UBS AG
Insider
First SEC filing: Nov. 13, 2014 · Latest: Nov. 13, 2014
Institution
Insider at
Insider transactions
0 buys (P)
0 sells (S)
Net: $0
Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted
| Date | Ticker | Code | Shares | Price | Value | Owned after | Δ own | A/D | vs now |
|---|---|---|---|---|---|---|---|---|---|
| Nov. 12, 2014 | 1181250 | J | 37 | · | · | 1,078 Indirect | -3.32% | Disposed | |
| Nov. 11, 2014 | 1181249 | J | 14 | · | · | 0 Indirect | -100.00% | Disposed | |
| Nov. 10, 2014 | 1181250 | J | 35 | · | · | 1,115 Indirect | -3.04% | Disposed | |
| Nov. 6, 2014 | 1181250 | J | 47 | · | · | 1,150 Indirect | -3.93% | Disposed | |
| Oct. 24, 2014 | NCZ | J | 2 | · | · | 5,636 Indirect | +0.04% | Acquired | (price as of 2026-10-02) |
| June 10, 2014 | 1181250 | J | 51 | · | · | 1,199 Indirect | -4.08% | Disposed | |
| June 9, 2014 | 1181249 | J | 38 | · | · | 14 Indirect | -73.08% | Disposed | |
| June 9, 2014 | 1181250 | J | 48 | · | · | 1,250 Indirect | -3.70% | Disposed | |
| June 5, 2014 | 1181250 | J | 67 | · | · | 1,298 Indirect | -4.91% | Disposed | |
| May 12, 2014 | 902750 | J | 176 | · | · | 0 Indirect | -100.00% | Disposed | |
| May 9, 2014 | 902748 | J | 141 | · | · | 0 Indirect | -100.00% | Disposed | |
| May 8, 2014 | 902750 | J | 113 | · | · | 176 Indirect | -39.10% | Disposed | |
| May 7, 2014 | 902748 | J | 138 | · | · | 141 Indirect | -49.46% | Disposed | |
| May 5, 2014 | 1183829 | J | 513 | · | · | 0 Indirect | -100.00% | Disposed | |
| April 28, 2014 | 1181249 | J | 15 | · | · | 52 Indirect | -22.39% | Disposed | |
| April 28, 2014 | 1181249 | J | 16 | · | · | 51 Indirect | -23.88% | Disposed | |
| April 2, 2014 | EFR | P | 2 | · | · | 2,833 Indirect | +0.07% | Acquired | (price as of 2026-10-02) |
| March 18, 2014 | 1166258 | J | 256 | · | · | 0 Indirect | -100.00% | Disposed | |
| March 14, 2014 | 1233087 | S | 1 | · | · | 593 Indirect | -0.17% | Disposed | |
| March 14, 2014 | 1166258 | J | 121 | · | · | 256 Indirect | -32.10% | Disposed | |
| March 13, 2014 | 1166258 | J | 391 | · | · | 377 Indirect | -50.91% | Disposed | |
| March 3, 2014 | 1181250 | J | 183 | · | · | 1,365 Indirect | -11.82% | Disposed | |
| Feb. 27, 2014 | 1181250 | J | 126 | · | · | 1,548 Indirect | -7.53% | Disposed | |
| Feb. 25, 2014 | EVF | P | 1 | · | · | 1,893 Indirect | +0.05% | Acquired | (price as of 2026-10-02) |
| Feb. 25, 2014 | PFN | P | 1 | · | · | 1,422 Indirect | +0.07% | Acquired | (price as of 2026-10-02) |
| Feb. 25, 2014 | PTY | P | 1 | · | · | 3,242 Indirect | +0.03% | Acquired | (price as of 2026-10-02) |
| Feb. 3, 2014 | PFN | P | 1 | · | · | 1,421 Indirect | +0.07% | Acquired | (price as of 2026-10-02) |
| Jan. 21, 2014 | 1181250 | J | 101 | · | · | 1,674 Indirect | -5.69% | Disposed | |
| Jan. 16, 2014 | 1181250 | J | 69 | · | · | 1,775 Indirect | -3.74% | Disposed | |
| Jan. 6, 2014 | 1181250 | J | 47 | · | · | 1,844 Indirect | -2.49% | Disposed | |
| Jan. 6, 2014 | LEO | J | 82 | · | · | 2,324 Indirect | -3.41% | Disposed | (price as of 2026-10-02) |
| Jan. 6, 2014 | 1181249 | J | 35 | · | · | 67 Indirect | -34.31% | Disposed | |
| Jan. 3, 2014 | 839122 | J | 97 | · | · | 825 Indirect | -10.52% | Disposed | |
| Jan. 3, 2014 | LEO | J | 114 | · | · | 2,406 Indirect | -4.52% | Disposed | (price as of 2026-10-02) |
| Jan. 2, 2014 | DSM | J | 123 | · | · | 1,487 Indirect | -7.64% | Disposed | (price as of 2026-10-02) |
| Jan. 2, 2014 | 1181250 | J | 67 | · | · | 1,891 Indirect | -3.42% | Disposed | |
| Jan. 2, 2014 | 839122 | J | 140 | · | · | 922 Indirect | -13.18% | Disposed | |
| Jan. 2, 2014 | LEO | J | 291 | · | · | 2,520 Indirect | -10.35% | Disposed | (price as of 2026-10-02) |
| Dec. 31, 2013 | 1181250 | J | 51 | · | · | 1,958 Indirect | -2.54% | Disposed | |
| Dec. 31, 2013 | 1181250 | J | 51 | · | · | 1,958 Indirect | -2.54% | Disposed | |
| Dec. 31, 2013 | LEO | J | 170 | · | · | 2,811 Indirect | -5.70% | Disposed | (price as of 2026-10-02) |
| Dec. 31, 2013 | DSM | J | 284 | · | · | 1,611 Indirect | -14.99% | Disposed | (price as of 2026-10-02) |
| Dec. 6, 2013 | 1305767 | J | 397 | · | · | 0 Indirect | -100.00% | Disposed | |
| Dec. 5, 2013 | 1305767 | J | 739 | · | · | 397 Indirect | -65.05% | Disposed | |
| Dec. 3, 2013 | 1181250 | J | 60 | · | · | 2,009 Indirect | -2.90% | Disposed | |
| Dec. 3, 2013 | 1181250 | J | 61 | · | · | 2,008 Indirect | -2.95% | Disposed | |
