圣天诺公司
US ˙ NYSE ˙ US81730H1095

介绍

本页面提供了有关 Third Point LLC 已知的内部交易历史的全面分析。内部人士包括公司的高管、董事或重要投资者。一般而言，基于内幕、非公开信息进行交易是非法的。这并不意味着他们在自己的公司进行任何交易都是非法的。但是，他们必须通过Form 4向美国证券交易委员会（SEC）报告所有交易。尽管存在这些限制，学术研究表明，整体而言，内部人士在自己公司中的投资表现往往优于市场。

平均交易盈利能力

“平均交易盈利能力”衡量了内部人士在过去三年中所有非计划性的公开市场买入交易的平均回报率。计算过程包括检查每笔交易，排除了作为10b5-1交易计划的一部分的交易。然后，对每笔交易在3、6和12个月的表现进行平均，以生成该笔交易最终的表现指标。然后，将所有交易的表现指标进行平均，计算出内部人士的总体平均表现指标。列表仅包含在过去两年中进行过至少三笔交易的内部人士。

如果内部人士的交易盈利能力显示为"N/A"，则可能是因为该内部人士在过去三年内没有进行任何公开市场买入交易，或者他们进行的交易距离现在时间太近，无法计算出可靠的表现指标。

更新频率：每日

查看收益最高的的内幕交易者列表。

查看排名最高的内部人士。
报告内部持仓的公司

美国证券交易委员会（SEC）文件显示Third Point LLC已报告在以下公司拥有持仓或进行了交易：

证券 职位 最新报告的持仓
US:S / SentinelOne, Inc. 10% Owner 659,939
US:UPST / Upstart Holdings, Inc. 10% Owner 8,495,000
US:FTCV / FinTech Acquisition Corp V - Class A 10% Owner 2,511,225
US:BWCAU / Blue Whale Acquisition Corp I - Units (1 Ord Share Class A & 1/4 War) 10% Owner 2,000,000
US:RADI / Radius Global Infrastructure Inc - Class A 10% Owner 4,495,473
10% Owner 0
US:BID / Sotheby's 10% Owner 0
US:BAX / Baxter International Inc. Director 23,008,125
US:GRBK / Green Brick Partners, Inc. 10% Owner 942,789
US:KDMN / Kadmon Holdings Inc 10% Owner 595,238
US:APIC / American Pacific Investcorp LP - Units 10% Owner 0
US:ENPH / Enphase Energy, Inc. 10% Owner 423,684
US:YHOO / Yahoo! Inc. Bond Director 20,600,000
US:VXRT / Vaxart, Inc. 6,890,000
如何解读这些图表

以下图表显示了在Third Point LLC进行的每笔公开市场非计划交易后证券的股价表现。非计划交易是指没有作为10b5-1交易计划的一部分而进行的交易。股价表现以累积百分比变化的方式绘制。例如，如果一笔内部人士交易是在2019年1月1日进行的，该图表将显示该证券的每日百分比变化直至当前日期。如果在此期间股价从10美元涨至15美元，则股价的累积百分比变化将为50%。从10美元涨至20美元的价格变化将为100%，而从10美元跌至5美元的价格变化将为-50%。

最终，我们将评估内部人士的交易与股价的超额回报（正向或负向）之间的相关性，以判断内部人士是否在交易中利用内部信息获利。如果内部人士有这样的行为，我们预期看到（a）买入后的正回报，或者（b）卖出后的负回报。对于情况（a），买入图表将显示一系列向上倾斜的曲线，表示每次买入后都有正回报。对于情况（b），卖出图表将显示一系列向下倾斜的曲线，表示每次卖出后都有负回报。

然而，仅凭这一点还不足以得出结论。例如，如果公司的股价在多年内呈现非周期性上升，我们会预期所有买入后的图表都呈现向上倾斜。同样地，多年来呈现非周期性下降的股价会导致卖出后的图表也呈现向下倾斜。这两种情况的图表都不能表示内部人士在进行内幕交易。

最有力的指标是在公司股价呈极度循环波动的情况下，“买入”图表显示正向信号，而“卖出”图表显示负向趋势。这种情况强烈暗示内部人士可能根据内幕信息精确地计时进行交易，以获得财务优势。

S / SentinelOne, Inc.内部人士买入 - 短期收益分析

在这一部分，我们分析了在 S / SentinelOne, Inc. 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2021-07-15 S Loeb Daniel S 170,711 44.8851 170,711 44.8851 7,662,380 120 76.3 5,362,869 69.99
2021-07-14 S Loeb Daniel S 29,289 45.0000 29,289 45.0000 1,318,005
2021-07-06 S Loeb Daniel S 227,884 49.5158 227,884 49.5158 11,283,859
2021-07-02 S Loeb Daniel S 143,575 35.0000 143,575 35.0000 5,025,125
2021-07-02 S Loeb Daniel S 700,000 35.0000 700,000 35.0000 24,500,000
2021-07-02 S Loeb Daniel S 922,116 43.7284 922,116 43.7284 40,322,657
2021-04-09 S Loeb Daniel S 62,041 23.0000 62,041 23.0000 1,426,943

