皮博迪能源公司
US ˙ NYSE ˙ US7045511000

簡介

本頁面提供了有關 Elliott Associates, L.p. 已知的內部交易歷史的全面分析。內部人士包括公司的高管、董事或重要投資者。一般而言，基於內幕、非公開信息進行交易是非法的。這並不意味著他們在自己的公司進行任何交易都是非法的。但是，他們必須透過Form 4向美國證券交易委員會（SEC）報告所有交易。盡管存在這些限制，學術研究表明，內部人士 - 整體而言 - 在自己公司中的投資表現往往優於市場。

平均交易盈利能力

「平均交易盈利能力」衡量了內部人士在過去三年中所有非計劃性的公開市場購買交易的平均回報率。計算過程包括檢查每筆交易，排除了作為10b5-1交易計劃的一部分的交易。然後，對每筆交易在3、6和12個月的表現進行平均，以生成該筆交易最終的表現指標。最終，將所有交易的表現指標進行平均，計算出內部人士的總體平均表現指標。列表僅包含在過去兩年中進行過至少三筆交易的內部人士。

如果內部人士的交易盈利能力顯示為"N/A"，則可能是因為該內部人士在過去三年內沒有進行任何公開市場購買交易，或者他們進行的交易距離現在太近，無法計算出可靠的表現指標。

更新頻率：每日

查看收益最高的的內幕交易者列表。

查看排名最高的內部人士。
報告內部持倉的公司

SEC文件顯示Elliott Associates, L.p.已報告在以下公司擁有持倉或進行了交易：

證券 職位 最新報告的持倉
US:ROAN / Roan Resources, Inc. 10% Owner 0
US:HWM / Howmet Aerospace Inc. 10% Owner 1
10% Owner 0
US:RRTS / Roadrunner Transportation Systems, Inc. 10% Owner 0
US:BTU / Peabody Energy Corporation 10% Owner 9,013,135
US:MITL / Mitel Networks Corp 10% Owner 3,737,199
US:CTXS / Citrix Systems, Inc. 2,280,171
US:NBHC / National Bank Holdings Corporation 10% Owner 1,223,654
US:RILYL / BRC Group Holdings, Inc. - Preferred Stock 10% Owner 16,143,600
US:ELX / Emulex Corp 10% Owner 3,124,149
US:APTV / Aptiv PLC 10% Owner 11,272,796
US:CNDO / 10% Owner 792,328
10% Owner 4,927,799
US:BDSI / Biodelivery Sciences International 10% Owner 160,230
如何解讀這些圖表

以下圖表顯示了在Elliott Associates, L.p.進行的每筆公開市場非計劃交易後證券的股價表現。非計劃交易是指沒有作為10b5-1交易計劃的一部分而進行的交易。股價表現以累積百分比變化的方式繪製。例如，如果一筆內部人士交易是在2019年1月1日進行的，該圖表將顯示該證券的每日百分比變化直至當前日期。如果在此期間股價從10美元漲至15美元，則股價的累積百分比變化將為50%。從10美元漲至20美元的價格變化將為100%，而從10美元跌至5美元的價格變化將為-50%。

最終，我們將評估內部人士的交易與股價的超額回報（正向或負向）之間的相關性，以判斷內部人士是否在交易中利用內部信息獲利。如果內部人士有這樣的行為，我們預期看到（a）購買後的正回報，或者（b）賣出後的負回報。對於情況（a），購買圖表將顯示一系列向上傾斜的曲線，表示每次購買後都有正回報。對於情況（b），賣出圖表將顯示一系列向下傾斜的曲線，表示每次賣出後都有負回報。

然而，僅憑這一點還不足以得出結論。例如，如果公司的股價在多年內呈現非周期性上升，我們會預期所有購買後的圖表都呈現向上傾斜。同樣地，多年來呈現非周期性下降的股價會導致賣出後的圖表也呈現向下傾斜。這兩種情況的圖表都不能表示內部人士在進行內幕交易。

最有力的指標是在公司股價呈極度循環波動的情況下，「購買」圖表顯示正向信號，而「賣出」圖表顯示負向趨勢。這種情況強烈暗示內部人士可能根據內幕信息精確地計時進行交易，以獲得財務優勢。