| Dec. 3, 2013 | 1305767 | J | 458 | · | · | 1,136 Indirect | -28.73% | Disposed | |
| Dec. 2, 2013 | 1181249 | J | 60 | · | · | 102 Indirect | -37.04% | Disposed | |
| Dec. 2, 2013 | 1181250 | J | 57 | · | · | 2,069 Indirect | -2.68% | Disposed | |
| Nov. 29, 2013 | 1181250 | J | 81 | · | · | 2,126 Indirect | -3.67% | Disposed | |
| Nov. 12, 2013 | EFR | P | 1 | · | · | 2,831 Indirect | +0.04% | Acquired | (price as of 2026-10-02) |
| Nov. 8, 2013 | 1162028 | P | 1 | · | · | 351 Indirect | +0.29% | Acquired | |
| Oct. 28, 2013 | 1181249 | J | 207 | · | · | 162 Indirect | -56.10% | Disposed | |
| Oct. 18, 2013 | NCV | P | 1 | · | · | 8,056 Indirect | +0.01% | Acquired | (price as of 2026-10-02) |
| Oct. 9, 2013 | 1181250 | J | 54 | · | · | 2,207 Indirect | -2.39% | Disposed | |
| Oct. 8, 2013 | 1181250 | J | 41 | · | · | 2,261 Indirect | -1.78% | Disposed | |
| Oct. 7, 2013 | 1181250 | J | 38 | · | · | 2,302 Indirect | -1.62% | Disposed | |
| Sept. 12, 2013 | 1181250 | J | 59 | · | · | 2,340 Indirect | -2.46% | Disposed | |
| Sept. 10, 2013 | 1181250 | J | 45 | · | · | 2,399 Indirect | -1.84% | Disposed | |
| Sept. 9, 2013 | 1181250 | J | 42 | · | · | 2,444 Indirect | -1.69% | Disposed | |
| Sept. 9, 2013 | 1181249 | J | 43 | · | · | 369 Indirect | -10.44% | Disposed | |
| Aug. 30, 2013 | LEO | J | 84 | · | · | 2,981 Indirect | -2.74% | Disposed | (price as of 2026-10-02) |
| Aug. 30, 2013 | 839122 | J | 73 | · | · | 1,062 Indirect | -6.43% | Disposed | |
| Aug. 29, 2013 | 839122 | J | 103 | · | · | 1,135 Indirect | -8.32% | Disposed | |
| Aug. 29, 2013 | DSM | J | 96 | · | · | 1,895 Indirect | -4.82% | Disposed | (price as of 2026-10-02) |
| Aug. 29, 2013 | LEO | J | 93 | · | · | 3,065 Indirect | -2.94% | Disposed | (price as of 2026-10-02) |
| Aug. 28, 2013 | LEO | J | 124 | · | · | 3,158 Indirect | -3.78% | Disposed | (price as of 2026-10-02) |
| Aug. 28, 2013 | DSM | J | 113 | · | · | 1,991 Indirect | -5.37% | Disposed | (price as of 2026-10-02) |
| Aug. 27, 2013 | DSM | J | 117 | · | · | 1,987 Indirect | -5.56% | Disposed | (price as of 2026-10-02) |
| Aug. 27, 2013 | LEO | J | 127 | · | · | 3,282 Indirect | -3.73% | Disposed | (price as of 2026-10-02) |
| Aug. 26, 2013 | DSM | J | 109 | · | · | 2,104 Indirect | -4.93% | Disposed | (price as of 2026-10-02) |
| Aug. 26, 2013 | LEO | J | 59 | · | · | 3,409 Indirect | -1.70% | Disposed | (price as of 2026-10-02) |
| Aug. 6, 2013 | 1181250 | J | 191 | · | · | 2,486 Indirect | -7.13% | Disposed | |
| Aug. 5, 2013 | 1181250 | J | 178 | · | · | 2,677 Indirect | -6.23% | Disposed | |
| Aug. 1, 2013 | 1181250 | J | 252 | · | · | 2,855 Indirect | -8.11% | Disposed | |
| July 1, 2013 | 1181249 | J | 151 | · | · | 412 Indirect | -26.82% | Disposed | |
| June 19, 2013 | 1222922 | P | 4 | · | · | 5,148 Indirect | +0.08% | Acquired | |
| May 28, 2013 | 1181250 | J | 73 | · | · | 3,107 Indirect | -2.30% | Disposed | |
| May 23, 2013 | 1181250 | J | 50 | · | · | 3,180 Indirect | -1.55% | Disposed | |
| April 16, 2013 | PFN | J | 2 | · | · | 1,420 Indirect | +0.14% | Acquired | (price as of 2026-10-02) |
| April 16, 2013 | NCV | J | 1 | · | · | 8,055 Indirect | +0.01% | Acquired | (price as of 2026-10-02) |
| Jan. 31, 2013 | 1181250 | J | 16 | · | · | 3,230 Indirect | -0.49% | Disposed | |
| Jan. 29, 2013 | NCV | J | 1 | · | · | 8,054 Indirect | +0.01% | Acquired | (price as of 2026-10-02) |
| Jan. 28, 2013 | 1181249 | J | 291 | · | · | 563 Indirect | -34.07% | Disposed | |
| Jan. 28, 2013 | 1181250 | J | 3 | · | · | 3,246 Indirect | -0.09% | Disposed | |
| Jan. 23, 2013 | 1181250 | J | 211 | · | · | 3,249 Indirect | -6.10% | Disposed | |
| Jan. 23, 2013 | 1181249 | J | 71 | · | · | 854 Indirect | -7.68% | Disposed | |
| Dec. 26, 2012 | DNP | J | 3,809 | · | · | 0 Indirect | -100.00% | Disposed | (price as of 2026-10-02) |
| Dec. 24, 2012 | DNP | J | 3,845 | · | · | 3,809 Indirect | -50.24% | Disposed | (price as of 2026-10-02) |
| Dec. 19, 2012 | EFT | J | 1,644 | · | · | 0 Indirect | -100.00% | Disposed | (price as of 2026-10-02) |
| Dec. 7, 2012 | PTY | J | 3 | · | · | 3,241 Indirect | +0.09% | Acquired | (price as of 2026-10-02) |
| Dec. 6, 2012 | 1222922 | J | 2 | · | · | 5,144 Indirect | +0.04% | Acquired | |
| Nov. 2, 2012 | 902750 | J | 1 | · | · | 289 Indirect | +0.35% | Acquired | |
| Sept. 18, 2012 | MFM | J | 467 | · | · | 0 Indirect | -100.00% | Disposed | (price as of 2026-10-02) |
| Sept. 5, 2012 | 1166258 | J | 2 | · | · | 768 Indirect | +0.26% | Acquired | |