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

S / SentinelOne, Inc. Insider Trades
S / SentinelOne, Inc.内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 S / SentinelOne, Inc. 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2022-06-16 S Loeb Daniel S 635,723 21.3645 635,723 21.3645 13,581,904 354 12.7700 -5,463,721 -40.23
2022-06-16 S Loeb Daniel S 14,277 22.0026 14,277 22.0026 314,131
2022-06-15 S Loeb Daniel S 639,857 22.0526 639,857 22.0526 14,110,510
2022-06-15 S Loeb Daniel S 511,102 22.6025 511,102 22.6025 11,552,183
2022-06-14 S Loeb Daniel S 327,677 21.9091 327,677 21.9091 7,179,108
2022-06-13 S Loeb Daniel S 963,651 20.6421 963,651 20.6421 19,891,780
2022-06-13 S Loeb Daniel S 36,349 21.2702 36,349 21.2702 773,150
2022-04-11 S Loeb Daniel S 1,008,296 34.3509 1,008,296 34.3509 34,635,875
2022-04-08 S Loeb Daniel S 383,616 34.6658 383,616 34.6658 13,298,356
2022-04-07 S Loeb Daniel S 108,088 35.7859 108,088 35.7859 3,868,026
2022-03-17 S Loeb Daniel S 351,274 35.9322 351,274 35.9322 12,622,048
2022-03-17 S Loeb Daniel S 53,726 36.6518 53,726 36.6518 1,969,155

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

S / SentinelOne, Inc. Insider Trades
VXRT / Vaxart, Inc.内部人士买入 - 短期收益分析

在这一部分，我们分析了在 S / SentinelOne, Inc. 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2007-05-10 NABI Third Point LLC 135,000 5.2500 12,273 57.7500 708,750 731 3.05 -671,320 -94.72
2007-05-10 NABI Third Point LLC 200,000 5.2500 18,182 57.7500 1,050,000
2007-05-09 NABI Third Point LLC 225,000 5.2500 20,455 57.7500 1,181,250
2007-05-08 NABI Third Point LLC 350,000 5.1500 31,818 56.6500 1,802,500
2007-05-08 NABI Third Point LLC 230,000 5.1300 20,909 56.4300 1,179,900

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

VXRT / Vaxart, Inc. Insider Trades
VXRT / Vaxart, Inc.内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 S / SentinelOne, Inc. 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
当前未知该内部人士进行过任何未预先计划的公开市场交易。

