | SPE | 3% convertible preferred stock, series A | Common Stock (3,192) | $0.00 | — | 859 | Disposed |
| March 22, 2013 | SPE | 3% convertible prefered stock, series A | Common Stock (2,113) | $0.00 | — | 662 | Acquired |
| Feb. 25, 2013 | SPE | 3.00% Convertible Preferred Stock, Series A | Common Stock (60) | $0.00 | — | 20 | Acquired |
| July 30, 2012 | SPE | 3.00% Convertible Preferred Stock, Series A | Common Stock (66) | $0.00 | — | 22 | Acquired |
| July 30, 2012 | SPE | Subscription Rights (right to buy) [F2] | 3.00% Convertible Preferred Stock, Series A (11) | $50.00 | July 23, 2012 | 11 | Disposed |
| July 30, 2012 | SPE | 3.00% Convertible Preferred Stock, Series A | Common Stock (8,967) | $0.00 | — | 2,989 | Acquired |
| July 30, 2012 | SPE | Subscription Rights (right to buy) [F2] | 3.00% Convertible Preferred Stock, Series A (1,450) | $50.00 | July 23, 2012 | 1,450 | Disposed |
| Aug. 14, 2009 | MXE | Preferred Stock | Common Stock | — | — | 26,264 | Disposed |
| Dec. 26, 2008 | MXE | Preferred Stock | Common Stock | — | — | 11,146 | Disposed |
| July 2, 2008 | MXE | Preferred Stock | Common Stock | — | — | 17,365 | Disposed |
| Nov. 16, 2007 | MXE | Preferred Stock | Common Stock | — | — | 26,425 | Disposed |
| Jan. 5, 2006 | MXE | Preferred Stock | Common Stock | — | — | 81,200 | Acquired |
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 9 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Aug. 29, 2019 | HERZ | Common Stock | 391,087 | Direct |
| Aug. 23, 2019 | HERZ | Common Stock | 386,087 | Direct |
| July 6, 2018 | SWZ | Common Stock | 12,759 | Direct |
| July 6, 2018 | SWZ | Common Stock | 1,288,630 | Indirect |
| June 29, 2018 | PCF | Common Stock | 1,467,211 | Indirect |
| June 29, 2018 | PCF | Common Stock | 17,013 | Direct |
| Sept. 14, 2009 | SPE | Common Stock | 62,626 | Direct |
| Sept. 14, 2009 | SPE | Common Stock | 98,809 | Indirect |
| May 6, 2008 | ASA | Common Shares - Par Value U.S. $1.00 | 0 | Direct |