| Aug. 1, 2012 | PFN | J | 1 | · | · | 1,418 Indirect | +0.07% | Acquired | (price as of 2026-10-02) |
| July 25, 2012 | NCV | J | 3 | · | · | 8,053 Indirect | +0.04% | Acquired | (price as of 2026-10-02) |
| July 24, 2012 | 902731 | J | 148 | · | · | 0 Indirect | -100.00% | Disposed | |
| July 20, 2012 | 902717 | J | 243 | · | · | 0 Indirect | -100.00% | Disposed | |
| July 7, 2012 | 1258943 | J | 2 | · | · | 2,286 Indirect | +0.09% | Acquired |
Showing latest 100 of 1212 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 |
|---|---|---|---|---|---|---|---|
| May 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3 | Disposed |
| May 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 12,000 | Disposed |
| May 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,000 | Disposed |
| May 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 800 | Disposed |
| May 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 12,000 | Acquired |
| May 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 6,029 | Acquired |
| May 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,000 | Acquired |
| May 1, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 4,800 | Disposed |
| May 1, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,200 | Disposed |
| May 1, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 4,713 | Disposed |
| May 1, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 4,713 | Acquired |
| April 24, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 1,300 | Disposed |
| April 24, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 2,100 | Acquired |
| April 24, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,000 | Acquired |
| April 24, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 7,100 | Acquired |
| April 23, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,000 | Disposed |
| April 23, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 27,000 | Disposed |
| April 23, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 17,500 | Acquired |
| April 23, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 2,900 | Acquired |
| April 23, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,000 | Acquired |
| April 23, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 9,500 | Acquired |
| April 23, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 14,500 | Acquired |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 6,000 | Disposed |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 6,000 | Acquired |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 18,600 | Disposed |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,600 | Disposed |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 1,770 | Disposed |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 14,400 | Disposed |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 155 | Disposed |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 4,725 | Acquired |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 19,000 | Acquired |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 14,400 | Acquired |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 5,000 | Acquired |
| April 22, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 80,500 | Acquired |
| April 21, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,000 | Acquired |
| April 21, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 8,900 | Disposed |
| April 21, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,295 | Disposed |
| April 21, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,000 | Disposed |
| April 21, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 15,000 | Disposed |
| April 21, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,000 | Acquired |
| April 21, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 2,195 | Acquired |
| April 18, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 19,900 | Disposed |
| April 18, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 2,400 | Disposed |
| April 18, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,000 | Disposed |
| April 18, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 1,563 | Disposed |
| April 18, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,000 | Acquired |
| April 18, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 36,800 | Acquired |
| April 17, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,700 | Disposed |
| April 17, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 1,820 | Disposed |