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

VXRT / Vaxart, Inc. Insider Trades
内幕交易历史

该表格显示了由 Third Point LLC 进行的所有内幕交易的完整列表，这些交易已向美国证券交易委员会（SEC）披露。

备案日期 交易日期 表格 股票代码 证券 代码 10b5-1 股数 剩余股数 %
变化		 每股
股价		 交易
金额		 剩余
金额
2022-06-21 2022-06-16 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -14,277 659,939 -2.12 22.00 -314,131 14,520,374
2022-06-21 2022-06-16 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -635,723 674,216 -48.53 21.36 -13,581,904 14,404,288
2022-06-15 2022-06-15 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -511,102 1,309,939 -28.07 22.60 -11,552,183 29,607,896
2022-06-15 2022-06-15 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -639,857 1,821,041 -26.00 22.05 -14,110,510 40,158,689
2022-06-15 2022-06-15 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		C - Conversion 500,000 2,460,898 25.50
2022-06-15 2022-06-14 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -327,677 1,960,898 -14.32 21.91 -7,179,108 42,961,510
2022-06-15 2022-06-13 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -36,349 2,288,575 -1.56 21.27 -773,150 48,678,448
2022-06-15 2022-06-13 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -963,651 2,324,924 -29.30 20.64 -19,891,780 47,991,314
2022-04-11 2022-04-11 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -1,008,296 3,288,575 -23.47 34.35 -34,635,875 112,965,511
2022-04-11 2022-04-08 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -383,616 4,296,871 -8.20 34.67 -13,298,356 148,954,471
2022-04-11 2022-04-07 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -108,088 4,680,487 -2.26 35.79 -3,868,026 167,495,440
2022-03-21 2022-03-17 4 S SentinelOne, Inc.
Class B common stock, par value $0.0001 per share 		C - Conversion -3,000,000 21,518,907 -12.24
2022-03-21 2022-03-17 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -53,726 4,788,575 -1.11 36.65 -1,969,155 175,509,893
2022-03-21 2022-03-17 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		S - Sale -351,274 4,842,301 -6.76 35.93 -12,622,048 173,994,528
2022-03-21 2022-03-17 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		C - Conversion 3,000,000 5,193,575 136.76
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -9,550 8,495,000 -0.11 183.57 -1,753,075 1,559,411,010
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -10,067 8,504,550 -0.12 182.51 -1,837,376 1,552,206,242
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -19,750 8,514,617 -0.23 181.76 -3,589,681 1,547,582,727
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -36,634 8,534,367 -0.43 180.74 -6,621,251 1,542,506,612
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -55,768 8,571,001 -0.65 179.63 -10,017,879 1,539,650,908
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -33,735 8,626,769 -0.39 178.97 -6,037,597 1,543,944,063
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -3,282 8,660,504 -0.04 177.60 -582,867 1,538,063,940
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -89,887 8,663,786 -1.03 176.72 -15,884,858 1,531,066,861
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -62,183 8,753,673 -0.71 175.67 -10,923,812 1,537,775,243
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -17,604 8,815,856 -0.20 174.93 -3,079,510 1,542,178,848
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -7,288 8,833,460 -0.08 173.80 -1,266,633 1,535,229,731
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -45,384 8,840,748 -0.51 172.61 -7,833,891 1,526,032,455
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -63,626 8,886,132 -0.71 171.81 -10,931,685 1,526,740,557
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -48,003 8,949,758 -0.53 171.00 -8,208,671 1,530,438,152
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -13,973 8,997,761 -0.16 170.10 -2,376,866 1,530,556,937
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -63,060 9,011,734 -0.69 168.45 -10,622,407 1,518,019,383
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -26,668 9,074,794 -0.29 167.84 -4,476,090 1,523,158,799
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -37,320 9,101,462 -0.41 166.73 -6,222,543 1,517,530,446
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -7,611 9,138,782 -0.08 165.96 -1,263,096 1,516,641,189
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -38,932 9,146,393 -0.42 164.90 -6,419,762 1,508,210,937
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -18,424 9,185,325 -0.20 163.57 -3,013,632 1,502,452,796
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -32,430 9,203,749 -0.35 162.86 -5,281,504 1,498,909,677
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -26,499 9,236,179 -0.29 161.88 -4,289,767 1,495,190,525
2021-12-03 2021-12-02 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -37,322 9,262,678 -0.40 160.65 -5,995,708 1,488,031,622
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -800 8,100,000 -0.01 191.28 -153,025 1,549,378,530
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -10,600 8,100,800 -0.13 190.18 -2,015,862 1,540,575,311
