UBS AG

CIK 1114446 · View on SEC EDGAR ↗

Insider

First SEC filing: Nov. 13, 2014 · Latest: Nov. 13, 2014

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Institution The 13F filer entity this person is associated with.
Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Institution

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Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 90 non-open-market transactions below 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

90 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Nov. 12, 2014	1114446	J	37	—	—	1,078 Indirect	-3.32%	Disposed
Nov. 11, 2014	1114446	J	14	—	—	0 Indirect	-100.00%	Disposed
Nov. 10, 2014	1114446	J	35	—	—	1,115 Indirect	-3.04%	Disposed
Nov. 6, 2014	1114446	J	47	—	—	1,150 Indirect	-3.93%	Disposed
Oct. 24, 2014	NCZ	J	2	—	—	5,636 Indirect	+0.04%	Acquired	(price as of 2026-08-19)
June 10, 2014	1114446	J	51	—	—	1,199 Indirect	-4.08%	Disposed
June 9, 2014	1114446	J	38	—	—	14 Indirect	-73.08%	Disposed
June 9, 2014	1114446	J	48	—	—	1,250 Indirect	-3.70%	Disposed
June 5, 2014	1114446	J	67	—	—	1,298 Indirect	-4.91%	Disposed
May 12, 2014	1114446	J	176	—	—	0 Indirect	-100.00%	Disposed
May 9, 2014	1114446	J	141	—	—	0 Indirect	-100.00%	Disposed
May 8, 2014	1114446	J	113	—	—	176 Indirect	-39.10%	Disposed
May 7, 2014	1114446	J	138	—	—	141 Indirect	-49.46%	Disposed
May 5, 2014	1114446	J	513	—	—	0 Indirect	-100.00%	Disposed
April 28, 2014	1114446	J	15	—	—	52 Indirect	-22.39%	Disposed
April 28, 2014	1114446	J	16	—	—	51 Indirect	-23.88%	Disposed
April 2, 2014	EFR	P	2	—	—	2,833 Indirect	+0.07%	Acquired	(price as of 2026-08-19)
March 18, 2014	1114446	J	256	—	—	0 Indirect	-100.00%	Disposed
March 14, 2014	1114446	S	1	—	—	593 Indirect	-0.17%	Disposed
March 14, 2014	1114446	J	121	—	—	256 Indirect	-32.10%	Disposed
March 13, 2014	1114446	J	391	—	—	377 Indirect	-50.91%	Disposed
March 3, 2014	1114446	J	183	—	—	1,365 Indirect	-11.82%	Disposed
Feb. 27, 2014	1114446	J	126	—	—	1,548 Indirect	-7.53%	Disposed
Feb. 25, 2014	EVF	P	1	—	—	1,893 Indirect	+0.05%	Acquired	(price as of 2026-08-19)
Feb. 25, 2014	PFN	P	1	—	—	1,422 Indirect	+0.07%	Acquired	(price as of 2026-08-19)
Feb. 25, 2014	PTY	P	1	—	—	3,242 Indirect	+0.03%	Acquired	(price as of 2026-08-19)
Feb. 3, 2014	PFN	P	1	—	—	1,421 Indirect	+0.07%	Acquired	(price as of 2026-08-19)
Jan. 21, 2014	1114446	J	101	—	—	1,674 Indirect	-5.69%	Disposed
Jan. 16, 2014	1114446	J	69	—	—	1,775 Indirect	-3.74%	Disposed
Jan. 6, 2014	1114446	J	47	—	—	1,844 Indirect	-2.49%	Disposed
Jan. 6, 2014	LEO	J	82	—	—	2,324 Indirect	-3.41%	Disposed	(price as of 2026-08-19)
Jan. 6, 2014	1114446	J	35	—	—	67 Indirect	-34.31%	Disposed
Jan. 3, 2014	LEO	J	114	—	—	2,406 Indirect	-4.52%	Disposed	(price as of 2026-08-19)
Jan. 3, 2014	1114446	J	97	—	—	825 Indirect	-10.52%	Disposed
Jan. 2, 2014	DSM	J	123	—	—	1,487 Indirect	-7.64%	Disposed	(price as of 2026-08-19)
Jan. 2, 2014	1114446	J	67	—	—	1,891 Indirect	-3.42%	Disposed
Jan. 2, 2014	1114446	J	140	—	—	922 Indirect	-13.18%	Disposed
Jan. 2, 2014	LEO	J	291	—	—	2,520 Indirect	-10.35%	Disposed	(price as of 2026-08-19)
Dec. 31, 2013	1114446	J	51	—	—	1,958 Indirect	-2.54%	Disposed
Dec. 31, 2013	1114446	J	51	—	—	1,958 Indirect	-2.54%	Disposed
Dec. 31, 2013	LEO	J	170	—	—	2,811 Indirect	-5.70%	Disposed	(price as of 2026-08-19)
Dec. 31, 2013	DSM	J	284	—	—	1,611 Indirect	-14.99%	Disposed	(price as of 2026-08-19)
Dec. 6, 2013	1114446	J	397	—	—	0 Indirect	-100.00%	Disposed
Dec. 5, 2013	1114446	J	739	—	—	397 Indirect	-65.05%	Disposed
Dec. 3, 2013	1114446	J	60	—	—	2,009 Indirect	-2.90%	Disposed
Dec. 3, 2013	1114446	J	61	—	—	2,008 Indirect	-2.95%	Disposed
Dec. 3, 2013	1114446	J	458	—	—	1,136 Indirect	-28.73%	Disposed
Dec. 2, 2013	1114446	J	60	—	—	102 Indirect	-37.04%	Disposed
Dec. 2, 2013	1114446	J	57	—	—	2,069 Indirect	-2.68%	Disposed
