鼎正盛公司
US ˙ OTCPK ˙ US2682111099

簡介

本頁面提供了有關 C Richard Kramlich 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。

報告內部持倉的公司

SEC文件顯示C Richard Kramlich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:SRMC / Sierra Monitor Corp. Director 0
US:DZSI / DZS Inc. Director 0
Director 0
US:SIVB / SVB Financial Group Director 737
US:TRGT / Targacept 10% Owner 0
US:MM / 10% Owner 8,196,614
US:WDAY / Workday, Inc. 10% Owner 13,927,273
US:FIO / Franklin Income Opportunities Fund 10% Owner 0
US:HPTX / Hyperion Therapeutics Inc 10% Owner 0
US:TSRO / TESARO, Inc. 10% Owner 0
US:ADNC / Audience Inc 10% Owner 0
US:SUPN / Supernus Pharmaceuticals, Inc. 10% Owner 0
10% Owner 15,000
US:FOLD / Amicus Therapeutics, Inc. 10% Owner 4,584,311
US:ECHO / Echo Global Logistics Inc 10% Owner 901
US:INHX / Inhibitex, Inc. 10% Owner 0
如何解讀這些圖表

以下圖表顯示了在C Richard Kramlich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。

DZSIQ / DZS Inc.內部人士買入 - 短期收益分析

在這一部分,我們分析了在 DZSIQ / DZS Inc. 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。

DZSIQ / DZS Inc. Insider Trades
DZSIQ / DZS Inc.內部人士賣出 - 短期虧損分析

在這一部分,我們分析了在 DZSIQ / DZS Inc. 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($)
避免的
最高損失率($)
2013-12-12 ZHNE KRAMLICH C RICHARD 4,927 4.4678 4,927 4.4678 22,013 730
2013-12-11 ZHNE KRAMLICH C RICHARD 38,597 4.5476 38,597 4.5476 175,524
2013-12-06 ZHNE KRAMLICH C RICHARD 45,747 5.2770 45,747 5.2770 241,407
2013-12-05 ZHNE KRAMLICH C RICHARD 22,630 5.0100 22,630 5.0100 113,376
2013-12-02 ZHNE KRAMLICH C RICHARD 5,826 5.4830 5,826 5.4830 31,944
2013-11-27 ZHNE KRAMLICH C RICHARD 2,800 5.4578 2,800 5.4578 15,282
2013-11-26 ZHNE KRAMLICH C RICHARD 64,084 5.4640 64,084 5.4640 350,155
2013-11-26 ZHNE KRAMLICH C RICHARD 39,177 5.4110 39,177 5.4110 211,987
2013-11-25 ZHNE KRAMLICH C RICHARD 9,854 5.4640 9,854 5.4640 53,842

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

DZSIQ / DZS Inc. Insider Trades
MNSH / MNSN Holdings Inc.內部人士買入 - 短期收益分析

在這一部分,我們分析了在 DZSIQ / DZS Inc. 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。

MNSH / MNSN Holdings Inc. Insider Trades
MNSH / MNSN Holdings Inc.內部人士賣出 - 短期虧損分析

在這一部分,我們分析了在 DZSIQ / DZS Inc. 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。

MNSH / MNSN Holdings Inc. Insider Trades
SUPN / Supernus Pharmaceuticals, Inc.內部人士買入 - 短期收益分析

在這一部分,我們分析了在 DZSIQ / DZS Inc. 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(%)
2012-05-04 SUPN NEW ENTERPRISE ASSOCIATES 11 LP 4,400,000 5.0000 4,400,000 5.0000 22,000,000 76 14.86 43,384,000 197.20

經調整價格 已按拆股調整。經調整股數 已按拆股調整。

SUPN / Supernus Pharmaceuticals, Inc. Insider Trades
SUPN / Supernus Pharmaceuticals, Inc.內部人士賣出 - 短期虧損分析

在這一部分,我們分析了在 DZSIQ / DZS Inc. 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。