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -10,051 8,111,400 -0.12 189.21 -1,901,716 1,534,730,415
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -22,374 8,121,451 -0.27 188.31 -4,213,199 1,529,332,571
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -12,431 8,143,825 -0.15 187.59 -2,331,954 1,527,714,791
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -2,300 8,156,256 -0.03 186.74 -429,495 1,523,074,777
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -9,467 8,158,556 -0.12 184.17 -1,743,583 1,502,600,420
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -34,642 8,168,023 -0.42 183.41 -6,353,693 1,498,097,915
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -12,500 8,202,665 -0.15 181.96 -2,274,475 1,492,540,518
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -2,375 8,215,165 -0.03 181.60 -431,296 1,491,859,998
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -13,066 8,217,540 -0.16 180.09 -2,353,013 1,479,869,661
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -31,773 8,230,606 -0.38 179.34 -5,698,103 1,476,059,596
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -54,398 8,262,379 -0.65 178.22 -9,694,746 1,472,511,271
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -40,763 8,316,777 -0.49 177.54 -7,237,161 1,476,580,549
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -5,664 8,357,540 -0.07 176.39 -999,094 1,474,217,403
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -1,400 8,363,204 -0.02 175.22 -245,315 1,465,442,421
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -12,584 8,364,604 -0.15 174.09 -2,190,732 1,456,183,036
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -33,688 8,377,188 -0.40 173.43 -5,842,352 1,452,816,342
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -300 8,410,876 0.00 171.86 -51,559 1,445,507,448
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -17,467 8,411,176 -0.21 171.24 -2,991,033 1,440,322,208
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -30,342 8,428,643 -0.36 170.37 -5,169,442 1,436,008,980
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -14,717 8,458,985 -0.17 169.33 -2,492,086 1,432,392,074
2021-12-03 2021-12-03 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -21,298 8,473,702 -0.25 168.28 -3,584,008 1,425,946,946
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -5,082 9,300,000 -0.05 205.38 -1,043,757 1,910,062,830
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -14,993 9,305,082 -0.16 204.59 -3,067,413 1,903,723,935
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -15,591 9,320,075 -0.17 203.61 -3,174,437 1,897,632,511
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -25,277 9,335,666 -0.27 202.54 -5,119,679 1,890,873,799
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -20,544 9,360,943 -0.22 201.35 -4,136,584 1,884,848,339
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -18,513 9,381,487 -0.20 200.43 -3,710,570 1,880,336,130
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -30,765 9,400,000 -0.33 195.47 -6,013,595 1,837,405,780
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -22,005 9,430,765 -0.23 194.39 -4,277,446 1,833,201,141
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -18,233 9,452,770 -0.19 193.58 -3,529,562 1,829,876,669
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -12,516 9,471,003 -0.13 192.60 -2,410,527 1,824,073,505
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -7,254 9,483,519 -0.08 191.41 -1,388,506 1,815,264,081
2021-11-26 2021-11-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -9,227 9,490,773 -0.10 190.31 -1,756,014 1,806,213,686
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -7,371 9,500,000 -0.08 228.39 -1,683,463 2,169,705,000
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -29,318 9,507,371 -0.31 227.82 -6,679,218 2,165,966,409
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -25,002 9,536,689 -0.26 226.79 -5,670,204 2,162,825,698
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -101 9,561,691 0.00 223.35 -22,558 2,135,602,729
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -5,306 9,561,792 -0.06 222.86 -1,182,481 2,130,916,104
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -11,089 9,567,098 -0.12 221.87 -2,460,263 2,122,606,111
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -13,825 9,578,187 -0.14 220.70 -3,051,110 2,113,858,938
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -15,100 9,592,012 -0.16 220.00 -3,321,932 2,110,199,476
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -10,857 9,607,112 -0.11 218.60 -2,373,326 2,100,102,194
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -12,715 9,617,969 -0.13 217.92 -2,770,913 2,095,993,009
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -76,356 9,630,684 -0.79 216.68 -16,544,971 2,086,795,870
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -77,867 9,707,040 -0.80 215.87 -16,809,009 2,095,441,252
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -52,133 9,784,907 -0.53 215.00 -11,208,720 2,103,778,489
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -8,776 9,837,040 -0.09 213.89 -1,877,092 2,104,037,600