| April 17, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 2,604 | Disposed |
| April 17, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 11,820 | Acquired |
| April 17, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,600 | Acquired |
| April 16, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,000 | Disposed |
| April 16, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,000 | Acquired |
| April 15, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 4,600 | Disposed |
| April 15, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 366 | Disposed |
| April 15, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 12,100 | Acquired |
| April 14, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 4,700 | Disposed |
| April 14, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 7,500 | Disposed |
| April 14, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 1,600 | Disposed |
| April 14, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 9,100 | Acquired |
| April 14, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 7,700 | Acquired |
| April 11, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 5,500 | Disposed |
| April 11, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 5,000 | Disposed |
| April 11, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 5,000 | Acquired |
| April 11, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 1,010 | Acquired |
| April 11, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 4,490 | Acquired |
| April 10, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 20,300 | Acquired |
| April 10, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 9,000 | Acquired |
| April 10, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 20,000 | Acquired |
| April 10, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 32,800 | Acquired |
| April 10, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 29,000 | Disposed |
| April 10, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 5,700 | Disposed |
| April 10, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 20,300 | Disposed |
| April 9, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 6,500 | Disposed |
| April 9, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 6,500 | Acquired |
| April 7, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 12,000 | Disposed |
| April 7, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 12,000 | Acquired |
| April 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 940 | Disposed |
| April 2, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 940 | Acquired |
| March 31, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 41,175 | Disposed |
| March 31, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 41,175 | Acquired |
| March 28, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 25,825 | Disposed |
| March 28, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 25,825 | Acquired |
| March 26, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 5,000 | Disposed |
| March 26, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 5,000 | Acquired |
| March 26, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 166,700 | Acquired |
| March 25, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,000 | Disposed |
| March 25, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 125,100 | Disposed |
| March 25, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 10,500 | Disposed |
| March 25, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,500 | Disposed |
| March 25, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 500 | Disposed |
| March 25, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 500 | Acquired |
| March 24, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 32,100 | Disposed |
| March 24, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 8,900 | Disposed |
| March 24, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 14,145 | Disposed |
| March 20, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 1,800 | Disposed |
| March 20, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 8,200 | Disposed |
| March 20, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 3,000 | Disposed |
| March 20, 2008 | 1326205 | Warrants (Right to Buy) | Common Stock | $5.00 | March 3, 2011 | 360 | Disposed |
Showing latest 100 of 344 transactions
Exercise/conversion price is blank when not applicable (e.g. RSUs).
