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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 14-May-19 4:57 PM View:  | Alcoa Corp (AA) | 10-May-19 | Grant | 4,792 | -- | -- | 49% 9.75K to 14.54K | |
| 02-Nov-18 2:05 PM View: | International Business Mach... (IBM) | 31-Oct-18 | Market Purchase | 1,000 | $114.67 | $114,673.00 | 20% 5.0K to 6.0K | 1% |
| 29-May-18 4:21 PM View: | Morgan Stanley (MS) | 24-May-18 | Grant | 884 | $53.74 | $47,500.00 | 1% 81.9K to 82.78K | 36% |
| 15-May-18 10:00 PM View: | Alcoa Corp (AA) | 11-May-18 | Grant | 2,224 | -- | -- | 30% 7.52K to 9.75K | |
| 27-Nov-17 4:42 PM View: | Morgan Stanley (MS) | 22-Nov-17 | Grant | 1,032 | $49.25 | $50,833.30 | 1% 80.31K to 81.34K | 47% |
| 24-May-17 4:32 PM View: | Morgan Stanley (MS) | 22-May-17 | Grant | 5,991 | -- | -- | 8% 73.68K to 79.67K | |
| 17-May-17 1:34 PM View: | International Business Mach... (IBM) | 16-May-17 | Market Purchase | 1,718 | $153.19 | $263,180.00 | 52% 3.28K to 5.0K | (28%) |
| 16-May-17 4:38 PM View: | Alcoa Corp (AA) | 12-May-17 | Grant | 3,775 | -- | -- | 101% 3.75K to 7.52K | |
| 05-Dec-16 5:08 PM View: | Alcoa Corp (AA) | 01-Dec-16 | Grant | 2,078 | -- | -- | 125% 1.67K to 3.75K | |
| 19-May-16 4:31 PM View: | Morgan Stanley (MS) | 17-May-16 | Grant | 9,525 | -- | -- | 15% 62.94K to 72.46K | |
| 21-May-15 4:48 PM View: | Morgan Stanley (MS) | 19-May-15 | Grant | 6,470 | -- | -- | 12% 55.47K to 61.94K | |
| 24-Jul-14 3:35 PM View: | International Business Mach... (IBM) | 23-Jul-14 | Option Exercise | 4,000 | $82.70 | $330,800.00 | 400% 1.0K to 5.0K | |
| 24-Jul-14 3:35 PM View: | International Business Mach... (IBM) | 23-Jul-14 | Market Option Sale | 1,718 | $193.80 | $332,948.00 | (34%) 5.0K to 3.28K | 38% |
| 15-May-14 5:53 PM View: | Morgan Stanley (MS) | 13-May-14 | Grant | 8,219 | -- | -- | 18% 46.55K to 54.77K | |
| 16-May-13 5:07 PM View: | Morgan Stanley (MS) | 14-May-13 | Grant | 10,301 | -- | -- | 29% 35.97K to 46.27K | |
| 17-May-12 5:20 PM View: | Morgan Stanley (MS) | 15-May-12 | Grant | 17,500 | -- | -- | 96% 18.21K to 35.71K | |
| 02-Aug-11 2:27 PM View: | Morgan Stanley (MS) | 02-Aug-11 | Market Purchase | 5,000 | $22.04 | $110,200.00 | 38% 13.05K to 18.05K | 251% |
| 20-May-11 6:35 PM View: | Morgan Stanley (MS) | 18-May-11 | Grant | 10,249 | -- | -- | 366% 2.8K to 13.05K | |
| 03-Feb-11 10:00 PM View: | Morgan Stanley (MS) | 01-Feb-11 | Grant | 2,794 | -- | -- | 831602% 0 to 2.79K | |
| 21-Oct-10 1:06 PM View: | Alcoa, Inc. (HWM) | 20-Oct-10 | Market Purchase | 10,000 | $12.73 | $127,300.00 | 199% 5.03K to 15.03K | (7%) |
| 14-Sep-10 2:55 PM View: | Caterpillar Inc. (CAT) | 13-Sep-10 | Payment of Exercise | 74,112 | $72.09 | $5,342,730.00 | (14%) 519.55K to 445.44K | (105%) |
| 15-Sep-10 11:59 AM View: | Caterpillar Inc. (CAT) | 13-Sep-10 | Gift | 6,314 | -- | -- | (1%) 445.44K to 439.12K | |
| 14-Sep-10 2:55 PM View: | Caterpillar Inc. (CAT) | 13-Sep-10 | Option Exercise | 122,000 | $25.36 | $3,093,620.00 | 31% 397.55K to 519.55K | |
| 06-Apr-10 2:00 PM View: | Caterpillar Inc. (CAT) | 05-Apr-10 | Payment of Exercise | 70,357 | $64.60 | $4,545,060.00 | (15%) 467.67K to 397.31K | (132%) |
| 06-Apr-10 2:00 PM View: | Caterpillar Inc. (CAT) | 05-Apr-10 | Option Exercise | 108,000 | $26.76 | $2,890,620.00 | 30% 359.67K to 467.67K | |