Nov. 29, 2013	1114446	J	81	—	—	2,126 Indirect	-3.67%	Disposed
Nov. 12, 2013	EFR	P	1	—	—	2,831 Indirect	+0.04%	Acquired	(price as of 2026-08-19)
Nov. 8, 2013	1114446	P	1	—	—	351 Indirect	+0.29%	Acquired
Oct. 28, 2013	1114446	J	207	—	—	162 Indirect	-56.10%	Disposed
Oct. 18, 2013	NCV	P	1	—	—	8,056 Indirect	+0.01%	Acquired	(price as of 2026-08-19)
Oct. 9, 2013	1114446	J	54	—	—	2,207 Indirect	-2.39%	Disposed
Oct. 8, 2013	1114446	J	41	—	—	2,261 Indirect	-1.78%	Disposed
Oct. 7, 2013	1114446	J	38	—	—	2,302 Indirect	-1.62%	Disposed
Sept. 12, 2013	1114446	J	59	—	—	2,340 Indirect	-2.46%	Disposed
Sept. 10, 2013	1114446	J	45	—	—	2,399 Indirect	-1.84%	Disposed
Sept. 9, 2013	1114446	J	42	—	—	2,444 Indirect	-1.69%	Disposed
Sept. 9, 2013	1114446	J	43	—	—	369 Indirect	-10.44%	Disposed
Aug. 30, 2013	LEO	J	84	—	—	2,981 Indirect	-2.74%	Disposed	(price as of 2026-08-19)
Aug. 30, 2013	1114446	J	73	—	—	1,062 Indirect	-6.43%	Disposed
Aug. 29, 2013	1114446	J	103	—	—	1,135 Indirect	-8.32%	Disposed
Aug. 29, 2013	DSM	J	96	—	—	1,895 Indirect	-4.82%	Disposed	(price as of 2026-08-19)
Aug. 29, 2013	LEO	J	93	—	—	3,065 Indirect	-2.94%	Disposed	(price as of 2026-08-19)
Aug. 28, 2013	LEO	J	124	—	—	3,158 Indirect	-3.78%	Disposed	(price as of 2026-08-19)
Aug. 28, 2013	DSM	J	113	—	—	1,991 Indirect	-5.37%	Disposed	(price as of 2026-08-19)
Aug. 27, 2013	DSM	J	117	—	—	1,987 Indirect	-5.56%	Disposed	(price as of 2026-08-19)
Aug. 27, 2013	LEO	J	127	—	—	3,282 Indirect	-3.73%	Disposed	(price as of 2026-08-19)
Aug. 26, 2013	DSM	J	109	—	—	2,104 Indirect	-4.93%	Disposed	(price as of 2026-08-19)
Aug. 26, 2013	LEO	J	59	—	—	3,409 Indirect	-1.70%	Disposed	(price as of 2026-08-19)
Aug. 6, 2013	1114446	J	191	—	—	2,486 Indirect	-7.13%	Disposed
Aug. 5, 2013	1114446	J	178	—	—	2,677 Indirect	-6.23%	Disposed
Aug. 1, 2013	1114446	J	252	—	—	2,855 Indirect	-8.11%	Disposed
July 1, 2013	1114446	J	151	—	—	412 Indirect	-26.82%	Disposed
June 19, 2013	1114446	P	4	—	—	5,148 Indirect	+0.08%	Acquired
May 28, 2013	1114446	J	73	—	—	3,107 Indirect	-2.30%	Disposed
May 23, 2013	1114446	J	50	—	—	3,180 Indirect	-1.55%	Disposed
April 16, 2013	PFN	J	2	—	—	1,420 Indirect	+0.14%	Acquired	(price as of 2026-08-19)
April 16, 2013	NCV	J	1	—	—	8,055 Indirect	+0.01%	Acquired	(price as of 2026-08-19)
Jan. 31, 2013	1114446	J	16	—	—	3,230 Indirect	-0.49%	Disposed
Jan. 29, 2013	NCV	J	1	—	—	8,054 Indirect	+0.01%	Acquired	(price as of 2026-08-19)
Jan. 28, 2013	1114446	J	3	—	—	3,246 Indirect	-0.09%	Disposed
Jan. 28, 2013	1114446	J	291	—	—	563 Indirect	-34.07%	Disposed
Jan. 23, 2013	1114446	J	211	—	—	3,249 Indirect	-6.10%	Disposed
Jan. 23, 2013	1114446	J	71	—	—	854 Indirect	-7.68%	Disposed
Dec. 26, 2012	DNP	J	3,809	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-19)
Dec. 24, 2012	DNP	J	3,845	—	—	3,809 Indirect	-50.24%	Disposed	(price as of 2026-08-19)
Dec. 19, 2012	EFT	J	1,644	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-19)
Dec. 7, 2012	PTY	J	3	—	—	3,241 Indirect	+0.09%	Acquired	(price as of 2026-08-19)
Dec. 6, 2012	1114446	J	2	—	—	5,144 Indirect	+0.04%	Acquired
Nov. 2, 2012	1114446	J	1	—	—	289 Indirect	+0.35%	Acquired
Sept. 18, 2012	MFM	J	467	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-19)
Sept. 5, 2012	1114446	J	2	—	—	768 Indirect	+0.26%	Acquired
Aug. 1, 2012	PFN	J	1	—	—	1,418 Indirect	+0.07%	Acquired	(price as of 2026-08-19)
July 25, 2012	NCV	J	3	—	—	8,053 Indirect	+0.04%	Acquired	(price as of 2026-08-19)
July 24, 2012	1114446	J	148	—	—	0 Indirect	-100.00%	Disposed
July 20, 2012	1114446	J	243	—	—	0 Indirect	-100.00%	Disposed
July 7, 2012	1114446	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
July 15, 2008	1114446	Warrants (Right to Buy)	Common Stock (100)	$5.00	March 3, 2011	100	Disposed
July 15, 2008	1114446	Warrants (Right to Buy)	Common Stock (800)	$5.00	March 3, 2011	800	Disposed
