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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 02-Jun-22 2:34 PM View:  | Tristate Capital Holdings, ... (TSC) | 01-Jun-22 | Disposition | 51,500 | -- | -- | (100%) 51.5K to 0 | |
| 21-Dec-21 6:28 PM View: | Tristate Capital Holdings, ... (TSC) | 17-Dec-21 | Grant | 3,000 | -- | -- | 6% 48.5K to 51.5K | |
| 22-Dec-20 5:03 PM View: | Tristate Capital Holdings, ... (TSC) | 18-Dec-20 | Grant | 3,000 | -- | -- | 17% 18.0K to 21.0K | |
| 23-Dec-19 9:34 AM View: | Tristate Capital Holdings, ... (TSC) | 19-Dec-19 | Grant | 3,000 | -- | -- | 7% 42.5K to 45.5K | |
| 21-Dec-18 5:47 PM View: | Tristate Capital Holdings, ... (TSC) | 19-Dec-18 | Grant | 3,000 | -- | -- | 8% 39.5K to 42.5K | |
| 21-May-18 5:23 PM View: | Tristate Capital Holdings, ... (TSC) | 18-May-18 | Option Exercise | 6,000 | $8.00 | $48,000.00 | 15% 39.5K to 45.5K | |
| 21-May-18 5:23 PM View: | Tristate Capital Holdings, ... (TSC) | 18-May-18 | Market Option Sale | 6,000 | $26.50 | $159,000.00 | (13%) 45.5K to 39.5K | 37% |
| 26-Dec-17 12:43 PM View: | Tristate Capital Holdings, ... (TSC) | 21-Dec-17 | Grant | 3,000 | -- | -- | 8% 36.5K to 39.5K | |
| 23-Feb-17 2:54 PM View: | Tristate Capital Holdings, ... (TSC) | 22-Feb-17 | Option Exercise | 6,000 | $8.75 | $52,500.00 | 16% 36.5K to 42.5K | |
| 23-Feb-17 2:54 PM View: | Tristate Capital Holdings, ... (TSC) | 22-Feb-17 | Market Option Sale | 6,000 | $23.70 | $142,205.00 | (14%) 42.5K to 36.5K | 29% |
| 19-Dec-16 5:24 PM View: | Tristate Capital Holdings, ... (TSC) | 15-Dec-16 | Grant | 3,000 | -- | -- | 9% 33.5K to 36.5K | |
| 15-Dec-16 11:42 AM View: | Tristate Capital Holdings, ... (TSC) | 13-Dec-16 | Option Exercise | 6,000 | $12.00 | $72,000.00 | 18% 33.5K to 39.5K | |
| 15-Dec-16 11:42 AM View: | Tristate Capital Holdings, ... (TSC) | 13-Dec-16 | Market Option Sale | 6,000 | $21.18 | $127,076.00 | (15%) 39.5K to 33.5K | 19% |
| 17-Dec-15 6:12 PM View: | Tristate Capital Holdings, ... (TSC) | 14-Dec-15 | Grant | 3,000 | -- | -- | 10% 30.5K to 33.5K | |
| 26-Feb-15 12:35 PM View: | CMS Energy Corp. (CMS) | 25-Feb-15 | Market Sale | 7,387 | $35.61 | $263,051.00 | (21%) 34.4K to 27.01K | (41%) |
| 19-Dec-14 4:05 PM View: | Tristate Capital Holdings, ... (TSC) | 17-Dec-14 | Grant | 3,000 | -- | -- | 11% 27.5K to 30.5K | |
| 14-Aug-14 9:49 AM View: | CMS Energy Corp. (CMS) | 13-Aug-14 | Market Sale | 5,000 | $29.35 | $146,760.00 | (13%) 39.4K to 34.4K | (68%) |
| 08-Jul-14 5:16 PM View: | A. Schulman, Inc. (SHLM) | 03-Jul-14 | Market Sale | 4,786 | $41.50 | $198,604.00 | (19%) 25.33K to 20.55K | (12%) |
| 19-May-14 4:07 PM View: | CMS Energy Corp. (CMS) | 16-May-14 | Grant | 3,417 | -- | -- | 10% 35.95K to 39.37K | |
| 15-Jan-14 5:53 PM View: | A. Schulman, Inc. (SHLM) | 13-Jan-14 | Grant | 2,315 | -- | -- | 10% 23.02K to 25.33K | |
| 20-May-13 3:49 PM View: | CMS Energy Corp. (CMS) | 17-May-13 | Grant | 2,921 | -- | -- | 9% 32.94K to 35.86K | |
| 14-Jan-13 8:29 PM View: | A. Schulman, Inc. (SHLM) | 10-Jan-13 | Grant | 2,786 | -- | -- | 14% 20.23K to 23.02K | |
| 27-Aug-12 5:32 PM View: | A. Schulman, Inc. (SHLM) | 24-Aug-12 | Market Sale | 8,500 | $24.20 | $205,700.00 | (30%) 28.73K to 20.23K | (101%) |
