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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 16-Mar-23 10:00 PM View:  | Douglas Elliman Inc. (DOUG) | 14-Mar-23 | Grant | 30,000 | -- | -- | 100% 30.0K to 60.0K | |
| 03-Jan-22 9:00 PM View: | Douglas Elliman Inc. (DOUG) | 31-Dec-21 | Grant | 30,000 | -- | -- | 100% 0 to 30.0K | |
| 14-Feb-20 3:29 PM View: | Ladenburg Thalmann Financia... (LTS) | 14-Feb-20 | Disposition | 531,250 | $3.50 | $1,859,380.00 | (12%) 4.32M to 3.79M | |
| 14-Feb-20 3:29 PM View: | Ladenburg Thalmann Financia... (LTS) | 14-Feb-20 | Disposition | 3,789,540 | $3.50 | $13,263,400.00 | (100%) 3.79M to 0 | |
| 14-Feb-20 3:29 PM View: | Ladenburg Thalmann Financia... (LTS) | 12-Feb-20 | Private Sale | 4,000 | $25.07 | $100,280.00 | (< 1%) 4.32M to 4.32M | |
| 09-Oct-19 8:27 PM View: | Castle Brands Inc. (ROX) | 08-Oct-19 | Disposition | 22,500 | $1.27 | $28,575.00 | (20%) 110.0K to 87.5K | |
| 09-Oct-19 8:27 PM View: | Castle Brands Inc. (ROX) | 08-Oct-19 | Disposition (change in control) | 7,500 | $1.27 | $9,525.00 | (9%) 87.5K to 80.0K | |
| 09-Oct-19 8:27 PM View: | Castle Brands Inc. (ROX) | 08-Oct-19 | Disposition (change in control) | 80,000 | $1.27 | $101,600.00 | (100%) 80.0K to 0 | |
| 17-May-19 7:15 PM View: | Ladenburg Thalmann Financia... (LTS) | 17-May-19 | Payment of Exercise | 333,755 | $3.39 | $1,131,430.00 | (7%) 4.66M to 4.32M | |
| 17-May-19 7:15 PM View: | Ladenburg Thalmann Financia... (LTS) | 17-May-19 | Option Exercise | 600,000 | $0.90 | $540,000.00 | 15% 4.06M to 4.66M | |
| 12-Apr-19 7:53 AM View: | Ladenburg Thalmann Financia... (LTS) | 11-Apr-19 | Market Purchase | 10,000 | $3.38 | $33,767.90 | < 1% 4.05M to 4.06M | < 1% |
| 01-Mar-19 5:06 PM View: | Castle Brands Inc. (ROX) | 27-Feb-19 | Grant | 15,000 | -- | -- | 16% 95.0K to 110.0K | |
| 23-Jan-19 7:55 PM View: | Ladenburg Thalmann Financia... (LTS) | 20-Jan-19 | Payment of Exercise | 19,358 | $3.10 | $60,009.80 | (< 1%) 4.07M to 4.05M | 4% |
| 15-Jan-19 6:06 PM View: | Ladenburg Thalmann Financia... (LTS) | 14-Jan-19 | Payment of Exercise | 24,961 | $3.01 | $75,132.60 | (< 1%) 4.09M to 4.07M | 0% |
| 15-Jan-19 6:06 PM View: | Ladenburg Thalmann Financia... (LTS) | 13-Jan-19 | Payment of Exercise | 27,834 | $3.12 | $86,842.10 | (< 1%) 4.12M to 4.09M | 4% |
| 15-Jan-19 6:06 PM View: | Ladenburg Thalmann Financia... (LTS) | 12-Jan-19 | Payment of Exercise | 32,894 | $3.12 | $102,629.00 | (< 1%) 4.15M to 4.12M | 4% |