SUPN / Supernus Pharmaceuticals, Inc. Insider Trades
歷史內部人交易

該表格顯示了由 C Richard Kramlich 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
2019-05-23 2019-05-20 4 SRMC SIERRA MONITOR CORP /CA/
COMMON STOCK
D - Sale to Issuer -2,767,688 0 -100.00 3.25 -8,994,986
2017-09-11 2017-09-09 4 DZSI DASAN ZHONE SOLUTIONS INC
Restricted Stock Units
M - Exercise -750 0 -100.00
2017-09-11 2017-09-09 4 DZSI DASAN ZHONE SOLUTIONS INC
Common Stock
M - Exercise 750 9,326 8.75
2017-02-22 2017-02-20 4 DZSI DASAN ZHONE SOLUTIONS INC
Common Stock
A - Award 16,807 42,881 64.46
2016-09-13 2016-09-09 4 DZSI DASAN ZHONE SOLUTIONS INC
Restricted Stock Unit
A - Award 15,000 15,000
2015-11-13 2015-11-12 4 XOOM XOOM Corp
Stock Option (Right to Buy)
D - Sale to Issuer -9,179 0 -100.00
2015-11-13 2015-11-12 4 XOOM XOOM Corp
Stock Option (Right to Buy)
D - Sale to Issuer -11,259 0 -100.00
2015-11-13 2015-11-12 4 XOOM XOOM Corp
Stock Option (Right to Buy)
D - Sale to Issuer -16,090 0 -100.00
2015-11-13 2015-11-12 4 XOOM XOOM Corp
Common Stock
D - Sale to Issuer -9,073 0 -100.00 25.00 -226,825
2015-11-13 2015-11-12 4 XOOM XOOM Corp
Common Stock
D - Sale to Issuer -50,535 0 -100.00 25.00 -1,263,375
2015-06-01 2015-05-28 4 XOOM XOOM Corp
Stock Option (right to buy)
A - Award 9,179 9,179
2015-06-01 2015-05-28 4 XOOM XOOM Corp
Common Stock
A - Award 3,924 9,073 76.21
2015-06-01 2015-05-28 4 XOOM XOOM Corp
Common Stock
A - Award 2,095 5,149 68.60
2015-05-22 2015-05-20 4 SIVB SVB FINANCIAL GROUP
Restricted Stock Unit
A - Award 737 737
2015-05-06 2015-05-05 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
A - Award 15,000 26,074 135.45
2015-05-06 2015-05-05 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
A - Award 10,695 11,074 2,821.90
2015-04-27 2015-04-23 4 SIVB SVB FINANCIAL GROUP
Restricted Stock Unit
M - Exercise -940 0 -100.00
2015-04-27 2015-04-23 4 SIVB SVB FINANCIAL GROUP
Common Stock
M - Exercise 940 17,969 5.52
2014-11-24 2014-11-20 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 54,500 2,556,188 2.18 1.50 81,750 3,834,282
2014-06-02 2014-05-29 4 XOOM XOOM Corp
Stock Option (right to buy)
A - Award 11,259 11,259
2014-06-02 2014-05-29 4 XOOM XOOM Corp
Common Stock
A - Award 1,378 3,054 82.22
2014-05-23 2014-05-21 4 SIVB SVB FINANCIAL GROUP
Restricted Stock Unit
A - Award 940 940
2014-05-14 2014-05-13 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (Right to Buy)
A - Award 50,000 50,000
2014-04-28 2014-04-24 4 SIVB SVB FINANCIAL GROUP
Restricted Stock Unit
M - Exercise -1,349 0 -100.00
2014-04-28 2014-04-24 4 SIVB SVB FINANCIAL GROUP
Common Stock
M - Exercise 1,349 17,029 8.60
2013-12-13 2013-12-12 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -4,927 379 -92.86 4.47 -22,013 1,693
2013-12-13 2013-12-11 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -38,597 5,306 -87.91 4.55 -175,524 24,130
2013-12-09 2013-12-06 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -6,246 43,754 -12.49
2013-12-09 2013-12-06 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -17,697 32,303 -35.39
2013-12-09 2013-12-06 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -21,804 18,751 -53.76
2013-12-09 2013-12-06 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -45,747 43,903 -51.03 5.28 -241,407 231,676
2013-12-09 2013-12-06 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 6,246 89,650 7.49 0.95 5,934 85,168
2013-12-09 2013-12-06 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 17,697 83,404 26.93 0.89 15,750 74,230
2013-12-09 2013-12-06 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 21,804 65,707 49.66 2.49 54,292 163,610