BTU / Peabody Energy Corporation內部人士買入 - 短期收益分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2017-06-02 BTU ELLIOTT ASSOCIATES, L.P. 12,000 23.1781 12,000 23.1781 278,137 364 45.35 266,063 95.66
2017-06-02 BTU ELLIOTT ASSOCIATES, L.P. 2,903 23.6236 2,903 23.6236 68,579
2017-06-01 BTU ELLIOTT ASSOCIATES, L.P. 5,097 23.7351 5,097 23.7351 120,978
2017-05-31 BTU ELLIOTT ASSOCIATES, L.P. 4,045 23.9995 4,045 23.9995 97,078
2017-05-25 BTU ELLIOTT ASSOCIATES, L.P. 992 23.8665 992 23.8665 23,676
2017-05-23 BTU ELLIOTT ASSOCIATES, L.P. 8,436 23.3492 8,436 23.3492 196,974
2017-05-16 BTU ELLIOTT ASSOCIATES, L.P. 83,405 24.2481 83,405 24.2481 2,022,413
2017-05-15 BTU ELLIOTT ASSOCIATES, L.P. 64,000 25.0089 64,000 25.0089 1,600,570
2017-05-12 BTU ELLIOTT ASSOCIATES, L.P. 29,017 24.6956 29,017 24.6956 716,592
2017-05-11 BTU ELLIOTT ASSOCIATES, L.P. 56,000 24.9989 56,000 24.9989 1,399,938
2017-05-10 BTU ELLIOTT ASSOCIATES, L.P. 13,280 24.9669 13,280 24.9669 331,560
2017-05-09 BTU ELLIOTT ASSOCIATES, L.P. 32,000 24.5788 32,000 24.5788 786,522
2017-05-08 BTU ELLIOTT ASSOCIATES, L.P. 80,000 24.1679 80,000 24.1679 1,933,432
2017-05-08 BTU ELLIOTT ASSOCIATES, L.P. 15,649 24.1438 15,649 24.1438 377,826
2017-05-05 BTU ELLIOTT ASSOCIATES, L.P. 85,883 23.8969 85,883 23.8969 2,052,337
2017-05-05 BTU ELLIOTT ASSOCIATES, L.P. 16,000 23.7700 16,000 23.7700 380,320
2017-05-04 BTU ELLIOTT ASSOCIATES, L.P. 4,512 24.2911 4,512 24.2911 109,601
2017-05-04 BTU ELLIOTT ASSOCIATES, L.P. 24,000 24.7000 24,000 24.7000 592,800
2017-05-04 BTU ELLIOTT ASSOCIATES, L.P. 525,513 23.5000 525,513 23.5000 12,349,556
2017-05-04 BTU ELLIOTT ASSOCIATES, L.P. 443,968 24.0135 443,968 24.0135 10,661,226
2017-05-03 BTU ELLIOTT ASSOCIATES, L.P. 236,329 25.3053 236,329 25.3053 5,980,376
2017-05-02 BTU ELLIOTT ASSOCIATES, L.P. 60,999 26.0969 60,999 26.0969 1,591,885
2017-05-01 BTU ELLIOTT ASSOCIATES, L.P. 25,335 25.7772 25,335 25.7772 653,065
2017-04-28 BTU ELLIOTT ASSOCIATES, L.P. 53,571 25.7419 53,571 25.7419 1,379,019
2017-04-27 BTU ELLIOTT ASSOCIATES, L.P. 16,000 26.4460 16,000 26.4460 423,136
2017-04-27 BTU ELLIOTT ASSOCIATES, L.P. 61,368 26.2799 61,368 26.2799 1,612,745
2017-04-26 BTU ELLIOTT ASSOCIATES, L.P. 1,920 26.5000 1,920 26.5000 50,880
2017-04-26 BTU ELLIOTT ASSOCIATES, L.P. 39,423 26.4776 39,423 26.4776 1,043,826
2017-04-25 BTU ELLIOTT ASSOCIATES, L.P. 2,708 26.0724 2,708 26.0724 70,604
2017-04-25 BTU ELLIOTT ASSOCIATES, L.P. 32,490 26.2654 32,490 26.2654 853,363
2017-04-24 BTU ELLIOTT ASSOCIATES, L.P. 11,680 26.2616 11,680 26.2616 306,735
2017-04-21 BTU ELLIOTT ASSOCIATES, L.P. 48,000 25.3263 48,000 25.3263 1,215,662
2017-04-20 BTU ELLIOTT ASSOCIATES, L.P. 8,000 25.1127 8,000 25.1127 200,902
2017-04-19 BTU ELLIOTT ASSOCIATES, L.P. 74,016 24.9221 74,016 24.9221 1,844,634
2017-04-18 BTU ELLIOTT ASSOCIATES, L.P. 172,055 24.0737 172,055 24.0737 4,142,000
2017-04-18 BTU ELLIOTT ASSOCIATES, L.P. 16,000 23.8599 16,000 23.8599 381,758
2017-04-06 BTU ELLIOTT ASSOCIATES, L.P. 58,560 27.5014 58,560 27.5014 1,610,482
2017-04-05 BTU ELLIOTT ASSOCIATES, L.P. 32,000 27.9693 32,000 27.9693 895,018
2017-04-05 BTU ELLIOTT ASSOCIATES, L.P. 51,200 27.9933 51,200 27.9933 1,433,257
2017-04-05 BTU ELLIOTT ASSOCIATES, L.P. 32,000 27.9955 32,000 27.9955 895,856

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

BTU / Peabody Energy Corporation Insider Trades
BTU / Peabody Energy Corporation內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
2018-08-14 BTU ELLIOTT ASSOCIATES, L.P. 489,926 41.8200 489,926 41.8200 20,488,705 358 17.66 -11,836,612 -57.77
2018-08-14 BTU ELLIOTT ASSOCIATES, L.P. 1,805,626 41.8200 1,805,626 41.8200 75,511,279

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

BTU / Peabody Energy Corporation Insider Trades
FBIO / Fortress Biotech, Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

FBIO / Fortress Biotech, Inc. Insider Trades
FBIO / Fortress Biotech, Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

FBIO / Fortress Biotech, Inc. Insider Trades
NBHC / National Bank Holdings Corporation內部人士買入 - 短期收益分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

NBHC / National Bank Holdings Corporation Insider Trades
NBHC / National Bank Holdings Corporation內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
2015-04-10 NBHC ELLIOTT ASSOCIATES, L.P. 25,000 18.5316 25,000 18.5316 463,290 0 18.4700 -1,540 -0.33
2015-04-09 NBHC ELLIOTT ASSOCIATES, L.P. 15,000 18.5226 15,000 18.5226 277,839

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

NBHC / National Bank Holdings Corporation Insider Trades
RILYL / BRC Group Holdings, Inc. - Preferred Stock內部人士買入 - 短期收益分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2014-05-19 GAMR ELLIOTT ASSOCIATES, L.P. 13,692,000 0.2500 13,692,000 0.2500 3,423,000 731