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -9,384 9,845,816 -0.10 212.81 -1,997,029 2,095,308,779
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -16,095 9,855,200 -0.16 211.88 -3,410,202 2,088,115,834
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -19,753 9,871,295 -0.20 210.75 -4,162,911 2,080,358,640
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -27,742 9,891,048 -0.28 209.73 -5,818,435 2,074,487,083
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -75,128 9,918,790 -0.75 208.85 -15,690,565 2,071,550,202
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -57,669 9,993,918 -0.57 207.72 -11,979,166 2,075,964,630
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -150,232 10,051,587 -1.47 206.91 -31,084,789 2,079,792,964
2021-11-23 2021-11-19 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -48,181 10,201,819 -0.47 205.99 -9,924,669 2,101,444,131
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -8,260 10,250,000 -0.08 261.16 -2,157,206 2,676,920,750
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -280 10,258,260 0.00 260.69 -72,994 2,674,265,807
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -1,655 10,258,540 -0.02 259.13 -428,864 2,658,322,142
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -8,519 10,260,195 -0.08 258.18 -2,199,441 2,648,983,301
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -782 10,268,714 -0.01 257.50 -201,364 2,644,179,479
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -2,861 10,269,496 -0.03 255.92 -732,179 2,628,138,608
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -10,247 10,272,357 -0.10 255.18 -2,614,813 2,621,283,623
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -38,933 10,282,604 -0.38 254.32 -9,901,347 2,615,047,171
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -51,107 10,321,537 -0.49 253.23 -12,942,004 2,613,758,940
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -72,129 10,372,644 -0.69 252.32 -18,199,871 2,617,265,987
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -45,432 10,444,773 -0.43 251.05 -11,405,649 2,622,147,728
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -96,530 10,490,205 -0.91 250.29 -24,160,610 2,625,605,998
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -1,173 10,586,735 -0.01 248.81 -291,858 2,634,118,354
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -6,184 10,587,908 -0.06 248.08 -1,534,142 2,626,673,628
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -26,905 10,594,092 -0.25 247.14 -6,649,377 2,618,253,560
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -28,771 10,620,997 -0.27 246.30 -7,086,398 2,615,988,735
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -232 10,649,768 0.00 245.66 -56,993 2,616,201,772
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -4,208 10,650,000 -0.04 243.04 -1,022,700 2,588,345,115
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -45,073 10,654,208 -0.42 242.27 -10,920,048 2,581,245,047
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -42,736 10,699,281 -0.40 241.51 -10,321,167 2,583,982,284
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -33,410 10,742,017 -0.31 240.10 -8,021,624 2,579,120,685
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -29,841 10,775,427 -0.28 239.29 -7,140,701 2,578,469,168
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -14,632 10,805,268 -0.14 238.31 -3,486,956 2,575,006,659
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -4,750 10,819,900 -0.04 237.13 -1,126,346 2,565,674,197
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -12,796 10,824,650 -0.12 236.20 -3,022,468 2,556,826,711
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -1,519,776 10,837,446 -12.30 235.00 -357,152,223 2,546,834,490
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -38,064 12,357,222 -0.31 234.22 -8,915,244 2,894,273,937
2021-11-17 2021-11-15 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -4,714 12,395,286 -0.04 233.45 -1,100,464 2,893,628,696
2021-11-15 2021-11-15 4 FTCV Fintech Acquisition Corp V
Class A common stock, $0.0001 par value 		S - Sale -245,440 2,511,225 -8.90 10.49 -2,574,813 26,344,257
2021-11-15 2021-11-12 4 FTCV Fintech Acquisition Corp V
Class A common stock, $0.0001 par value 		S - Sale -179,557 2,756,665 -6.12 10.49 -1,882,817 28,906,114
2021-11-15 2021-11-11 4 FTCV Fintech Acquisition Corp V
Class A common stock, $0.0001 par value 		S - Sale -63,778 2,936,222 -2.13 10.61 -676,863 31,161,537
2021-08-24 2021-08-24 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -100,000 12,400,000 -0.80 208.69 -20,869,380 2,587,803,120
2021-08-24 2021-08-23 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -484,400 12,500,000 -3.73 202.62 -98,147,723 2,532,713,750
2021-08-24 2021-08-20 4 UPST Upstart Holdings, Inc.
Common Stock 		S - Sale -396,822 12,984,400 -2.97 199.62 -79,214,282 2,591,968,001
2021-08-13 3 BWCAU Blue Whale Acquisition Corp I
Class A Ordinary Shares 		2,000,000
2021-07-16 2021-07-15 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		P - Purchase 170,711 2,193,575 8.44 44.89 7,662,380 98,458,833