July 15, 2008	1114446	Warrants (Right to Buy)	Common Stock (100)	$5.00	March 3, 2011	100	Disposed
July 15, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,000)	$5.00	March 3, 2011	1,000	Acquired
July 14, 2008	1114446	Warrants (Right to Buy)	Common Stock (500)	$5.00	March 3, 2011	500	Disposed
July 14, 2008	1114446	Warrants (Right to Buy)	Common Stock (500)	$5.00	March 3, 2011	500	Acquired
July 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,000)	$5.00	March 3, 2011	1,000	Disposed
July 9, 2008	1114446	Warrants (Right to Buy)	Common Stock (16,000)	$5.00	March 3, 2011	16,000	Disposed
July 9, 2008	1114446	Warrants (Right to Buy)	Common Stock (16,000)	$5.00	March 3, 2011	16,000	Acquired
July 8, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,000)	$5.00	March 3, 2011	1,000	Disposed
June 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,200)	$5.00	March 3, 2011	1,200	Disposed
June 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,000)	$5.00	March 3, 2011	2,000	Disposed
June 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,000)	$5.00	March 3, 2011	2,000	Acquired
June 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,000)	$5.00	March 3, 2011	5,000	Acquired
June 23, 2008	1114446	Warrants (Right to Buy)	Common Stock (3,450)	$5.00	March 3, 2011	3,450	Disposed
June 23, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,550)	$5.00	March 3, 2011	1,550	Disposed
June 23, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,000)	$5.00	March 3, 2011	5,000	Acquired
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (23,100)	$5.00	March 3, 2011	23,100	Disposed
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,600)	$5.00	March 3, 2011	5,600	Disposed
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,300)	$5.00	March 3, 2011	1,300	Disposed
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (900)	$5.00	March 3, 2011	900	Disposed
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,589)	$5.00	March 3, 2011	1,589	Disposed
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (20,000)	$5.00	March 3, 2011	20,000	Disposed
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (600)	$5.00	March 3, 2011	600	Disposed
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (100)	$5.00	March 3, 2011	100	Disposed
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (20,000)	$5.00	March 3, 2011	20,000	Acquired
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (26,000)	$5.00	March 3, 2011	26,000	Acquired
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (4,000)	$5.00	March 3, 2011	4,000	Acquired
June 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (900)	$5.00	March 3, 2011	900	Acquired
June 19, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,500)	$5.00	March 3, 2011	2,500	Disposed
June 19, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,200)	$5.00	March 3, 2011	2,200	Acquired
June 19, 2008	1114446	Warrants (Right to Buy)	Common Stock (300)	$5.00	March 3, 2011	300	Acquired
June 18, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,686)	$5.00	March 3, 2011	1,686	Disposed
June 18, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,000)	$5.00	March 3, 2011	5,000	Acquired
June 17, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,000)	$5.00	March 3, 2011	2,000	Disposed
June 17, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,000)	$5.00	March 3, 2011	2,000	Acquired
June 16, 2008	1114446	Warrants (Right to Buy)	Common Stock (7,500)	$5.00	March 3, 2011	7,500	Disposed
June 16, 2008	1114446	Warrants (Right to Buy)	Common Stock (7,500)	$5.00	March 3, 2011	7,500	Acquired
June 13, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,000)	$5.00	March 3, 2011	5,000	Acquired
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,600)	$5.00	March 3, 2011	2,600	Disposed
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (6,400)	$5.00	March 3, 2011	6,400	Disposed