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RILYL / BRC Group Holdings, Inc. - Preferred Stock Insider Trades
RILYL / BRC Group Holdings, Inc. - Preferred Stock內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RILYL / BRC Group Holdings, Inc. - Preferred Stock Insider Trades
RRTS / Roadrunner Transportation Systems, Inc.內部人士買入 - 短期收益分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士購買的盈利情況。這種分析有助於了解內部人士是否持續產生異常的回報，以及是否值得跟踪。該分析基於每筆交易後一年的情況，結果僅為理論值。

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最高利潤的
天數		 達到最高利潤時的
價格		 最高
淨利 ($)		 最高回報率（%）
2019-02-26 RRTS ELLIOTT ASSOCIATES, L.P. 231,143,609 0.5000 9,245,744 12.5000 115,571,804 66 12.62 1,109,485 0.96
2018-11-14 RRTS ELLIOTT ASSOCIATES, L.P. 277,611 0.6971 11,104 17.4275 193,523

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RRTS / Roadrunner Transportation Systems, Inc. Insider Trades
RRTS / Roadrunner Transportation Systems, Inc.內部人士賣出 - 短期虧損分析

在這一部分，我們分析了在 BTU / Peabody Energy Corporation 中進行的每筆非計劃的公開市場內部人士賣出所達成的短期虧損規避。如果存在持續的虧損規避模式，可能表明未來的內部人士賣出交易預示著價格的下跌。該分析基於每筆交易後一年的情況，

以下表格顯示了最近的自動交易計劃之外的公開市場購買。

交易日期 證券代碼 內部人士 報告
股數		 Reported
價格		 經調整
股數		 經調整
價格		 成本基礎 達到最低利潤的
天數		 達到最低利潤時的
價格		 避免的
最高損失金額($)		 避免的
最高損失率($)
當前未知該內部人士及證券組合進行過任何未預先計劃的公開市場交易。