| 14-Jan-19 7:45 AM View: | Ladenburg Thalmann Financia... (LTS) | 10-Jan-19 | Grant | 400,000 | -- | -- | 11% 3.75M to 4.15M | |
| 18-Oct-18 7:36 AM View: | Ladenburg Thalmann Financia... (LTS) | 17-Oct-18 | Payment of Exercise | 431,388 | $2.92 | $1,259,650.00 | (10%) 4.18M to 3.75M | 22% |
| 18-Oct-18 7:36 AM View: | Ladenburg Thalmann Financia... (LTS) | 17-Oct-18 | Option Exercise | 600,000 | $1.58 | $948,000.00 | 17% 3.58M to 4.18M | |
| 09-Oct-18 7:47 AM View: | Ladenburg Thalmann Financia... (LTS) | 08-Oct-18 | Market Purchase | 15,000 | $2.61 | $39,106.50 | < 1% 3.57M to 3.58M | (12%) |
| 20-Aug-18 8:30 AM View: | Ladenburg Thalmann Financia... (LTS) | 17-Aug-18 | Market Purchase | 5,000 | $3.20 | $15,999.50 | < 1% 3.56M to 3.57M | (29%) |
| 28-Jun-18 7:57 AM View: | Ladenburg Thalmann Financia... (LTS) | 27-Jun-18 | Market Purchase | 5,000 | $3.47 | $17,347.50 | < 1% 3.56M to 3.56M | (34%) |
| 16-Apr-18 7:50 AM View: | Ladenburg Thalmann Financia... (LTS) | 13-Apr-18 | Market Purchase | 5,000 | $3.30 | $16,482.50 | < 1% 3.55M to 3.56M | (31%) |
| 03-Apr-18 7:59 AM View: | Ladenburg Thalmann Financia... (LTS) | 02-Apr-18 | Market Purchase | 5,000 | $3.12 | $15,600.00 | < 1% 3.55M to 3.55M | (27%) |
| 05-Mar-18 5:07 PM View: | Castle Brands Inc. (ROX) | 01-Mar-18 | Grant | 15,000 | -- | -- | 19% 80.0K to 95.0K | |
| 23-Jan-18 9:36 PM View: | Ladenburg Thalmann Financia... (LTS) | 20-Jan-18 | Payment of Exercise | 19,392 | $3.13 | $60,697.00 | (< 1%) 3.57M to 3.55M | 28% |
| 17-Jan-18 5:27 PM View: | Ladenburg Thalmann Financia... (LTS) | 14-Jan-18 | Payment of Exercise | 24,957 | $3.21 | $80,112.00 | (< 1%) 3.59M to 3.57M | 29% |
| 17-Jan-18 5:27 PM View: | Ladenburg Thalmann Financia... (LTS) | 13-Jan-18 | Payment of Exercise | 27,453 | $3.21 | $88,124.10 | (< 1%) 3.62M to 3.59M | 29% |
| 17-Jan-18 5:27 PM View: | Ladenburg Thalmann Financia... (LTS) | 12-Jan-18 | Grant | 325,000 | -- | -- | 10% 3.3M to 3.62M | |
| 29-Dec-17 4:52 PM View: | Ladenburg Thalmann Financia... (LTS) | 28-Dec-17 | Gift | 5,847 | -- | -- | (< 1%) 3.32M to 3.32M | |
| 29-Dec-17 4:52 PM View: | Ladenburg Thalmann Financia... (LTS) | 28-Dec-17 | Gift | 19,000 | -- | -- | (< 1%) 3.32M to 3.3M | |
| 21-Jul-17 5:04 PM View: | Ladenburg Thalmann Financia... (LTS) | 20-Jul-17 | Payment of Exercise Duplicate | 572,412 | $2.49 | $1,425,310.00 | (15%) 3.89M to 3.32M | 10% |
| 21-Jul-17 5:04 PM View: | Ladenburg Thalmann Financia... (LTS) | 20-Jul-17 | Option Exercise Duplicate | 600,000 | $2.30 | $1,380,000.00 | 18% 3.29M to 3.89M | |