Initial ownership (Form 3) 145 holdings
Securities held when first becoming an insider, per SEC Form 3.
| Date | Ticker | Security | Shares | Ownership |
|---|---|---|---|---|
| Aug. 10, 2011 | 879361 | Auction Preferred Stock [F3] | 134 | Indirect |
| July 12, 2010 | 1166258 | Auction Preferred Stock (CUSIP No[s].) [F3] | 747 | Indirect |
| June 10, 2010 | 882153 | Auction Preferred Stock [F3] | 289 | Indirect |
| June 10, 2010 | 1038186 | Auction Preferred Stock [F3] | 858 | Indirect |
| June 10, 2010 | 880893 | Auction Preferred Stock (CUSIP No[s]. 920928207, 920928306) | 238 | Indirect |
| June 10, 2010 | 1227073 | Auction Preferred Stock (CUSIP No[s]. 30024Y302) | 110 | Indirect |
| June 10, 2010 | BGT | Auction Preferred Stock [F3] | · | Indirect |
| June 10, 2010 | VTN | Auction Preferred Stock [F3] | 353 | Indirect |
| May 10, 2010 | 842891 | Auction Preferred Stock [F3] | 54 | Indirect |
| May 10, 2010 | IQI | Auction Preferred Stock [F3] | 266 | Indirect |
| April 12, 2010 | 880893 | Auction Preferred Stock (CUSIP No[s]. 920928207 920928306 | 236 | Indirect |
| March 10, 2010 | 894146 | Auction Preferred Stock [F3] | 116 | Indirect |
| March 10, 2010 | 861185 | Auction Preferred Stock (CUSIP No[s]. 61745P353 | 46 | Indirect |
| March 10, 2010 | 898659 | Auction Preferred Stock (CUSIP No[s]. 61745P494 61745P510 | 41 | Indirect |
| March 10, 2010 | 1137391 | Auction Preferred Stock [F3] | 722 | Indirect |
| Dec. 10, 2009 | 878242 | Auction Preferred Stock [F3] | 2,525 | Indirect |
| Nov. 9, 2009 | 898659 | Auction Preferred Stock [F3] | 41 | Indirect |
| July 9, 2009 | 1038186 | Auction Preferred Stock [F3] | 830 | Indirect |
| June 10, 2009 | BGT | Auction Preferred Stock [F3] | · | Indirect |
| June 10, 2009 | PFL | Auction Preferred Stock [F3] | 353 | Indirect |
| May 12, 2009 | 1229876 | Auction Preferred Stock [F3] | 205 | Indirect |
| May 11, 2009 | NZF | Auction Preferred Stock [F3] | 970 | Indirect |
| March 10, 2009 | RQI | Auction Preferred Stock CUSIP No[s]. [F3] | 519 | Indirect |
| Feb. 10, 2009 | 902722 | Auction Preferred Stock (CUSIP No[s]. [09247U206] ) | 142 | Indirect |
| Feb. 10, 2009 | 1181027 | Auction Preferred Stock (CUSIP No[s]. [092484203] ) | 402 | Indirect |
| Feb. 10, 2009 | 1181249 | Auction Preferred Stock (CUSIP No[s]. [09250M208] ) | 899 | Indirect |
| Feb. 10, 2009 | 1181250 | Auction Preferred Stock [F3] | 3,402 | Indirect |
| Feb. 10, 2009 | 902731 | Auction Preferred Stock (CUSIP No[s]. [09247C206] ) | 143 | Indirect |
| Feb. 10, 2009 | 902717 | Auction Preferred Stock (CUSIP No[s]. [09247E202] ) | 233 | Indirect |
| Feb. 10, 2009 | DNP | Auction Preferred Stock [F3] | 15,070 | Indirect |
| Feb. 10, 2009 | 839122 | Auction Preferred Stock [F3] | 1,590 | Indirect |
| Feb. 10, 2009 | DSM | Auction Preferred Stock [F3] | 2,698 | Indirect |
| Feb. 10, 2009 | LEO | Auction Preferred Stock [F3] | 4,135 | Indirect |
| Feb. 10, 2009 | 1294178 | Auction Preferred Stock [F3] | 1,225 | Indirect |
| Feb. 10, 2009 | 1231160 | Auction Preferred Stock [F3] | 1,059 | Indirect |