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

RRTS / Roadrunner Transportation Systems, Inc. Insider Trades
歷史內部人交易

該表格顯示了由 Elliott Associates, L.p. 進行的所有內幕交易的完整列表，這些交易已向美國證券交易委員會（SEC）披露。

呈報日期 交易日期 表格 證券代碼 證券 代碼 10b5-1 股份 剩餘股份 %
變化		 每股
股價		 交易
金額		 剩餘
金額
2019-12-13 2019-12-06 4 ROAN Pressburg, LLC
Class A Common Stock, par value $0.001 per share 		D - Sale to Issuer -5,225,017 0 -100.00
2019-08-28 2019-08-28 4 ARNC Arconic Inc.
Notional Principal Amount Derivative Agreements 		J - Other 1 1
2019-08-28 2019-08-28 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		S - Sale -228,415 13,435,039 -1.67 25.05 -5,721,796 336,547,727
2019-08-28 2019-08-27 4 ARNC Arconic Inc.
Notional Principal Amount Derivative Agreements 		J - Other 1 1
2019-08-28 2019-08-27 4 ARNC Arconic Inc.
Notional Principal Amount Derivative Agreements 		J - Other 1 1
2019-08-28 2019-08-27 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		S - Sale -851,021 13,663,454 -5.86 25.17 -21,420,199 343,909,137
2019-08-28 2019-08-26 4 ARNC Arconic Inc.
Notional Principal Amount Derivative Agreements 		J - Other 1 1
2019-08-28 2019-08-26 4 ARNC Arconic Inc.
Notional Principal Amount Derivative Agreements 		J - Other 1 1
2019-08-28 2019-08-26 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		S - Sale -811,348 14,514,475 -5.29 24.94 -20,235,019 361,991,006
2019-08-27 2019-08-23 4 ARNC Arconic Inc.
Notional Principal Amount Derivative Agreements 		J - Other 1 1
2019-08-27 2019-08-23 4 ARNC Arconic Inc.
Notional Principal Amount Derivative Agreements 		J - Other 1 1
2019-08-27 2019-08-23 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		S - Sale -1,282,860 15,325,823 -7.72 24.51 -31,442,899 375,635,922
2019-06-28 2019-06-26 4 ROAN ROAN RESOURCES, INC.
Class A Common Stock, par value $0.001 per share 		P - Purchase 170,844 5,225,017 3.38 0.00 171 5,225
2019-04-12 2019-04-10 4 AFGR Affinion Group Holdings, Inc.
Warrant (Right to Buy) 		J - Other -22,222 0 -100.00
2019-04-12 2019-04-10 4 AFGR Affinion Group Holdings, Inc.
Common Stock, par value $0.01 per share ("Common Stock") 		J - Other -795,965 0 -100.00
2019-03-04 2019-02-28 4 AFGR Affinion Group Holdings, Inc.
Warrant (Right to Buy) 		X - Other -659,965 22,222 -96.74
2019-03-04 2019-02-28 4 AFGR Affinion Group Holdings, Inc.
Common Stock, par value $0.01 per share ("Common Stock") 		X - Other 659,965 795,965 485.27 0.01 6,600 7,960
2019-02-28 2019-02-26 4 RRTS Roadrunner Transportation Systems, Inc.
Subscription Rights (right to buy) 		X - Other -1,677,715 0 -100.00
2019-02-28 2019-02-26 4 RRTS Roadrunner Transportation Systems, Inc.
Series E-1 Cumulative Redeemable Preferred Stock 		J - Other -11,433 0 -100.00
2019-02-28 2019-02-26 4 RRTS Roadrunner Transportation Systems, Inc.
Series E Cumulative Redeemable Preferred Stock 		J - Other -12,000 0 -100.00
2019-02-28 2019-02-26 4 RRTS Roadrunner Transportation Systems, Inc.
Series D Cumulative Redeemable Preferred Stock 		J - Other -32 0 -100.00
2019-02-28 2019-02-26 4 RRTS Roadrunner Transportation Systems, Inc.
Series C Cumulative Redeemable Preferred Stock 		J - Other -17,600 0 -100.00
2019-02-28 2019-02-26 4 RRTS Roadrunner Transportation Systems, Inc.
Series B Cumulative Redeemable Preferred Stock 		J - Other -49,600 0 -100.00
2019-02-28 2019-02-26 4 RRTS Roadrunner Transportation Systems, Inc.
Common Stock 		P - Purchase 231,143,609 271,640,210 570.77 0.50 115,571,804 135,820,105
2019-02-28 2019-02-26 4 RRTS Roadrunner Transportation Systems, Inc.
Common Stock, par value $0.01 per share ("Common Stock") 		X - Other 38,818,886 40,496,601 2,313.80 0.50 19,409,443 20,248,300
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Common Stock, par value $0.01 per share ("Common Stock") 		2,890,873
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series B Cumulative Redeemable Preferred Stock 		1,540,369
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series C Cumulative Redeemable Preferred Stock 		1,508,369
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series D Cumulative Redeemable Preferred Stock 		1,490,801
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series E Cumulative Redeemable Preferred Stock 		1,502,769
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series E-1 Cumulative Redeemable Preferred Stock 		1,502,202
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Common Stock, par value $0.01 per share ("Common Stock") 		2,890,873
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series B Cumulative Redeemable Preferred Stock 		1,540,369
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series C Cumulative Redeemable Preferred Stock 		1,508,369
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series D Cumulative Redeemable Preferred Stock 		1,490,801
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series E Cumulative Redeemable Preferred Stock 		1,502,769
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series E-1 Cumulative Redeemable Preferred Stock 		1,502,202
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Common Stock, par value $0.01 per share ("Common Stock") 		2,890,873
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series B Cumulative Redeemable Preferred Stock 		1,540,369
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series C Cumulative Redeemable Preferred Stock 		1,508,369
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series D Cumulative Redeemable Preferred Stock 		1,490,801
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series E Cumulative Redeemable Preferred Stock 		1,502,769
2018-11-16 3 RRTS Roadrunner Transportation Systems, Inc.
Series E-1 Cumulative Redeemable Preferred Stock 		1,502,202
2018-11-16 2018-11-14 4 RRTS Roadrunner Transportation Systems, Inc.
Common Stock, par value $0.01 per share ("Common Stock") 		P - Purchase 277,611 1,677,715 19.83 0.70 193,523 1,169,535
2018-11-07 3 ROAN ROAN RESOURCES, INC.
Class A Common Stock, par value $0.001 per share 		5,080,686
2018-11-07 3 ROAN ROAN RESOURCES, INC.
Class A Common Stock, par value $0.001 per share 		10,081,833