2013-12-09 2013-12-05 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -9,445 40,555 -18.89
2013-12-09 2013-12-05 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -13,185 6,251 -67.84
2013-12-09 2013-12-05 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -22,630 43,903 -34.01 5.01 -113,376 219,954
2013-12-09 2013-12-05 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 9,445 66,533 16.54 2.49 23,518 165,667
2013-12-09 2013-12-05 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 13,185 57,088 30.03 1.89 24,920 107,896
2013-12-04 2013-12-02 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -5,826 19,436 -23.06
2013-12-04 2013-12-02 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -5,826 43,903 -11.72 5.48 -31,944 240,720
2013-12-04 2013-12-02 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 5,826 49,729 13.27 1.89 11,011 93,988
2013-12-02 2013-11-27 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -2,800 25,262 -9.98
2013-12-02 2013-11-27 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -2,800 43,903 -6.00 5.46 -15,282 239,614
2013-12-02 2013-11-27 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 2,800 46,703 6.38 1.89 5,292 88,269
2013-11-27 2013-11-26 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -21,938 28,062 -43.88
2013-11-27 2013-11-26 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -10,000 0 -100.00
2013-11-27 2013-11-26 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -32,146 0 -100.00
2013-11-27 2013-11-26 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -39,177 43,903 -47.16 5.41 -211,987 237,559
2013-11-27 2013-11-26 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -64,084 83,080 -43.55 5.46 -350,155 453,949
2013-11-27 2013-11-26 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 21,938 147,164 17.52 1.89 41,463 278,140
2013-11-27 2013-11-26 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 10,000 125,226 8.68 1.40 14,000 175,316
2013-11-27 2013-11-26 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 32,146 115,226 38.69 0.50 16,073 57,613
2013-11-27 2013-11-25 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (right to buy)
M - Exercise -9,854 32,146 -23.46
2013-11-27 2013-11-25 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
S - Sale -9,854 83,080 -10.60 5.46 -53,842 453,949
2013-11-27 2013-11-25 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
M - Exercise 9,854 92,934 11.86 0.50 4,927 46,467
2013-11-18 2013-11-15 4 XOOM XOOM Corp
Common Stock
J - Other 201 50,545 0.40
2013-11-18 2013-11-15 4 XOOM XOOM Corp
Common Stock
J - Other 48,553 50,344 2,710.94
2013-10-31 2013-10-29 4 XOOM XOOM Corp
Common Stock
J - Other 200 1,781 12.65
2013-10-31 2013-10-29 4 XOOM XOOM Corp
Common Stock
J - Other 1,581 1,581
2013-07-22 2013-07-18 4 XOOM XOOM Corp
Stock Option (right to buy)
A - Award 16,090 16,090
2013-06-04 2013-05-31 4 XOOM XOOM Corp
Common Stock
A - Award 1,676 1,676
2013-05-24 2013-05-22 4 SIVB SVB FINANCIAL GROUP
Restricted Stock Unit
A - Award 1,349 1,349
2013-05-06 2013-05-02 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (Right to Buy)
A - Award 50,000 50,000
2013-05-06 2013-05-02 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
A - Award 21,052 83,080 33.94
2013-04-29 2013-04-25 4 SIVB SVB FINANCIAL GROUP
Restricted Stock Unit
M - Exercise -1,675 0 -100.00
2013-04-29 2013-04-25 4 SIVB SVB FINANCIAL GROUP
Common Stock
M - Exercise 1,675 15,680 11.96
2012-11-20 2012-11-19 4 TRGT TARGACEPT INC
Stock Option (Right to Buy)
X - Other -3,333 0 -100.00
2012-11-20 2012-11-19 4 TRGT TARGACEPT INC