| Feb. 10, 2009 | 1179126 | Auction Preferred Stock [F3] | 1,096 | Indirect |
| Feb. 10, 2009 | 1074692 | Auction Preferred Stock (CUSIP No[s]. [27826F200] ) | 574 | Indirect |
| Feb. 10, 2009 | 1196869 | Auction Preferred Stock (CUSIP No[s]. [27828C205] ) | 574 | Indirect |
| Feb. 10, 2009 | 1196871 | Auction Preferred Stock (CUSIP No[s]. [27828K207] ) | 385 | Indirect |
| Feb. 10, 2009 | 1196872 | Auction Preferred Stock (CUSIP No[s]. [27828M203] ) | 273 | Indirect |
| Feb. 10, 2009 | 1196867 | Auction Preferred Stock [F3] | 878 | Indirect |
| Feb. 10, 2009 | 1196874 | Auction Preferred Stock (CUSIP No[s]. [27828R202] ) | 443 | Indirect |
| Feb. 10, 2009 | 1196875 | Auction Preferred Stock (CUSIP No[s]. [27828T208] ) | 194 | Indirect |
| Feb. 10, 2009 | 1196876 | Auction Preferred Stock (CUSIP No[s]. [27828L205] ) | 405 | Indirect |
| Feb. 10, 2009 | 1196877 | Auction Preferred Stock (CUSIP No[s]. [27828W201] ) | 346 | Indirect |
| Feb. 10, 2009 | 1074690 | Auction Preferred Stock (CUSIP No[s]. [27826E203] ) | 395 | Indirect |
| Feb. 10, 2009 | 1074688 | Auction Preferred Stock (CUSIP No[s]. [27826D205] ) | 249 | Indirect |
| Feb. 10, 2009 | EVN | Auction Preferred Stock [F3] | 1,082 | Indirect |
| Feb. 10, 2009 | EVN | Auction Preferred Stock (CUSIP No[s]. 27826W203 ) | 440 | Indirect |
| Feb. 10, 2009 | 1074684 | Auction Preferred Stock (CUSIP No[s]. 27826B209 ) | 419 | Indirect |
| Feb. 10, 2009 | 1074691 | Auction Preferred Stock (CUSIP No[s]. 27826V205 ) | 549 | Indirect |
| Feb. 10, 2009 | 1074686 | Auction Preferred Stock (CUSIP No[s]. 27826G208 ) | 531 | Indirect |
| Feb. 10, 2009 | 1074687 | Auction Preferred Stock (CUSIP No[s]. 27826T200 ) | 234 | Indirect |
| Feb. 10, 2009 | EVF | Auction Preferred Stock [F3] | 1,576 | Indirect |
| Feb. 10, 2009 | 1183829 | Auction Preferred Stock (CUSIP No[s]. 31849P203 ) | 484 | Indirect |
| Feb. 10, 2009 | 901824 | Auction Preferred Stock [F3] | 96 | Indirect |
| Feb. 10, 2009 | NCZ | Auction Preferred Stock [F3] | 4,957 | Indirect |
| Feb. 10, 2009 | NCV | Auction Preferred Stock [F3] | 6,972 | Indirect |
| Feb. 10, 2009 | 1313259 | Auction Preferred Stock (CUSIP No[s]. 6706EV201 ) | 51 | Indirect |
| Feb. 10, 2009 | 1265708 | Auction Preferred Stock (CUSIP No[s]. 67090H201 ) | 411 | Indirect |
| Feb. 10, 2009 | 1170300 | Auction Preferred Stock [F3] | 3,681 | Indirect |
| Feb. 10, 2009 | 1181504 | Auction Preferred Stock [F3] | 3,327 | Indirect |
| Feb. 10, 2009 | PCQ | Auction Preferred Stock [F3] | 4,193 | Indirect |
| Feb. 10, 2009 | PML | Auction Preferred Stock [F3] | 9,135 | Indirect |
| Feb. 10, 2009 | 1181506 | Auction Preferred Stock [F3] | 5,049 | Indirect |
| Feb. 10, 2009 | 1140392 | Auction Preferred Stock [F3] | 5,503 | Indirect |
| Feb. 10, 2009 | 1181505 | Auction Preferred Stock (CUSIP No[s]. 72201E204 ) | 1,004 | Indirect |
| Feb. 10, 2009 | PNI | Auction Preferred Stock [F3] | 1,954 | Indirect |
| Feb. 10, 2009 | 1140410 | Auction Preferred Stock (CUSIP No[s]. 72200T301 ) | 1,261 | Indirect |