2018-11-07 3 ROAN ROAN RESOURCES, INC.
Class A Common Stock, par value $0.001 per share 		5,080,686
2018-11-07 3 ROAN ROAN RESOURCES, INC.
Class A Common Stock, par value $0.001 per share 		10,081,833
2018-11-07 3 ROAN ROAN RESOURCES, INC.
Class A Common Stock, par value $0.001 per share 		5,080,686
2018-11-07 3 ROAN ROAN RESOURCES, INC.
Class A Common Stock, par value $0.001 per share 		10,081,833
2018-08-16 2018-08-14 4 BTU PEABODY ENERGY CORP
Common Stock 		S - Sale -1,805,626 9,013,135 -16.69 41.82 -75,511,279 376,929,306
2018-08-16 2018-08-14 4 BTU PEABODY ENERGY CORP
Common Stock, $0.01 par value per share (the "Common Stock") 		S - Sale -489,926 10,818,761 -4.33 41.82 -20,488,705 452,440,585
2018-05-15 2018-05-15 4 ARNC Arconic Inc.
Notional Principal Amount Derivative Agreements 		J - Other -1 0 -100.00
2018-05-15 2018-05-15 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		J - Other -256,000 16,608,683 -1.52 17.93 -4,589,056 297,727,251
2018-05-15 2018-05-15 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		X - Other 256,000 16,864,683 1.54
2018-05-15 2018-05-15 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 256,000 16,608,683 1.57 17.96 4,598,016 298,308,555
2018-02-02 2018-01-31 4 BTU PEABODY ENERGY CORP
Series A Convertible Preferred Stock 		C - Conversion 2,404,192 0 -100.00
2018-02-02 2018-01-31 4 BTU PEABODY ENERGY CORP
Common Stock, $0.01 par value per share (the "Common Stock") 		C - Conversion 4,526,600 11,308,687 66.74
2017-09-28 2017-09-27 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -63,354 3,737,199 -1.67 8.25 -522,670 30,831,892
2017-09-28 2017-09-27 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -198,504 3,800,553 -4.96 8.26 -1,638,651 31,373,565
2017-09-28 2017-09-26 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -88,617 3,999,057 -2.17 8.25 -731,330 33,003,018
2017-09-19 2017-09-15 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -800 4,087,674 -0.02 8.30 -6,640 33,927,694
2017-09-19 2017-09-15 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -150,000 4,088,474 -3.54 8.25 -1,237,845 33,739,314
2017-09-14 2017-09-12 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -25,000 3,976,106 -0.62 8.15 -203,818 32,415,999
2017-09-06 2017-09-01 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -50,000 4,001,106 -1.23 8.26 -412,940 33,044,334
2017-08-30 2017-08-28 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -1,000 4,051,106 -0.02 8.25 -8,250 33,421,624
2017-08-25 2017-08-25 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -26,000 4,052,106 -0.64 8.25 -214,521 33,433,116
2017-08-25 2017-08-23 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -920 4,078,106 -0.02 8.31 -7,645 33,890,284
2017-08-25 2017-08-23 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -7,264 4,079,026 -0.18 8.30 -60,293 33,857,140
2017-08-25 2017-08-23 4 MITL MITEL NETWORKS CORP
Common shares, no par value 		S - Sale -120,000 4,086,290 -2.85 8.30 -996,000 33,916,207
2017-08-22 2017-07-17 4 AFGR Affinion Group Holdings, Inc.
Warrant (Right to Buy) 		X - Other 56,157 682,187 8.97
2017-06-21 3 AFGR Affinion Group Holdings, Inc.
Common Stock, par value $0.01 per share 		272,000
2017-06-21 3 AFGR Affinion Group Holdings, Inc.
Common Stock, par value $0.01 per share 		272,000
2017-06-02 2017-06-02 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 2,903 3,672,292 0.08 23.62 68,579 86,752,757
2017-06-02 2017-06-02 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 12,000 3,669,389 0.33 23.18 278,137 85,049,465
2017-06-02 2017-06-01 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 5,097 3,657,389 0.14 23.74 120,978 86,808,494
2017-06-02 2017-05-31 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 4,045 3,652,292 0.11 24.00 97,078 87,653,182
2017-05-25 2017-05-25 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 992 3,648,247 0.03 23.87 23,676 87,070,887
2017-05-25 2017-05-23 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 8,436 3,647,255 0.23 23.35 196,974 85,160,486
2017-05-22 2017-05-16 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 83,405 3,638,819 2.35 24.25 2,022,413 88,234,447
2017-05-15 2017-05-15 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 64,000 3,555,414 1.83 25.01 1,600,570 88,916,993
2017-05-15 2017-05-12 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 29,017 3,491,414 0.84 24.70 716,592 86,222,564
2017-05-15 2017-05-11 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 56,000 3,462,397 1.64 25.00 1,399,938 86,556,116
2017-05-10 2017-05-10 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 13,280 3,406,397 0.39 24.97 331,560 85,047,173
2017-05-10 2017-05-09 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 32,000 3,393,117 0.95 24.58 786,522 83,398,744
2017-05-10 2017-05-08 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 15,649 3,361,117 0.47 24.14 377,826 81,150,137
2017-05-10 2017-05-08 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 80,000 3,345,468 2.45 24.17 1,933,432 80,852,936
2017-05-05 2017-05-05 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 16,000 3,265,468 0.49 23.77 380,320 77,620,174
2017-05-05 2017-05-05 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 85,883 3,249,468 2.71 23.90 2,052,337 77,652,212
2017-05-05 2017-05-04 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 443,968 3,163,585 16.32 24.01 10,661,226 75,968,748
2017-05-05 2017-05-04 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 525,513 2,719,617 23.95 23.50 12,349,556 63,911,000
2017-05-05 2017-05-04 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 24,000 2,194,104 1.11 24.70 592,800 54,194,369
2017-05-05 2017-05-04 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 4,512 2,170,104 0.21 24.29 109,601 52,714,213
2017-05-05 2017-05-03 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 236,329 2,165,592 12.25 25.31 5,980,376 54,800,955
2017-05-02 2017-05-02 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 60,999 1,929,263 3.27 26.10 1,591,885 50,347,784