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (100)	$5.00	March 3, 2011	100	Disposed
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,000)	$5.00	March 3, 2011	5,000	Disposed
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (12,200)	$5.00	March 3, 2011	12,200	Disposed
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (9,000)	$5.00	March 3, 2011	9,000	Acquired
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,700)	$5.00	March 3, 2011	2,700	Acquired
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,145)	$5.00	March 3, 2011	5,145	Acquired
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (3,055)	$5.00	March 3, 2011	3,055	Acquired
June 12, 2008	1114446	Warrants (Right to Buy)	Common Stock (73,322)	$5.00	March 3, 2011	73,322	Acquired
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (400)	$5.00	March 3, 2011	400	Disposed
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (400)	$5.00	March 3, 2011	400	Acquired
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (4,100)	$5.00	March 3, 2011	4,100	Disposed
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (481)	$5.00	March 3, 2011	481	Disposed
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (419)	$5.00	March 3, 2011	419	Disposed
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,000)	$5.00	March 3, 2011	1,000	Disposed
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,000)	$5.00	March 3, 2011	1,000	Disposed
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,000)	$5.00	March 3, 2011	2,000	Acquired
June 11, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,000)	$5.00	March 3, 2011	5,000	Acquired
June 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,000)	$5.00	March 3, 2011	1,000	Disposed
June 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (50)	$5.00	March 3, 2011	50	Disposed
June 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (50)	$5.00	March 3, 2011	50	Acquired
June 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (2,500)	$5.00	March 3, 2011	2,500	Disposed
June 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (3,500)	$5.00	March 3, 2011	3,500	Acquired
June 9, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,000)	$5.00	March 3, 2011	1,000	Disposed
June 9, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,000)	$5.00	March 3, 2011	1,000	Acquired
June 6, 2008	1114446	Warrants (Right to Buy)	Common Stock (6,500)	$5.00	March 3, 2011	6,500	Disposed
June 6, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,500)	$5.00	March 3, 2011	1,500	Disposed
June 6, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,500)	$5.00	March 3, 2011	1,500	Acquired
June 6, 2008	1114446	Warrants (Right to Buy)	Common Stock (6,500)	$5.00	March 3, 2011	6,500	Acquired
June 5, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,700)	$5.00	March 3, 2011	5,700	Disposed
April 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (20,300)	$5.00	March 3, 2011	20,300	Acquired
April 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (9,000)	$5.00	March 3, 2011	9,000	Acquired
April 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (20,000)	$5.00	March 3, 2011	20,000	Acquired
April 10, 2008	1114446	Warrants (Right to Buy)	Common Stock (32,800)	$5.00	March 3, 2011	32,800	Acquired
April 9, 2008	1114446	Warrants (Right to Buy)	Common Stock (6,500)	$5.00	March 3, 2011	6,500	Disposed
April 9, 2008	1114446	Warrants (Right to Buy)	Common Stock (6,500)	$5.00	March 3, 2011	6,500	Acquired
April 7, 2008	1114446	Warrants (Right to Buy)	Common Stock (12,000)	$5.00	March 3, 2011	12,000	Disposed
April 7, 2008	1114446	Warrants (Right to Buy)	Common Stock (12,000)	$5.00	March 3, 2011	12,000	Acquired
April 2, 2008	1114446	Warrants (Right to Buy)	Common Stock (940)	$5.00	March 3, 2011	940	Disposed
April 2, 2008	1114446	Warrants (Right to Buy)	Common Stock (940)	$5.00	March 3, 2011	940	Acquired