2021-07-16 2021-07-14 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		P - Purchase 29,289 2,022,864 1.47 45.00 1,318,005 91,028,880
2021-07-07 2021-07-06 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		P - Purchase 227,884 1,993,575 12.91 49.52 11,283,859 98,713,461
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Class B common stock, par value $0.0001 per share 		C - Conversion 2,199,199 24,518,907 9.85
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Class B common stock, par value $0.0001 per share 		C - Conversion 3,465,307 22,319,708 18.38
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Class B common stock, par value $0.0001 per share 		C - Conversion 2,436,549 18,854,401 14.84
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Class B common stock, par value $0.0001 per share 		C - Conversion 5,727,300 16,417,852 53.57
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Class B common stock, par value $0.0001 per share 		C - Conversion 10,628,511 10,690,552 17,131.43
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Series F Redeemable Convertible Preferred Stock 		C - Conversion -2,199,199 0 -100.00
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Series E Redeemable Convertible Preferred Stock 		C - Conversion -3,188,100 0 -100.00
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Series D Redeemable Convertible Preferred Stock 		C - Conversion -2,436,549 0 -100.00
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Series C Redeemable Convertible Preferred Stock 		C - Conversion -5,727,300 0 -100.00
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Series B Redeemable Convertible Preferred Stock 		C - Conversion -10,628,511 0 -100.00
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		P - Purchase 922,116 1,765,691 109.31 43.73 40,322,657 77,210,842
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		P - Purchase 700,000 843,575 487.55 35.00 24,500,000 29,525,125
2021-07-07 2021-07-02 4 S SentinelOne, Inc.
Class A common stock, par value $0.0001 per share 		P - Purchase 143,575 143,575 35.00 5,025,125 5,025,125
2021-07-07 2021-04-09 4 S SentinelOne, Inc.
Class B common stock, par value $0.0001 per share 		P - Purchase 62,041 62,041 23.00 1,426,943 1,426,943
2021-03-29 3 FTCV Fintech Acquisition Corp V
Class A common stock, $0.0001 par value 		2,914,454
2021-03-29 2021-03-25 4 FTCV Fintech Acquisition Corp V
Class A common stock, $0.0001 par value 		P - Purchase 85,546 3,000,000 2.94 11.48 982,308 34,448,400
2021-03-05 2021-03-03 4 RADI Radius Global Infrastructure, Inc.
Class A Common Stock 		S - Sale -4,527 4,495,473 -0.10 12.43 -56,264 55,871,986
2020-12-31 3 RADI Radius Global Infrastructure, Inc.
Class A Common Stock 		4,500,000
2020-12-22 2020-12-18 4 UPST Upstart Holdings, Inc.
Series C-1 Convertible Preferred Stock (Common Stock) 		C - Conversion -5,235,426 0 -100.00
2020-12-22 2020-12-18 4 UPST Upstart Holdings, Inc.
Series C Convertible Preferred Stock 		C - Conversion -6,945,796 0 -100.00
2020-12-22 2020-12-18 4 UPST Upstart Holdings, Inc.
Common Stock 		P - Purchase 1,200,000 13,381,222 9.85 20.00 24,000,000 267,624,440
2020-12-22 2020-12-18 4 UPST Upstart Holdings, Inc.
Common Stock 		C - Conversion 5,235,426 12,181,222 75.38
2020-12-22 2020-12-18 4 UPST Upstart Holdings, Inc.
Common Stock 		C - Conversion 6,945,796 6,945,796
2020-09-04 2020-08-28 4 FPAC Far Point Acquisition Corp
Warrants 		J - Other -1,333,333 0 -100.00
2020-09-04 2020-08-28 4 FPAC Far Point Acquisition Corp
Warrants 		J - Other -9,766,667 0 -100.00
2020-09-04 2020-08-28 4 FPAC Far Point Acquisition Corp
Class B Common Stock 		J - Other -10,692,500 0 -100.00
2020-09-04 2020-08-28 4 FPAC Far Point Acquisition Corp
Class B Common Stock 		J - Other -5,000,000 10,692,500 -31.86
2020-09-04 2020-08-28 4 FPAC Far Point Acquisition Corp
Class A Common Stock 		J - Other -10,421,052 0 -100.00
2020-09-04 2020-08-28 4 FPAC Far Point Acquisition Corp
Class A Common Stock 		P - Purchase 6,421,052 10,421,052 160.53 9.50 60,999,994 98,999,994
2019-10-04 2019-10-03 4 BID SOTHEBYS
Common Stock, par value $0.01 per share 		D - Sale to Issuer -6,668,765 0 -100.00 57.00 -380,119,605
2019-08-16 2019-08-15 4 BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 536 6,668,765 0.01 58.24 31,217 388,388,874
2019-05-17 2019-05-16 4 BAX BAXTER INTERNATIONAL INC
Common Stock, par value $1.00 per share ("Common Stock") 		S - Sale -5,000,000 23,008,125 -17.85 76.37 -381,850,000 1,757,130,492
2019-05-16 2019-05-15 4 BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 844 6,668,229 0.01 37.00 31,228 246,724,473
2019-02-19 2019-02-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 774 6,667,385 0.01 40.37 31,246 269,162,332
2018-12-04 2018-12-03 4 BAX BAXTER INTERNATIONAL INC
Common Stock, $1.00 par value ("Common Stock") 		S - Sale -8,000,000 28,008,125 -22.22 68.62 -548,960,000 1,921,917,525
2018-11-19 2018-11-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 795 6,666,611 0.01 39.26 31,212 261,731,148