| 22-May-12 3:30 PM View: | CMS Energy Corp. (CMS) | 18-May-12 | Grant | 3,748 | -- | -- | 13% 29.11K to 32.86K | |
| 11-Apr-12 4:26 PM View: | A. Schulman, Inc. (SHLM) | 09-Apr-12 | Option Exercise | 2,500 | -- | -- | 10% 26.23K to 28.73K | |
| 08-Mar-12 2:40 PM View: | CMS Energy Corp. (CMS) | 07-Mar-12 | Market Sale | 6,700 | $21.58 | $144,586.00 | (19%) 35.81K to 29.11K | (114%) |
| 02-Feb-12 11:25 AM View: | A. Schulman, Inc. (SHLM) | 01-Feb-12 | Option Exercise | 2,000 | $15.40 | $30,800.00 | 8% 26.23K to 28.23K | |
| 02-Feb-12 11:25 AM View: | A. Schulman, Inc. (SHLM) | 01-Feb-12 | Market Option Sale | 2,000 | $25.47 | $50,940.00 | (7%) 28.23K to 26.23K | (94%) |
| 12-Jan-12 2:53 PM View: | A. Schulman, Inc. (SHLM) | 12-Jan-12 | Grant | 3,500 | -- | -- | 16% 22.5K to 26.0K | |
| 23-May-11 4:15 PM View: | CMS Energy Corp. (CMS) | 20-May-11 | Grant | 3,575 | -- | -- | 11% 32.17K to 35.74K | |
| 23-May-11 3:51 PM View: | A. Schulman, Inc. (SHLM) | 19-May-11 | Option Exercise | 2,000 | $16.69 | $33,380.00 | 9% 22.5K to 24.5K | |
| 23-May-11 3:51 PM View: | A. Schulman, Inc. (SHLM) | 19-May-11 | Market Option Sale | 2,000 | $25.00 | $50,000.00 | (8%) 24.5K to 22.5K | (102%) |
| 14-Jan-11 5:07 PM View: | A. Schulman, Inc. (SHLM) | 12-Jan-11 | Grant | 3,500 | -- | -- | 18% 19.0K to 22.5K | |
| 25-May-10 12:14 PM View: | CMS Energy Corp. (CMS) | 21-May-10 | Grant | 4,229 | -- | -- | 15% 27.93K to 32.16K | |
| 04-May-10 5:36 PM View: | A. Schulman, Inc. (SHLM) | 03-May-10 | Option Exercise | 2,000 | $11.62 | $23,240.00 | 15% 13.0K to 15.0K | |
| 04-May-10 5:36 PM View: | A. Schulman, Inc. (SHLM) | 03-May-10 | Market Option Sale | 2,000 | $26.62 | $53,248.00 | (13%) 15.0K to 13.0K | (95%) |
| 13-Jan-10 4:48 PM View: | A. Schulman, Inc. (SHLM) | 12-Jan-10 | Grant | 3,500 | -- | -- | 37% 9.5K to 13.0K | |
| 27-May-09 9:34 AM View: | CMS Energy Corp. (CMS) | 22-May-09 | Grant | 5,000 | -- | -- | 22% 22.93K to 27.93K | |
| 20-May-08 1:30 PM View: | CMS Energy Corp. (CMS) | 16-May-08 | Grant | 2,955 | $15.23 | $45,004.60 | 15% 19.97K to 22.93K | 210% |
| 03-Mar-08 6:25 PM View: | A. Schulman, Inc. (SHLM) | 29-Feb-08 | Grant | 2,500 | -- | -- | 19% 13.0K to 15.5K | |
| 21-May-07 12:52 PM View: | CMS Energy Corp. (CMS) | 18-May-07 | Grant | 2,402 | $18.74 | $45,013.50 | 14% 17.57K to 19.97K | 157% |
| 13-Apr-07 3:34 PM View: | A. Schulman, Inc. (SHLM) | 11-Apr-07 | Grant | 2,500 | -- | -- | 24% 10.5K to 13.0K | |
| 11-Jul-06 10:36 AM View: | A. Schulman, Inc. (SHLM) | 10-Jul-06 | Market Purchase | 1,000 | $22.65 | $22,650.00 | 11% 9.5K to 10.5K | 142% |
| 23-May-06 10:22 AM View: | CMS Energy Corp. (CMS) | 19-May-06 | Grant | 3,483 | $12.92 | $45,000.40 | 25% 14.09K to 17.57K | 275% |
| 03-Feb-06 3:51 PM View: | A. Schulman, Inc. (SHLM) | 01-Feb-06 | Grant | 2,000 | -- | -- | 27% 7.5K to 9.5K | |
| 24-May-05 9:42 AM View: | CMS Energy Corp. (CMS) | 20-May-05 | Grant | 3,056 | $13.09 | $40,003.00 | 28% 11.03K to 14.09K | 270% |
| 03-Feb-05 3:01 PM View: | A. Schulman, Inc. (SHLM) | 01-Feb-05 | Grant | 2,500 | -- | -- | 50% 5.0K to 7.5K | |
| 02-Jun-04 12:33 PM View: | CMS Energy Corp. (CMS) | 28-May-04 | Grant | 3,481 | $8.62 | $30,006.20 | 46% 7.55K to 11.03K | 461% |
| 04-Feb-04 10:00 PM View: | A. Schulman, Inc. (SHLM) | 02-Feb-04 | Grant | 2,000 | -- | -- | 67% 3.0K to 5.0K |