2017-05-02 2017-05-01 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 25,335 1,868,264 1.37 25.78 653,065 48,158,615
2017-05-02 2017-04-28 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 53,571 1,842,929 2.99 25.74 1,379,019 47,440,494
2017-04-27 2017-04-27 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 61,368 1,789,358 3.55 26.28 1,612,745 47,024,149
2017-04-27 2017-04-27 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 16,000 1,727,990 0.93 26.45 423,136 45,698,424
2017-04-27 2017-04-26 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 39,423 1,711,990 2.36 26.48 1,043,826 45,329,386
2017-04-27 2017-04-26 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 1,920 1,672,567 0.11 26.50 50,880 44,323,026
2017-04-27 2017-04-25 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 32,490 1,670,647 1.98 26.27 853,363 43,880,212
2017-04-27 2017-04-25 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 2,708 1,638,157 0.17 26.07 70,604 42,710,685
2017-04-24 2017-04-24 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 11,680 1,635,449 0.72 26.26 306,735 42,949,507
2017-04-24 2017-04-21 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 48,000 1,623,769 3.05 25.33 1,215,662 41,124,061
2017-04-24 2017-04-20 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 8,000 1,575,769 0.51 25.11 200,902 39,571,814
2017-04-20 2017-04-19 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 74,016 1,567,769 4.96 24.92 1,844,634 39,072,096
2017-04-20 2017-04-18 4 BTU PEABODY ENERGY CORP
Common Stock Warrant (Right to Buy) 		X - Other -94 0 -100.00
2017-04-20 2017-04-18 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		X - Other 94 1,493,753 0.01 0.01 1 14,938
2017-04-20 2017-04-18 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 16,000 1,493,659 1.08 23.86 381,758 35,638,554
2017-04-20 2017-04-18 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 172,055 1,477,659 13.18 24.07 4,142,000 35,572,719
2017-04-17 2017-04-13 4 BTU PEABODY ENERGY CORP
Common Stock Warrant (Right to Buy) 		J - Other 94 94
2017-04-17 2017-04-13 4 BTU PEABODY ENERGY CORP
Common Stock Warrant (Right to Buy) 		X - Other -908 0 -100.00
2017-04-17 2017-04-13 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		J - Other 4,287 1,305,604 0.33
2017-04-17 2017-04-13 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		M - Exercise 908 3,112,082 0.03 0.01 9 31,121
2017-04-17 2017-04-13 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		F - Taxes -18 1,301,317 0.00 0.01 -0 13,013
2017-04-17 2017-04-13 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		M - Exercise 52,721 1,301,335 4.22 0.01 527 13,013
2017-04-17 2017-04-12 4 BTU PEABODY ENERGY CORP
Common Stock Warrant (Right to Buy) 		X - Other -52,721 0 -100.00
2017-04-17 2017-04-12 4 BTU PEABODY ENERGY CORP
Common Stock Warrant (Right to Buy) 		X - Other -282,344 908 -99.68
2017-04-17 2017-04-12 4 BTU PEABODY ENERGY CORP
Common Stock Warrant (Right to Buy) 		X - Other -51,446 52,721 -49.39
2017-04-17 2017-04-12 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		F - Taxes -93 3,111,174 0.00 0.01 -1 31,112
2017-04-17 2017-04-12 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		M - Exercise 282,344 3,111,267 9.98 0.01 2,823 31,113
2017-04-17 2017-04-12 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		F - Taxes -19 1,248,614 0.00 0.01 -0 12,486
2017-04-17 2017-04-12 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		M - Exercise 51,446 1,248,633 4.30 0.01 514 12,486
2017-04-13 3 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		7,167,351
2017-04-13 3 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		8,972,847
2017-04-13 3 BTU PEABODY ENERGY CORP
Series A Convertible Preferred, par value $0.01 per share 		6,621,559
2017-04-13 3 BTU PEABODY ENERGY CORP
Series A Convertible Preferred, par value $0.01 per share 		7,957,863
2017-04-13 3 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		7,167,351
2017-04-13 3 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		8,972,847
2017-04-13 3 BTU PEABODY ENERGY CORP
Series A Convertible Preferred, par value $0.01 per share 		6,621,559
2017-04-13 3 BTU PEABODY ENERGY CORP
Series A Convertible Preferred, par value $0.01 per share 		7,957,863
2017-04-07 2017-04-06 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 58,560 1,197,187 5.14 27.50 1,610,482 32,924,319
2017-04-07 2017-04-05 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 32,000 1,138,627 2.89 28.00 895,856 31,876,432
2017-04-07 2017-04-05 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 51,200 1,106,627 4.85 27.99 1,433,257 30,978,142
2017-04-07 2017-04-05 4 BTU PEABODY ENERGY CORP
Common Stock, par value $0.01 per Share 		P - Purchase 32,000 1,055,427 3.13 27.97 895,018 29,519,554
2017-02-24 2017-02-24 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 144,000 16,352,683 0.89 29.27 4,214,304 478,577,621
2017-02-24 2017-02-24 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 80,001 16,208,683 0.50 29.33 2,346,101 475,334,217
2017-02-23 2017-02-23 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 192,000 16,128,682 1.20 30.01 5,761,421 483,979,812
2017-02-22 2017-02-22 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 240,000 15,936,682 1.53 30.46 7,309,296 485,358,025
2017-02-21 2017-02-21 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 128,000 15,696,682 0.82 30.12 3,855,526 472,804,468
2017-02-17 2017-02-17 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 128,000 15,568,682 0.83 29.78 3,812,275 463,688,283
2017-02-16 2017-02-16 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 128,000 15,440,682 0.84 29.20 3,738,125 450,931,221
2017-02-15 2017-02-15 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 136,000 15,312,682 0.90 29.27 3,980,326 448,157,795
2017-02-14 2017-02-13 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 40,000 15,104,682 0.27 29.54 1,181,736 446,243,662
2017-02-14 2017-02-13 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 24,000 15,064,682 0.16 29.48 707,602 444,158,045