| 24-May-17 7:56 AM View: | Ladenburg Thalmann Financia... (LTS) | 23-May-17 | Market Purchase | 5,000 | $2.25 | $11,247.00 | < 1% 3.29M to 3.29M | < 1% |
| 20-Mar-17 7:17 AM View: | Ladenburg Thalmann Financia... (LTS) | 17-Mar-17 | Market Purchase | 10,000 | $2.36 | $23,600.00 | < 1% 3.28M to 3.29M | (5%) |
| 24-Jan-17 5:58 PM View: | Ladenburg Thalmann Financia... (LTS) | 20-Jan-17 | Payment of Exercise | 20,814 | $2.24 | $46,623.40 | (< 1%) 3.3M to 3.28M | (< 1%) |
| 18-Jan-17 5:22 PM View: | Ladenburg Thalmann Financia... (LTS) | 14-Jan-17 | Payment of Exercise | 26,060 | $2.39 | $62,283.40 | (< 1%) 3.33M to 3.3M | 6% |
| 18-Jan-17 5:22 PM View: | Ladenburg Thalmann Financia... (LTS) | 13-Jan-17 | Grant Duplicate | 275,000 | -- | -- | 9% 3.05M to 3.33M | |
| 28-Dec-16 7:55 PM View: | Castle Brands Inc. (ROX) | 27-Dec-16 | Market Purchase | 30,000 | $0.72 | $21,600.00 | 60% 50.0K to 80.0K | 25% |
| 23-Dec-16 8:15 PM View: | Ladenburg Thalmann Financia... (LTS) | 22-Dec-16 | Gift | 25,000 | -- | -- | (< 1%) 3.08M to 3.05M | |
| 01-Jul-16 7:51 AM View: | Ladenburg Thalmann Financia... (LTS) | 29-Jun-16 | Payment of Exercise | 386,058 | $2.30 | $887,933.00 | (11%) 3.46M to 3.08M | 2% |
| 01-Jul-16 7:51 AM View: | Ladenburg Thalmann Financia... (LTS) | 29-Jun-16 | Option Exercise | 600,000 | $0.88 | $528,000.00 | 21% 2.86M to 3.46M | |
| 22-Jan-16 5:27 PM View: | Ladenburg Thalmann Financia... (LTS) | 20-Jan-16 | Payment of Exercise | 19,827 | $2.07 | $41,041.90 | (< 1%) 2.88M to 2.86M | (9%) |
| 19-Jan-16 5:19 PM View: | Ladenburg Thalmann Financia... (LTS) | 14-Jan-16 | Grant Duplicate | 250,000 | -- | -- | 9% 2.63M to 2.88M | |
| 15-Jan-16 7:26 AM View: | Ladenburg Thalmann Financia... (LTS) | 14-Jan-16 | Market Purchase | 5,000 | $2.24 | $11,192.50 | < 1% 2.63M to 2.63M | < 1% |
| 18-Aug-15 7:59 AM View: | Ladenburg Thalmann Financia... (LTS) | 14-Aug-15 | Option Exercise | 150,000 | $0.58 | $87,000.00 | 6% 2.48M to 2.63M | |
| 12-Aug-15 8:01 AM View: | Castle Brands Inc. (ROX) | 11-Aug-15 | Market Purchase | 10,000 | $1.20 | $12,000.00 | 25% 40.0K to 50.0K | (25%) |
| 17-Mar-15 7:58 AM View: | Castle Brands Inc. (ROX) | 16-Mar-15 | Market Purchase | 10,000 | $1.21 | $12,100.00 | 33% 30.0K to 40.0K | (25%) |
| 17-Mar-15 7:58 AM View: | Castle Brands Inc. (ROX) | 13-Mar-15 | Market Purchase | 30,000 | $1.20 | $36,000.00 | 100% 0 to 30.0K | (25%) |
| 22-Jan-15 5:22 PM View: | Ladenburg Thalmann Financia... (LTS) | 20-Jan-15 | Grant Duplicate | 200,000 | -- | -- | 9% 2.28M to 2.48M |