2018-08-15 2018-08-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 666 6,665,816 0.01 46.90 31,235 312,626,770
2018-06-26 2018-06-26 4 GRBK Green Brick Partners, Inc.
Common Stock 		S - Sale -7,140,233 942,789 -88.34 9.07 -64,779,764 8,553,453
2018-06-18 2018-06-14 4 FPAC.U Far Point Acquisition Corp
Class A Common Stock 		J - Other 4,000,000 4,000,000 10.00 40,000,000 40,000,000
2018-05-16 2018-05-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 553 6,665,150 0.01 56.49 31,239 376,514,324
2018-02-26 2018-02-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 395 6,664,597 0.01 47.44 18,739 316,168,482
2017-12-08 2017-12-06 4 GRBK Green Brick Partners, Inc.
Common Stock 		J - Other 0 8,083,022 0.00 11.10 89,721,544
2017-11-17 2017-11-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 410 6,664,202 0.01 45.66 18,721 304,287,463
2017-11-07 2017-11-06 4 NYSE: BAX BAXTER INTERNATIONAL INC
Common Stock, $1.00 par value ("Common Stock") 		S - Sale -5,000,000 36,001,790 -12.19 64.23 -321,150,000 2,312,394,972
2017-08-17 2017-08-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 391 6,663,792 0.01 47.85 18,709 318,862,447
2017-06-02 2017-06-01 4 NYSE: BAX BAXTER INTERNATIONAL INC
Common Stock, $1.00 par value ("Common Stock") 		S - Sale -5,000,000 41,001,790 -10.87 59.50 -297,500,000 2,439,606,505
2017-05-16 2017-05-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 379 6,663,401 0.01 49.45 18,742 329,505,179
2017-03-15 2017-03-13 4 KDMN Kadmon Holdings, Inc.
Warrant to Purchase Common Stock 		P - Purchase 595,238 595,238
2017-03-15 2017-03-13 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 1,488,095 9,407,745 18.79 3.36 4,999,999 31,610,023
2017-03-01 2017-02-28 4 NYSE: BAX BAXTER INTERNATIONAL INC
Common Stock, $1.00 par value ("Common Stock") 		S - Sale -5,901,767 46,001,790 -11.37 50.35 -297,153,968 2,316,190,126
2017-02-17 2017-02-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 453 6,663,022 0.01 41.38 18,745 275,715,850
2017-02-17 2016-11-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 495 6,662,569 0.01 37.87 18,746 252,311,488
2016-11-15 2016-11-10 4 APIC Apigee Corp
Common Stock, $0.001 par value per share 		U - Other -3,166,551 0 -100.00 17.40 -55,097,987
2016-09-16 2016-09-14 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 19,611 7,919,650 0.25 7.79 152,817 61,713,081
2016-09-13 2016-09-13 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 17,529 7,900,039 0.22 7.99 139,971 63,082,601
2016-09-13 2016-09-12 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 35,410 7,882,510 0.45 8.32 294,682 65,598,248
2016-09-13 2016-09-09 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 15,715 7,847,100 0.20 8.74 137,376 68,596,994
2016-09-06 2016-09-06 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 4,540 7,831,385 0.06 9.23 41,894 72,265,671
2016-09-06 2016-09-01 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 77,241 7,826,845 1.00 9.40 725,718 73,537,122
2016-08-26 2016-08-26 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 2,900 7,749,604 0.04 9.92 28,778 76,902,420
2016-08-26 2016-08-25 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 2,600 7,746,704 0.03 9.99 25,969 77,374,854
2016-08-26 2016-08-24 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 27,416 7,744,104 0.36 9.98 273,735 77,321,006
2016-08-22 2016-08-22 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 43 7,716,688 0.00 10.00 430 77,166,880
2016-08-22 2016-08-19 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 10,000 7,716,645 0.13 10.00 99,993 77,161,048
2016-08-22 2016-08-18 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 1,262 7,706,645 0.02 10.00 12,620 77,066,450
2016-08-17 2016-08-15 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 6,010 7,705,383 0.08 9.95 59,824 76,700,153
2016-08-16 2016-08-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 470 6,662,074 0.01 39.89 18,748 265,750,132
2016-08-12 2016-08-12 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 14,578 7,699,373 0.19 9.98 145,433 76,810,485
2016-08-12 2016-08-11 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 22,000 7,684,795 0.29 9.99 219,883 76,807,221
2016-08-12 2016-08-10 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 50,951 7,662,795 0.67 9.98 508,552 76,483,889
2016-08-05 2016-08-05 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 11,474 7,611,844 0.15 9.94 114,037 75,651,834
2016-08-05 2016-08-04 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 55,354 7,600,370 0.73 9.94 550,418 75,575,039
2016-08-03 2016-08-03 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 137,226 7,545,016 1.85 9.90 1,358,277 74,681,323
2016-08-03 2016-08-02 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 71,486 7,407,790 0.97 9.76 697,932 72,323,735
2016-08-03 2016-08-01 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 181,618 7,336,304 2.54 9.34 1,697,166 68,555,560
2016-08-03 2016-08-01 4 KDMN Kadmon Holdings, Inc.
Common Stock, $0.001 par value per share 		P - Purchase 1,041,666 7,154,686 17.04 12.00 12,499,992 85,856,232