2017-02-14 2017-02-14 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 72,000 15,176,682 0.48 29.86 2,150,114 453,216,702
2017-02-10 2017-02-10 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 40,000 15,040,682 0.27 29.18 1,167,092 438,846,491
2017-02-09 2017-02-09 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 32,000 15,000,682 0.21 27.91 892,982 418,604,532
2017-02-08 2017-02-08 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 24,000 14,968,682 0.16 26.86 644,609 402,039,339
2017-02-07 2017-02-07 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 16,000 14,944,682 0.11 26.36 421,686 393,873,072
2017-02-06 2017-02-06 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 24,000 14,928,682 0.16 25.88 621,151 386,373,697
2017-02-03 2017-02-03 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 72,000 14,904,682 0.49 25.57 1,840,802 381,063,533
2017-02-02 2017-02-02 4/A ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 40,000 14,832,682 0.27 25.23 1,009,268 374,253,782
2017-02-02 2017-02-02 4/A ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 24,000 14,792,682 0.16 25.42 610,073 376,025,539
2017-02-02 2017-02-01 4/A ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 80,000 14,768,682 0.54 25.33 2,026,160 374,046,409
2017-01-27 2017-01-27 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 80,000 14,688,682 0.55 22.62 1,809,840 332,302,053
2017-01-27 2017-01-26 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 32,000 14,608,682 0.22 22.64 724,480 330,740,560
2017-01-27 2017-01-26 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 16,000 14,576,682 0.11 22.65 362,374 330,138,525
2017-01-27 2017-01-26 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 16,000 14,560,682 0.11 22.85 365,539 332,656,253
2017-01-27 2017-01-26 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 16,000 14,544,682 0.11 22.79 364,698 331,525,664
2017-01-27 2017-01-25 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 80,000 14,528,682 0.55 22.56 1,804,560 327,723,480
2017-01-27 2017-01-25 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 16,000 14,448,682 0.11 22.57 361,120 326,106,753
2017-01-25 2017-01-24 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 53,317 14,432,682 0.37 22.21 1,184,144 320,542,651
2017-01-25 2017-01-24 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 90,683 14,379,365 0.63 21.74 1,971,267 312,578,636
2017-01-25 2017-01-23 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 40,000 14,288,682 0.28 21.20 848,128 302,965,782
2017-01-25 2017-01-23 4 ARNC Arconic Inc.
Common Stock, $1.00 par value 		P - Purchase 72,000 14,248,682 0.51 21.23 1,528,538 302,495,244
2017-01-25 3 ARNC Arconic Inc.
Common Stock, $1.00 par value 		28,353,364
2017-01-25 3 ARNC Arconic Inc.
Common Stock, $1.00 par value 		28,353,364
2016-08-29 3 MITL MITEL NETWORKS CORP
Common shares, no par value 		8,412,580
2016-08-29 3 MITL MITEL NETWORKS CORP
Common shares, no par value 		8,412,580
2015-12-01 2015-11-27 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 4,945 2,280,171 0.22 76.73 379,446 174,965,045
2015-11-30 2015-11-25 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 5,782 2,275,226 0.25 76.61 442,960 174,305,291
2015-11-27 2015-11-24 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 26,858 2,269,444 1.20 75.70 2,033,032 171,786,925
2015-11-25 2015-11-23 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 17,000 2,242,586 0.76 75.77 1,288,041 169,914,238
2015-11-24 2015-11-20 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 17,000 2,225,586 0.77 74.60 1,268,249 166,035,170
2015-11-24 2015-11-20 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 34,000 2,208,586 1.56 74.67 2,538,668 164,907,828
2015-11-23 2015-11-19 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 51,000 2,174,586 2.40 72.83 3,714,340 158,375,533
2015-11-23 2015-11-19 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 110,500 2,123,586 5.49 73.05 8,071,793 155,123,498
2015-11-23 2015-11-19 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 17,000 2,013,086 0.85 73.41 1,247,895 147,771,786
2015-08-31 2015-08-28 4 CTXS CITRIX SYSTEMS INC
Notional Principal Amount Derivative Agreement 		J - Other 1 1 68.48 68 68
2015-08-31 2015-08-28 4 CTXS CITRIX SYSTEMS INC
Notional Principal Amount Derivative Agreement 		J - Other 1 1 68.56 69 69
2015-08-31 2015-08-28 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 13,926 1,996,086 0.70 68.51 954,031 136,746,263
2015-08-26 2015-08-26 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 17,000 1,982,160 0.87 68.11 1,157,792 134,995,800
2015-08-26 2015-08-26 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 25,500 1,965,160 1.31 67.27 1,715,446 132,201,030
2015-08-26 2015-08-25 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 8,500 1,939,660 0.44 68.87 585,409 133,587,682
2015-08-26 2015-08-25 4 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		P - Purchase 51,000 1,931,160 2.71 68.29 3,483,014 131,887,414
2015-08-07 3 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		3,760,320
2015-08-07 3 CTXS CITRIX SYSTEMS INC
Common Stock, $.001 par value 		3,760,320
2015-04-13 2015-04-10 4 NBHC National Bank Holdings Corp
Class A Common Stock, Par Value $0.01 		S - Sale -25,000 1,223,654 -2.00 18.53 -463,290 22,676,266
2015-04-13 2015-04-09 4 NBHC National Bank Holdings Corp
Class A Common Stock, Par Value $0.01 		S - Sale -15,000 1,248,654 -1.19 18.52 -277,839 23,128,319
2015-04-13 2015-04-08 4 NBHC National Bank Holdings Corp
Notional Principal Amount Derivative Agreement 		J - Other 1 1
2015-04-13 3 NBHC National Bank Holdings Corp
Class A Common Stock, Par Value $0.01 		2,527,308
2015-04-13 3 NBHC National Bank Holdings Corp
Class A Common Stock, Par Value $0.01 		2,527,308
2014-05-21 2014-05-19 4 GAMR Great American Group, Inc.
Common Stock, par value $0.0001 		P - Purchase 13,692,000 16,143,600 558.49 0.25 3,423,000 4,035,900
2012-11-23 2012-11-21 4 ELX EMULEX CORP /DE/
Common Stock 		S - Sale -16,221 3,124,149 -0.52 6.63 -107,475 20,699,674
2012-11-23 2012-11-21 4 ELX EMULEX CORP /DE/