March 31, 2008	1114446	Warrants (Right to Buy)	Common Stock (41,175)	$5.00	March 3, 2011	41,175	Disposed
March 31, 2008	1114446	Warrants (Right to Buy)	Common Stock (41,175)	$5.00	March 3, 2011	41,175	Acquired
March 28, 2008	1114446	Warrants (Right to Buy)	Common Stock (25,825)	$5.00	March 3, 2011	25,825	Disposed
March 28, 2008	1114446	Warrants (Right to Buy)	Common Stock (25,825)	$5.00	March 3, 2011	25,825	Acquired
March 26, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,000)	$5.00	March 3, 2011	5,000	Disposed
March 26, 2008	1114446	Warrants (Right to Buy)	Common Stock (5,000)	$5.00	March 3, 2011	5,000	Acquired
March 26, 2008	1114446	Warrants (Right to Buy)	Common Stock (166,700)	$5.00	March 3, 2011	166,700	Acquired
March 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (10,000)	$5.00	March 3, 2011	10,000	Disposed
March 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (125,100)	$5.00	March 3, 2011	125,100	Disposed
March 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (10,500)	$5.00	March 3, 2011	10,500	Disposed
March 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (3,500)	$5.00	March 3, 2011	3,500	Disposed
March 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (500)	$5.00	March 3, 2011	500	Disposed
March 25, 2008	1114446	Warrants (Right to Buy)	Common Stock (500)	$5.00	March 3, 2011	500	Acquired
March 24, 2008	1114446	Warrants (Right to Buy)	Common Stock (32,100)	$5.00	March 3, 2011	32,100	Disposed
March 24, 2008	1114446	Warrants (Right to Buy)	Common Stock (8,900)	$5.00	March 3, 2011	8,900	Disposed
March 24, 2008	1114446	Warrants (Right to Buy)	Common Stock (14,145)	$5.00	March 3, 2011	14,145	Disposed
March 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (1,800)	$5.00	March 3, 2011	1,800	Disposed
March 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (8,200)	$5.00	March 3, 2011	8,200	Disposed
March 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (3,000)	$5.00	March 3, 2011	3,000	Disposed
March 20, 2008	1114446	Warrants (Right to Buy)	Common Stock (360)	$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) 35 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
June 10, 2010	BGT	Auction Preferred Stock [F3]	—	Indirect
June 10, 2010	VTN	Auction Preferred Stock [F3]	353	Indirect
May 10, 2010	IQI	Auction Preferred Stock [F3]	266	Indirect
June 10, 2009	BGT	Auction Preferred Stock [F3]	—	Indirect
June 10, 2009	PFL	Auction Preferred Stock [F3]	353	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	DNP	Auction Preferred Stock [F3]	15,070	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	EVN	Auction Preferred Stock [F3]	1,082	Indirect
Feb. 10, 2009	EVN	Auction Preferred Stock (CUSIP No[s]. 27826W203 )	440	Indirect
Feb. 10, 2009	EVF	Auction Preferred Stock [F3]	1,576	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	PCQ	Auction Preferred Stock [F3]	4,193	Indirect
Feb. 10, 2009	PML	Auction Preferred Stock [F3]	9,135	Indirect
Feb. 10, 2009	PNI	Auction Preferred Stock [F3]	1,954	Indirect
Feb. 10, 2009	PTY	Auction Preferred Stock [F3]	4,489	Indirect
Feb. 10, 2009	AFB	Auction Preferred Stock [F3]	—	Indirect
Feb. 10, 2009	MIY	Auction Preferred Stock [F3]	698	Indirect
Feb. 10, 2009	CSQ	Auction Preferred Stock [F3]	—	Indirect
Feb. 10, 2009	EFT	Auction Preferred Stock [F3]	2,422	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	MFM	Auction Preferred Stock [F3]	463	Indirect
Feb. 10, 2009	NMT	Auction Preferred Stock (CUSIP No[s]. 67061E203 )	209	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	VCV	Auction Preferred Stock [F3]	949	Indirect
Feb. 10, 2009	VMO	Auction Preferred Stock [F3]	1,409	Indirect
Feb. 10, 2009	VPV	Auction Preferred Stock [F3]	809	Indirect
Feb. 10, 2009	BRW	Auction Preferred Stock [F3]	—	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