Common Stock
X - Other 3,333 5,333 166.65 0.08 250 400
2012-11-14 2012-11-13 4 SRMC SIERRA MONITOR CORP /CA/
COMMON STOCK
P - Purchase 25,000 2,501,688 1.01 1.70 42,500 4,252,870
2012-10-30 2012-10-29 4 MM Millennial Media Inc.
Common Stock
S - Sale -1,597,787 8,196,614 -16.31 13.44 -21,478,252 110,182,984
2012-10-18 2012-10-17 4 WDAY Workday, Inc.
Class B Common Stock
C - Conversion 6,963,636 13,927,273 100.00
2012-10-18 2012-10-17 4 WDAY Workday, Inc.
Series E Convertible Preferred Stock
C - Conversion -6,963,636 0 -100.00
2012-10-18 2012-10-17 4 WDAY Workday, Inc.
Class B Common Stock
C - Conversion 6,963,637 6,963,637
2012-10-18 2012-10-17 4 WDAY Workday, Inc.
Series E Convertible Preferred Stock
C - Conversion -6,963,637 0 -100.00
2012-09-12 2012-09-07 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,500 2,476,688 0.06 1.65 2,475 4,086,535
2012-09-12 2012-09-06 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 850 2,475,188 0.03 1.65 1,402 4,084,060
2012-09-06 2012-09-05 4 FIO FUSION-IO, INC.
Common Stock
S - Sale -64,634 0 -100.00 27.67 -1,788,494
2012-09-06 2012-09-05 4 FIO FUSION-IO, INC.
Common Stock
S - Sale -10,352 0 -100.00 27.79 -287,714
2012-09-06 2012-09-04 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,352 10,352
2012-09-06 2012-09-04 4 FIO FUSION-IO, INC.
Common Stock
J - Other 2,372 8,205 40.67
2012-09-06 2012-09-04 4 FIO FUSION-IO, INC.
Common Stock
J - Other -45,000 0 -100.00
2012-09-06 2012-09-04 4 FIO FUSION-IO, INC.
Common Stock
J - Other 45,000 45,000
2012-09-06 2012-09-04 4 FIO FUSION-IO, INC.
Common Stock
J - Other -4,500,000 9,038,379 -33.24
2012-09-06 2012-09-04 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 500 2,474,338 0.02 1.65 825 4,082,658
2012-09-06 2012-08-31 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 500 2,473,838 0.02 1.65 825 4,081,833
2012-09-06 2012-08-29 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 650 2,473,338 0.03 1.65 1,072 4,081,008
2012-08-29 2012-08-28 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,000 2,472,688 0.04 1.60 1,600 3,956,301
2012-08-29 2012-08-28 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,000 2,471,688 0.04 1.65 1,650 4,078,285
2012-08-29 2012-08-27 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,000 2,470,688 0.04 1.65 1,650 4,076,635
2012-08-27 2012-08-24 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,500 2,469,688 0.06 1.60 2,400 3,951,501
2012-08-27 2012-08-23 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,500 2,468,188 0.06 1.55 2,325 3,825,691
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Series C-1 Preferred Stock
C - Conversion -611,185 0 -100.00
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Convertible Promissory Note
C - Conversion 0
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Convertible Promissory Note
C - Conversion 0
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Convertible Promissory Note
C - Conversion 0
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Series C-2 Preferred Stock
C - Conversion -2,043 0 -100.00
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Series C-2 Preferred Stock
C - Conversion -2,043 0 -100.00
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Series C-2 Preferred Stock
J - Other -51,744 2,043 -96.20 10.00 -517,440 20,430
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Series C-2 Preferred Stock
J - Other -51,744 2,043 -96.20 10.00 -517,440 20,430
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Series C-2 Preferred Stock
X - Other 53,787 53,787
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Series C-2 Preferred Stock