| Feb. 10, 2009 | 1258943 | Auction Preferred Stock [F3] | 2,073 | Indirect |
| Feb. 10, 2009 | 1223026 | Auction Preferred Stock [F3] | 1,428 | Indirect |
| Feb. 10, 2009 | 890515 | Auction Preferred Stock (CUSIP No[s]. 92112R201 ) | 244 | Indirect |
| Feb. 10, 2009 | PTY | Auction Preferred Stock [F3] | 4,489 | Indirect |
| Feb. 10, 2009 | 1162028 | Auction Preferred Stock [F3] | 344 | Indirect |
| Feb. 10, 2009 | AFB | Auction Preferred Stock [F3] | · | Indirect |
| Feb. 10, 2009 | 902750 | Auction Preferred Stock [F3] | 270 | Indirect |
| Feb. 10, 2009 | 1181026 | Auction Preferred Stock (CUSIP No[s]. 09250G201) | 289 | Indirect |
| Feb. 10, 2009 | 1181187 | Auction Preferred Stock [F3] | 1,062 | Indirect |
| Feb. 10, 2009 | 894242 | Auction Preferred Stock [F3] | 573 | Indirect |
| Feb. 10, 2009 | 1137392 | Auction Preferred Stock (CUSIP No[s]. 09248H204) | 314 | Indirect |
| Feb. 10, 2009 | 1045126 | Auction Preferred Stock [F3] | 2,045 | Indirect |
| Feb. 10, 2009 | 835948 | Auction Preferred Stock [F3] | 1,269 | Indirect |
| Feb. 10, 2009 | 911308 | Auction Preferred Stock [F3] | 162 | Indirect |
| Feb. 10, 2009 | 882152 | Auction Preferred Stock [F3] | 733 | Indirect |
| Feb. 10, 2009 | 888410 | Auction Preferred Stock [F3] | 832 | Indirect |
| Feb. 10, 2009 | 891188 | Auction Preferred Stock [F3] | 424 | Indirect |
| Feb. 10, 2009 | 882153 | Auction Preferred Stock [F3] | 444 | Indirect |
| Feb. 10, 2009 | 882151 | Auction Preferred Stock [F3] | 481 | Indirect |
| Feb. 10, 2009 | MIY | Auction Preferred Stock [F3] | 698 | Indirect |
| Feb. 10, 2009 | 1169031 | Auction Preferred Stock (CUSIP No[s]. 09249A208) | 93 | Indirect |
| Feb. 10, 2009 | 1137440 | Auction Preferred Stock (CUSIP No[s]. 09248J200) | 289 | Indirect |
| Feb. 10, 2009 | 1181024 | Auction Preferred Stock (CUSIP No[s]. 09249U204) | 316 | Indirect |
| Feb. 10, 2009 | 1089821 | Auction Preferred Stock (CUSIP No[s]. 09248R202) | 110 | Indirect |
| Feb. 10, 2009 | 1215664 | Auction Preferred Stock [F3] | 1,038 | Indirect |
| Feb. 10, 2009 | CSQ | Auction Preferred Stock [F3] | · | Indirect |
| Feb. 10, 2009 | 1340735 | Auction Preferred Stock (CUSIP No[s]. 278271200) | 698 | Indirect |
| Feb. 10, 2009 | EFT | Auction Preferred Stock [F3] | 2,422 | Indirect |
| Feb. 10, 2009 | 1222922 | Auction Preferred Stock [F3] | 4,465 | Indirect |
| Feb. 10, 2009 | EFR | Auction Preferred Stock [F3] | 2,305 | Indirect |
| Feb. 10, 2009 | FMN | Auction Preferred Stock (CUSIP No[s]. 31423P207 ) | 178 | Indirect |
| Feb. 10, 2009 | 1233087 | Auction Preferred Stock [F3] | 466 | Indirect |
| Feb. 10, 2009 | MFM | Auction Preferred Stock [F3] | 463 | Indirect |
| Feb. 10, 2009 | 902748 | Auction Preferred Stock [F3] | 244 | Indirect |
| Feb. 10, 2009 | 1177212 | Auction Preferred Stock (CUSIP No[s]. 67072E200 ) | 90 | Indirect |
| Feb. 10, 2009 | 1166572 | Auction Preferred Stock (CUSIP No[s]. 67071R202 ) | 73 | Indirect |
| Feb. 10, 2009 | 870779 | Auction Preferred Stock [F3] | 538 | Indirect |