| 04-Mar-10 1:53 PM View: | Caterpillar Inc. (CAT) | 02-Mar-10 | Payment of Exercise | 5,617 | $58.42 | $328,145.00 | (2%) 364.85K to 359.23K | (156%) |
| 04-Mar-10 1:53 PM View: | Caterpillar Inc. (CAT) | 02-Mar-10 | Option Exercise | 14,238 | -- | -- | 4% 350.61K to 364.85K | |
| 03-Mar-10 4:09 PM View: | Caterpillar Inc. (CAT) | 01-Mar-10 | Payment of Exercise | 2,629 | $57.81 | $151,996.00 | (< 1%) 353.24K to 350.61K | (159%) |
| 23-Dec-09 11:57 AM View: | Caterpillar Inc. (CAT) | 23-Dec-09 | Gift | 2,800 | -- | -- | < 1% 353.36K to 356.15K | |
| 23-Dec-09 11:57 AM View: | Caterpillar Inc. (CAT) | 23-Dec-09 | Gift | 3,100 | -- | -- | (< 1%) 356.15K to 353.06K | |
| 17-Nov-09 4:45 PM View: | Alcoa, Inc. (HWM) | 13-Nov-09 | Disposition | 50 | $13.18 | $659.00 | (< 1%) 5.08K to 5.03K | 9% |
| 17-Nov-09 4:45 PM View: | Alcoa, Inc. (HWM) | 13-Nov-09 | Option Exercise | 50 | -- | -- | < 1% 5.03K to 5.08K | |
| 01-Oct-09 5:27 PM View: | Caterpillar Inc. (CAT) | 30-Sep-09 | Gift | 10,017 | -- | -- | (3%) 363.24K to 353.22K | |
| 01-Sep-09 3:09 PM View: | Caterpillar Inc. (CAT) | 21-Aug-09 | Gift | 37,247 | -- | -- | 10% 363.24K to 400.48K | |
| 01-Sep-09 3:09 PM View: | Caterpillar Inc. (CAT) | 21-Aug-09 | Gift | 37,247 | -- | -- | (9%) 400.48K to 363.24K | |
| 10-Aug-09 10:19 AM View: | Caterpillar Inc. (CAT) | 07-Aug-09 | Payment of Exercise | 67,640 | $47.81 | $3,234,210.00 | (16%) 430.88K to 363.24K | (217%) |
| 10-Aug-09 10:19 AM View: | Caterpillar Inc. (CAT) | 07-Aug-09 | Option Exercise | 108,000 | $19.20 | $2,073,950.00 | 33% 322.88K to 430.88K | |
| 01-Sep-09 3:09 PM View: | Caterpillar Inc. (CAT) | 01-Apr-09 | Gift | 4,037 | -- | -- | 1% 363.24K to 367.27K | |
| 01-Sep-09 3:09 PM View: | Caterpillar Inc. (CAT) | 01-Apr-09 | Gift | 4,037 | -- | -- | (1%) 367.27K to 363.24K | |
| 04-Mar-09 1:14 PM View: | Caterpillar Inc. (CAT) | 02-Mar-09 | Payment of Exercise | 2,631 | $23.09 | $60,749.80 | (< 1%) 324.64K to 322.01K | (561%) |
| 30-Dec-08 2:46 PM View: | Caterpillar Inc. (CAT) | 24-Dec-08 | Gift | 17,949 | -- | -- | 6% 324.11K to 342.06K | |
| 30-Dec-08 2:46 PM View: | Caterpillar Inc. (CAT) | 24-Dec-08 | Gift | 17,949 | -- | -- | (5%) 342.06K to 324.11K | |
| 30-Dec-08 2:46 PM View: | Caterpillar Inc. (CAT) | 23-Dec-08 | Gift | 1,200 | -- | -- | (< 1%) 325.31K to 324.11K | |
| 30-Dec-08 2:46 PM View: | Caterpillar Inc. (CAT) | 19-Dec-08 | Gift | 2,700 | -- | -- | < 1% 325.31K to 328.01K | |
| 30-Dec-08 2:46 PM View: | Caterpillar Inc. (CAT) | 19-Dec-08 | Gift | 2,700 | -- | -- | (< 1%) 328.01K to 325.31K | |
| 11-Dec-08 4:00 PM View: | Caterpillar Inc. (CAT) | 10-Dec-08 | Payment of Exercise | 82,051 | $43.92 | $3,604,090.00 | (20%) 407.36K to 325.31K | (251%) |
| 11-Dec-08 4:00 PM View: | Caterpillar Inc. (CAT) | 10-Dec-08 | Option Exercise | 100,000 | $31.17 | $3,117,190.00 | 33% 307.36K to 407.36K | 40% |
| 01-Dec-08 12:26 PM View: | Caterpillar Inc. (CAT) | 06-May-08 | Gift | 4,038 | -- | -- | 1% 307.36K to 311.4K | |
| 01-Dec-08 12:26 PM View: | Caterpillar Inc. (CAT) | 06-May-08 | Gift | 4,038 | -- | -- | (1%) 311.4K to 307.36K | |
| 04-Mar-08 3:41 PM View: | Caterpillar Inc. (CAT) | 03-Mar-08 | Payment of Exercise | 2,631 | $72.92 | $191,853.00 | (< 1%) 309.49K to 306.86K | (97%) |