X - Other 53,787 53,787
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Preferred Stock Warrant (right to buy)
X - Other -53,787 0 -100.00
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Preferred Stock Warrant (right to buy)
X - Other -53,787 0 -100.00
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock Warrant (right to buy)
X - Other -125,291 0 -100.00
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Series C-2 Preferred Stock
C - Conversion -898,808 0 -100.00
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
P - Purchase 500,000 2,884,221 20.97 10.00 5,000,000 28,842,210
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
C - Conversion 177,481 2,384,221 8.04
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
C - Conversion 180,459 2,206,740 8.91
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
C - Conversion 434,096 2,026,281 27.26
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
C - Conversion 2,043 1,592,185 0.13
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
C - Conversion 2,043 1,592,185 0.13
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
J - Other -51,119 1,588,099 -3.12
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
X - Other 125,291 1,639,218 8.28
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
C - Conversion 898,808 1,513,927 146.12
2012-08-02 2012-07-31 4 HPTX HYPERION THERAPEUTICS INC
Common Stock
C - Conversion 611,185 615,119 15,535.97
2012-07-25 3 HPTX HYPERION THERAPEUTICS INC
Common Stock
3,934
2012-07-03 2012-07-03 4 TSRO TESARO, Inc.
Series B Preferred Stock
C - Conversion -5,253,859 0 -100.00
2012-07-03 2012-07-03 4 TSRO TESARO, Inc.
Series A Preferred Stock
C - Conversion -5,134,285 0 -100.00
2012-07-03 2012-07-03 4 TSRO TESARO, Inc.
Common Stock
P - Purchase 1,111,111 11,499,255 10.70 13.50 14,999,998 155,239,942
2012-07-03 2012-07-03 4 TSRO TESARO, Inc.
Common Stock
C - Conversion 10,388,144 10,388,144
2012-06-19 2012-06-13 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,500 211,500 0.71 1.55 2,325 327,825
2012-06-19 2012-06-13 4 SRMC SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 7,500 210,000 3.70 1.60 12,000 336,000
2012-05-25 2012-05-23 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,500 201,000 0.75 1.60 2,400 321,600
2012-05-24 2012-05-23 4 SIVB SVB FINANCIAL GROUP
Restricted Stock Units
A - Award 1,675 1,675
2012-05-24 2012-04-26 4 SIVB SVB FINANCIAL GROUP
Restricted Stock Units
M - Exercise -1,705 0 -100.00
2012-05-24 2012-04-26 4 SIVB SVB FINANCIAL GROUP
Common Stock
M - Exercise 1,705 14,005 13.86
2012-05-24 2012-05-24 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,500 201,000 0.75 1.60 2,400 321,600
2012-05-24 2012-05-23 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,500 199,500 0.76 1.60 2,400 319,200
2012-05-24 2012-05-22 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 1,000 198,000 0.51 1.65 1,650 326,700
2012-05-24 2012-05-22 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 8,000 197,000 4.23 1.60 12,800 315,200
2012-05-24 2012-05-17 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 2,580 189,000 1.38 1.60 4,128 302,400
2012-05-24 2012-05-15 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 920 186,420 0.50 1.60 1,472 298,272
2012-05-24 2012-05-11 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 2,500 185,500 1.37 1.60 4,000 296,800
2012-05-23 2012-05-22 4 ZHNE ZHONE TECHNOLOGIES INC
Director Stock Option (Right to Buy)
A - Award 50,000 50,000
2012-05-23 2012-05-22 4 ZHNE ZHONE TECHNOLOGIES INC
Common Stock
A - Award 22,472 62,028 56.81