Common Stock 		S - Sale -30,075 3,140,370 -0.95 6.65 -199,939 20,877,180
2012-11-23 2012-11-20 4 ELX EMULEX CORP /DE/
Common Stock 		S - Sale -87,505 3,170,445 -2.69 6.73 -589,180 21,346,923
2012-11-23 2012-11-20 4 ELX EMULEX CORP /DE/
Common Stock 		S - Sale -11,738 3,257,950 -0.36 6.79 -79,679 22,115,290
2012-11-19 2012-11-19 4 ELX EMULEX CORP /DE/
Common Stock 		P - Purchase 20,898 3,269,688 0.64 6.48 135,496 21,199,676
2012-11-19 2012-11-16 4 ELX EMULEX CORP /DE/
Common Stock 		P - Purchase 17,500 3,248,790 0.54 6.48 113,428 21,057,357
2012-11-19 2012-11-16 4 ELX EMULEX CORP /DE/
Common Stock 		P - Purchase 14,490 3,231,290 0.45 6.32 91,536 20,412,705
2012-11-19 2012-11-15 4 ELX EMULEX CORP /DE/
Common Stock 		P - Purchase 52,500 3,216,800 1.66 6.51 341,974 20,953,592
2012-11-19 3 ELX EMULEX CORP /DE/
Common Stock 		3,164,300
2012-08-09 2012-08-07 4 DLPH Delphi Automotive PLC
Common Stock 		S - Sale -805,000 11,272,796 -6.67 29.04 -23,377,200 327,361,996
2012-06-26 3 CNDO CORONADO BIOSCIENCES INC
Common Stock 		792,328
2012-06-26 3 CNDO CORONADO BIOSCIENCES INC
Common Stock 		1,284,053
2012-04-20 2012-04-17 4 DLPH Delphi Automotive PLC
Common Stock 		S - Sale -218,554 12,077,796 -1.78 32.69 -7,144,421 394,817,112
2012-04-20 2012-04-17 4 DLPH Delphi Automotive PLC
Common Stock 		S - Sale -1,015,001 12,296,350 -7.63 32.10 -32,581,532 394,712,835
2012-04-03 2012-04-03 4 DLPH Delphi Automotive PLC
Common Stock 		S - Sale -87,500 13,311,351 -0.65 31.50 -2,756,250 419,307,556
2012-04-03 2012-04-02 4 DLPH Delphi Automotive PLC
Common Stock 		S - Sale -350,000 13,398,851 -2.55 31.54 -11,040,750 422,666,755
2012-04-03 2012-03-30 4 DLPH Delphi Automotive PLC
Common Stock 		S - Sale -2,378,103 13,748,851 -14.75 31.55 -75,029,150 433,776,249
2012-04-03 2012-03-30 4 DLPH Delphi Automotive PLC
Common Stock 		S - Sale -70,000 16,126,954 -0.43 31.60 -2,212,000 509,611,746
2012-02-24 2012-02-24 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 1,085 4,927,799 0.02 470.14 510,105 2,316,767,249
2012-02-24 2012-02-24 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 3,344 4,926,714 0.07 470.93 1,574,787 2,320,132,990
2012-02-24 2012-02-23 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 21,700 4,923,370 0.44 18.94 410,961 93,240,258
2012-02-24 2012-02-23 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 12,735 4,901,670 0.26 470.15 5,987,353 2,304,517,209
2012-02-24 2012-02-23 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 15,265 4,888,935 0.31 470.82 7,187,051 2,301,802,999
2012-02-24 2012-02-22 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 42,000 4,873,670 0.87 19.01 798,361 92,641,644
2012-02-22 2012-02-22 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 17,914 4,831,671 0.37 471.25 8,441,892 2,276,903,216
2012-02-22 2012-02-21 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 9,066 4,813,757 0.19 19.00 172,228 91,447,423
2012-02-22 2012-02-21 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 5,460 4,804,691 0.11 471.36 2,573,599 2,264,716,087
2012-02-22 2012-02-17 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 10,500 4,799,231 0.22 19.07 200,275 91,539,572
2012-02-22 2012-02-17 4 PTI Patni Computer Systems LTD
Ordinary Shares 		P - Purchase 22,050 4,788,731 0.46 470.21 10,368,236 2,251,732,189
2012-02-22 3 PTI Patni Computer Systems LTD
Ordinary Shares 		4,766,680
2009-07-17 2009-07-16 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -15,000 160,230 -8.56 6.63 -99,488 1,062,725
2009-07-17 2009-07-16 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -131,374 0 -100.00 6.89 -905,259
2009-07-17 2009-07-15 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -27,770 131,374 -17.45 6.00 -166,670 788,480
2009-07-09 2009-07-08 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -261 159,144 -0.16 6.25 -1,631 994,650
2009-07-09 2009-07-07 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -13,158 159,405 -7.63 6.12 -80,584 976,244
2009-07-07 2009-07-06 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -70,000 172,563 -28.86 6.18 -432,502 1,066,198
2009-07-07 2009-07-02 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -6,511 242,563 -2.61 6.45 -42,004 1,564,847
2009-07-02 2009-07-01 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -50,000 249,074 -16.72 6.76 -337,760 1,682,545
2009-07-02 2009-06-30 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -32,640 299,074 -9.84 6.68 -217,918 1,996,738
2009-06-30 2009-06-29 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -215,791 331,714 -39.41 6.88 -1,484,232 2,281,562
2009-06-30 2009-06-26 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -477,509 547,505 -46.59 6.85 -3,273,181 3,752,983
2009-06-26 2009-06-25 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -38,965 1,025,014 -3.66 6.51 -253,498 6,668,536
2009-06-26 2009-06-24 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -12,559 1,063,979 -1.17 6.48 -81,423 6,897,989
2009-06-24 2009-06-23 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -32,800 1,076,538 -2.96 6.30 -206,758 6,786,065
2009-06-24 2009-06-22 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -11,657 1,109,338 -1.04 6.56 -76,433 7,273,707
2009-06-22 2009-06-19 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -110,614 1,120,995 -8.98 6.54 -723,515 7,332,316
2009-06-19 2009-06-18 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -63,391 1,231,609 -4.90 6.50 -412,219 8,008,907
2009-06-19 2009-06-17 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -100,000 1,295,000 -7.17 6.41 -641,080 8,301,986
2009-06-17 2009-06-16 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -169,000 1,395,000 -10.81 6.48 -1,095,120 9,039,600
2009-06-17 2009-06-15 4 BDSI BIODELIVERY SCIENCES INTERNATIONAL INC
Common Stock 		S - Sale -436,000 1,564,000 -21.80 7.40 -3,226,880 11,575,320
P
非衍生或衍生證券的公開市場或私下買入
S
非衍生或衍生證券的公開市場或私下賣出
A
公司向內部人員授予、獎勵或以其他方式獲取證券（例如股票期權）
C
衍生工具轉換
D
將證券賣出或轉讓回公司
F
使用從公司收到的證券的一部分來支付行使價或稅務負擔。
G
內部人士贈送或接收他人贈送公司股票
K
股權掉期和類似的避險交易
M
行使或轉換從公司獲得的衍生證券（例如期權）
V
內部人士透過Form 4自願報告的一筆交易
J
其他（附有交易描述的腳註）