| Feb. 10, 2009 | 878180 | Auction Preferred Stock [F3] | 560 | Indirect |
| Feb. 10, 2009 | 897422 | Auction Preferred Stock [F3] | 366 | Indirect |
| Feb. 10, 2009 | 890893 | Auction Preferred Stock [F3] | 494 | Indirect |
| Feb. 10, 2009 | 1090120 | Auction Preferred Stock (CUSIP No[s]. 67069P200 ) | 102 | Indirect |
| Feb. 10, 2009 | NMT | Auction Preferred Stock (CUSIP No[s]. 67061E203 ) | 209 | Indirect |
| Feb. 10, 2009 | 890897 | Auction Preferred Stock [F3] | 293 | Indirect |
| Feb. 10, 2009 | 878198 | Auction Preferred Stock [F3] | 479 | Indirect |
| Feb. 10, 2009 | 1145728 | Auction Preferred Stock (CUSIP No[s]. 67070R203 ) | 118 | Indirect |
| Feb. 10, 2009 | 1165383 | Auction Preferred Stock (CUSIP No[s]. 67071V203 ) | 121 | Indirect |
| Feb. 10, 2009 | 1087788 | Auction Preferred Stock (CUSIP No[s]. 67070C206 ) | 223 | Indirect |
| Feb. 10, 2009 | 878200 | Auction Preferred Stock [F3] | 360 | Indirect |
| Feb. 10, 2009 | 1093428 | Auction Preferred Stock (CUSIP No[s]. 67067Y203 ) | 155 | Indirect |
| Feb. 10, 2009 | PFN | Auction Preferred Stock [F3] | 1,989 | Indirect |
| Feb. 10, 2009 | PHK | Auction Preferred Stock [F3] | 2,404 | Indirect |
| Feb. 10, 2009 | 1305767 | Auction Preferred Stock [F3] | 1,305 | Indirect |
| Feb. 10, 2009 | VCV | Auction Preferred Stock [F3] | 949 | Indirect |
| Feb. 10, 2009 | 276242 | Auction Preferred Stock [F3] | 106 | Indirect |
| Feb. 10, 2009 | VMO | Auction Preferred Stock [F3] | 1,409 | Indirect |
| Feb. 10, 2009 | 877649 | Auction Preferred Stock [F3] | 271 | Indirect |
| Feb. 10, 2009 | VPV | Auction Preferred Stock [F3] | 809 | Indirect |
| Feb. 10, 2009 | 912022 | Auction Preferred Stock [F3] | 465 | Indirect |
| Feb. 10, 2009 | 883269 | Auction Preferred Stock (CUSIP No[s]. 920933207 ) | 116 | Indirect |
| Feb. 10, 2009 | BRW | Auction Preferred Stock [F3] | · | Indirect |
| Feb. 10, 2009 | 890516 | Auction Preferred Stock (CUSIP No[s].695931204, 695931303) | 167 | Indirect |
| Feb. 10, 2009 | 890516 | Auction Preferred Stock (CUSIP No[s].461368201) | 364 | Indirect |
| Feb. 10, 2009 | SPE | Auction Preferred Stock (CUSIP No[s].45809F203 45809F302) | 684 | Indirect |
| Feb. 10, 2009 | SPE | Auction Preferred Stock [F3] | 489 | Indirect |
| Jan. 16, 2009 | 1001868 | COMMON STOCK | 804,275 | Direct |
| Sept. 18, 2008 | 1326205 | Common Stock | 27,906 | Indirect |
| Sept. 18, 2008 | 1326205 | Warrants (Right to Buy) | 1,016,645 | Indirect |
| May 23, 2008 | 1092839 | Common Stock | 0 | Direct |
| May 23, 2008 | 1092839 | Senior Redeemable Convertible Preferred Stock [F1] | · | Direct |
| July 25, 2007 | 1072342 | Common Stock, par value $0.01 per share | 4,419,294 | Indirect |
| June 20, 2007 | 1066833 | Common Stock | 12,249,875 | Direct |
| Aug. 28, 2006 | 1117458 | Common Stock | 5,509,656 | Direct |
| Aug. 28, 2006 | 1117458 | Warrants | 2,666,666 | Direct |
| March 3, 2006 | 846909 | Common Stock | 3,003,679 | Direct |
| Feb. 27, 2006 | 846909 | Common Stock | 3,023,679 | Direct |
| Dec. 23, 2004 | IFED | Common Stock | 1,202,380 | Direct |