2012-05-16 2012-05-15 4 ADNC AUDIENCE INC
Series E Preferred Stock
C - Conversion -1,349,396 0 -100.00
2012-05-16 2012-05-15 4 ADNC AUDIENCE INC
Series D Preferred Stock
C - Conversion -1,111,435 0 -100.00
2012-05-16 2012-05-15 4 ADNC AUDIENCE INC
Series C Preferred Stock
C - Conversion -450,952 0 -100.00
2012-05-16 2012-05-15 4 ADNC AUDIENCE INC
Series B-1 Preferred Stock
C - Conversion -230,379 0 -100.00
2012-05-16 2012-05-15 4 ADNC AUDIENCE INC
Series B Preferred Stock
C - Conversion -1,135,843 0 -100.00
2012-05-16 2012-05-15 4 ADNC AUDIENCE INC
Common Stock
C - Conversion 4,278,005 4,278,005
2012-05-16 2012-05-11 4 SRMC.OB SIERRA MONITOR CORP /CA/
Common Stock
P - Purchase 2,500 183,000 1.39 1.60 4,000 292,800
2012-05-08 2012-05-04 4 SUPN SUPERNUS PHARMACEUTICALS INC
Series A Preferred Stock
C - Conversion -24,965,000 0 -100.00
2012-05-08 2012-05-04 4 SUPN SUPERNUS PHARMACEUTICALS INC
Common Stock
P - Purchase 4,400,000 10,641,250 70.50 5.00 22,000,000 53,206,250
2012-05-08 2012-05-04 4 SUPN SUPERNUS PHARMACEUTICALS INC
Common Stock
C - Conversion 6,241,250 6,241,250
2012-05-01 2012-04-30 4 FIO FUSION-IO, INC.
Common Stock
S - Sale -16,101 0 -100.00 26.53 -427,211
2012-05-01 2012-04-27 4 FIO FUSION-IO, INC.
Common Stock
J - Other 16,101 16,101
2012-05-01 2012-04-27 4 FIO FUSION-IO, INC.
Common Stock
J - Other 3,692 5,833 172.44
2012-05-01 2012-04-27 4 FIO FUSION-IO, INC.
Common Stock
J - Other -69,998 0 -100.00
2012-04-04 2012-04-03 4 MM Millennial Media Inc.
Series D Preferred Stock
C - Conversion -1,758,302 0 -100.00
2012-04-04 2012-04-03 4 MM Millennial Media Inc.
Series C Preferred Stock
C - Conversion -8,036,099 0 -100.00
2012-04-04 2012-04-03 4 MM Millennial Media Inc.
Common Stock
C - Conversion 9,794,401 9,794,401
2012-03-30 2012-03-28 4 INWK INNERWORKINGS INC
Common Stock
J - Other 5,000 15,000 50.00
2012-03-30 2012-03-28 4 INWK INNERWORKINGS INC
Common Stock
J - Other -500,000 4,529,190 -9.94
2012-03-28 2012-03-26 4 INWK INNERWORKINGS INC
Common Stock
J - Other 10,000 10,000
2012-03-28 2012-03-26 4 INWK INNERWORKINGS INC
Common Stock
J - Other -1,000,000 5,029,190 -16.59
2012-03-16 2012-03-14 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 69,998 16.67
2012-03-16 2012-03-14 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 13,538,379 -6.88
2012-03-13 2012-03-09 4 FIO FUSION-IO, INC.
Common Stock
J - Other 9,998 59,998 20.00
2012-03-13 2012-03-09 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 14,538,379 -6.44
2012-03-09 2012-03-07 4 FOLD AMICUS THERAPEUTICS INC
Common Stock
P - Purchase 925,154 4,584,311 25.28 5.70 5,273,378 26,130,573
2012-03-09 2012-03-07 4 FOLD AMICUS THERAPEUTICS INC
Common Stock
P - Purchase 214,846 1,066,029 25.24 5.70 1,224,622 6,076,365
2012-03-07 2012-03-05 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 50,000 25.00
2012-03-07 2012-03-05 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 15,538,379 -6.05
2012-03-01 2012-02-28 4 ECHO Echo Global Logistics, Inc.
Common Stock
J - Other 901 901
2012-03-01 2012-02-28 4 ECHO Echo Global Logistics, Inc.
Common Stock
J - Other 211 211
2012-03-01 2012-02-28 4 ECHO Echo Global Logistics, Inc.
Common Stock
J - Other -4,000 0 -100.00
2012-03-01 2012-02-28 4 ECHO Echo Global Logistics, Inc.
Common Stock
J - Other 4,000 4,000
2012-03-01 2012-02-28 4 ECHO Echo Global Logistics, Inc.
Common Stock
J - Other -400,000 2,020,219 -16.53
2012-03-01 2012-02-29 4 INWK INNERWORKINGS INC
Common Stock
S - Sale -455,360 6,029,190 -7.02 11.42 -5,199,164 68,839,483
2012-02-29 2012-02-27 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 40,000 33.33
2012-02-29 2012-02-27 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 16,538,379 -5.70
2012-02-28 2012-02-24 4 INWK INNERWORKINGS INC
Common Stock
S - Sale -334,457 6,484,550 -4.90 11.40 -3,812,810 73,923,870
2012-02-27 2012-02-24 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 30,000 50.00
2012-02-27 2012-02-24 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 17,538,379 -5.39
2012-02-27 2012-02-23 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 20,000 100.00
2012-02-27 2012-02-23 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 18,538,379 -5.12
2012-02-24 2012-02-23 4 INWK INNERWORKINGS INC
Common Stock
S - Sale -54,849 6,819,007 -0.80 11.75 -644,344 80,106,967
2012-02-24 2012-02-22 4 INWK INNERWORKINGS INC
Common Stock
S - Sale -2,213 0 -100.00 11.60 -25,671
2012-02-24 2012-02-22 4 INWK INNERWORKINGS INC
Common Stock
S - Sale -253,211 6,873,856 -3.55 11.68 -2,957,808 80,294,887
2012-02-23 2012-02-21 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 10,000
2012-02-23 2012-02-21 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 19,538,379 -4.87
2012-02-15 2012-02-13 4 INHX INHIBITEX, INC.
Common Stock Warrant (Right to Buy)
U - Other -791,015 0 -100.00
2012-02-15 2012-02-13 4 INHX INHIBITEX, INC.
Common Stock Warrant (Right to Buy)
U - Other -263,671 0 -100.00
2012-02-15 2012-02-13 4 INHX INHIBITEX, INC.
Common Stock
U - Other -746,596 0 -100.00 26.00 -19,411,496
2012-02-15 2012-02-13 4 INHX INHIBITEX, INC.
Common Stock
J - Other 746,596 746,596
2012-02-15 2012-02-13 4 INHX INHIBITEX, INC.
Common Stock
U - Other -248,864 0 -100.00 26.00 -6,470,464
2012-02-15 2012-02-13 4 INHX INHIBITEX, INC.
Common Stock
J - Other 248,864 248,864
2012-02-15 2012-02-13 4 INHX INHIBITEX, INC.
Common Stock
U - Other -6,898,294 0 -100.00 26.00 -179,355,644
2012-02-15 2012-02-13 4 INHX INHIBITEX, INC.
Common Stock
U - Other -1,941,407 0 -100.00 26.00 -50,476,582
2012-02-14 2012-02-14 4 FIO FUSION-IO, INC.
Common Stock
S - Sale -4,462 0 -100.00 22.84 -101,908
2012-02-14 2012-02-10 4 FIO FUSION-IO, INC.
Common Stock
J - Other 2,234 4,462 100.27
2012-02-14 2012-02-10 4 FIO FUSION-IO, INC.
Common Stock
J - Other 533 2,141 33.15
2012-02-14 2012-02-10 4 FIO FUSION-IO, INC.
Common Stock
J - Other -10,000 0 -100.00
2012-02-14 2012-02-10 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 10,000
2012-02-14 2012-02-10 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 20,538,379 -4.64
2012-02-09 2012-02-07 4 FIO FUSION-IO, INC.
Common Stock
J - Other 2,228 2,228
2012-02-09 2012-02-07 4 FIO FUSION-IO, INC.
Common Stock
J - Other 533 1,608 49.58
2012-02-09 2012-02-07 4 FIO FUSION-IO, INC.
Common Stock
J - Other -10,000 0 -100.00
2012-02-09 2012-02-07 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 10,000
2012-02-09 2012-02-07 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 21,538,379 -4.44
2012-02-06 2012-02-06 4 FIO FUSION-IO, INC.
Common Stock
S - Sale -23,083 64,634 -26.32 23.05 -532,063 1,489,814
2012-02-06 2012-02-03 4 FIO FUSION-IO, INC.
Common Stock
S - Sale -4,354 0 -100.00 22.63 -98,517
2012-02-06 2012-02-02 4 FIO FUSION-IO, INC.
Common Stock
J - Other 4,354 4,354
2012-02-06 2012-02-02 4 FIO FUSION-IO, INC.
Common Stock
J - Other 1,075 1,075
2012-02-06 2012-02-02 4 FIO FUSION-IO, INC.
Common Stock
J - Other -20,000 0 -100.00
2012-02-06 2012-02-02 4 FIO FUSION-IO, INC.
Common Stock
J - Other 10,000 20,000 100.00
2012-02-06 2012-02-02 4 FIO FUSION-IO, INC.
Common Stock
J - Other -1,000,000 22,538,379 -4.25
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)