2016-07-26 3 KDMN Kadmon Holdings, LLC
Common Stock 		12,226,040
2016-07-26 3 KDMN Kadmon Holdings, LLC
Common Stock 		12,226,040
2016-07-26 3 KDMN Kadmon Holdings, LLC
Common Stock 		12,226,040
2016-05-26 2016-05-24 4 NYSE: BAX BAXTER INTERNATIONAL INC
Common Stock, $1 par value ("Common Stock") 		D - Sale to Issuer -1,948,233 51,903,557 -3.62
2016-05-17 2016-05-17 4 NYSE: BID SOTHEBYS
Common Stock 		G - Gift 679 6,661,604 0.01
2016-05-17 2016-05-17 4 NYSE: BID SOTHEBYS
Common Stock 		G - Gift -679 6,661,604 -0.01
2016-05-17 2016-05-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share ("Common Stock") 		A - Award 679 6,661,604 0.01 27.60 18,740 183,860,270
2016-04-12 2016-04-08 4 GRBK Green Brick Partners, Inc.
Common Stock 		J - Other 0 8,083,022 0.00 7.20 58,197,758
2016-02-29 2016-02-29 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		A - Award 10,000 6,660,925 0.15 21.93 219,300 146,074,085
2016-02-17 2016-02-17 4 NYSE: BID SOTHEBYS
Common Stock 		G - Gift 925 6,650,925 0.01
2016-02-17 2016-02-17 4 NYSE: BID SOTHEBYS
Common Stock 		G - Gift -925 6,650,925 -0.01
2016-02-17 2016-02-15 4 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share ("Common Stock") 		A - Award 925 6,650,925 0.01 20.26 18,740 134,747,740
2015-10-01 2015-09-29 4 BAX BAXTER INTERNATIONAL INC
Stock Option (right to buy) 		A - Award 6,290 6,290
2015-10-01 2015-09-29 4 BAX BAXTER INTERNATIONAL INC
Common Stock, $1 par value 		A - Award 1,790 53,851,790 0.00
2015-10-01 3 BAX BAXTER INTERNATIONAL INC
Common Stock, $1 par value 		107,700,000
2015-10-01 3 BAX BAXTER INTERNATIONAL INC
Common Stock, $1 par value 		107,700,000
2015-10-01 3 BAX BAXTER INTERNATIONAL INC
Common Stock, $1 par value 		107,700,000
2015-07-01 2015-07-01 4 GRBK Green Brick Partners, Inc.
Common Stock 		P - Purchase 2,840,898 8,083,022 54.19 10.00 28,408,980 80,830,220
2015-04-30 2015-04-29 4 APIC Apigee Corp
Series H Convertible Preferred Stock 		C - Conversion -122,291 0 -100.00
2015-04-30 2015-04-29 4 APIC Apigee Corp
Series G Convertible Preferred Stock 		C - Conversion -264,562 0 -100.00
2015-04-30 2015-04-29 4 APIC Apigee Corp
Series F Convertible Preferred Stock 		C - Conversion -266,893 0 -100.00
2015-04-30 2015-04-29 4 APIC Apigee Corp
Series E Convertible Preferred Stock 		C - Conversion -292,276 0 -100.00
2015-04-30 2015-04-29 4 APIC Apigee Corp
Series D Convertible Preferred Stock 		C - Conversion -319,211 0 -100.00
2015-04-30 2015-04-29 4 APIC Apigee Corp
Series C Convertible Preferred Stock 		C - Conversion -1,596,856 0 -100.00
2015-04-30 2015-04-29 4 APIC Apigee Corp
Common Stock, $0.001 par value per share 		C - Conversion 126,753 3,166,551 4.17
2015-04-30 2015-04-29 4 APIC Apigee Corp
Common Stock, $0.001 par value per share 		C - Conversion 264,562 3,039,798 9.53
2015-04-30 2015-04-29 4 APIC Apigee Corp
Common Stock, $0.001 par value per share 		C - Conversion 266,893 2,775,236 10.64
2015-04-30 2015-04-29 4 APIC Apigee Corp
Common Stock, $0.001 par value per share 		C - Conversion 292,276 2,508,343 13.19
2015-04-30 2015-04-29 4 APIC Apigee Corp
Common Stock, $0.001 par value per share 		C - Conversion 319,211 2,216,067 16.83
2015-04-30 2015-04-29 4 APIC Apigee Corp
Common Stock, $0.001 par value per share 		C - Conversion 1,596,856 1,896,856 532.29
2015-04-30 2015-04-29 4 APIC Apigee Corp
Common Stock, $0.001 par value per share 		P - Purchase 300,000 300,000 17.00 5,100,000 5,100,000
2014-10-29 2014-10-27 4 GRBK Green Brick Partners, Inc.
Common Stock, par value $0.01 per share ("Common Stock") 		P - Purchase 1,857,704 5,242,124 54.89 5.00 9,288,520 26,210,620
2014-10-21 2014-10-17 4 BIOF BioFuel Energy Corp.
Subscription Rights ("right to buy") 		X - Other -2,341,294 0 -100.00
2014-10-21 2014-10-17 4 BIOF BioFuel Energy Corp.
Subscription Rights ("right to buy") 		X - Other -88,718 0 -100.00
2014-10-21 2014-10-17 4 BIOF BioFuel Energy Corp.
Common Stock, par value $0.01 per share 		X - Other 2,341,294 3,384,420 224.45 5.00 11,706,470 16,922,100
2014-10-21 2014-10-17 4 BIOF BioFuel Energy Corp.
Common Stock, par value $0.01 per share ("Common Stock") 		X - Other 88,718 99,943 790.36 5.00 443,590 499,715
2014-08-21 2014-08-19 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		S - Sale -81,360 423,684 -16.11 10.27 -835,486 4,350,811
2014-08-21 2014-08-19 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		S - Sale -1,200,000 6,248,987 -16.11 10.27 -12,322,800 64,170,848
2014-05-09 3 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		13,300,000
2014-05-09 3 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		13,300,000
2014-05-09 3 NYSE: BID SOTHEBYS
Common Stock, par value $0.01 per share 		13,300,000
2013-11-22 2013-11-21 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		J - Other 190,100 7,448,987 2.62 6.83 1,298,383 50,876,581
2013-07-23 2013-07-22 4 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		S - Sale -40,000,000 20,600,000 -66.01 29.11 -1,164,400,000 599,666,000
2013-07-23 2013-07-19 4 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		S - Sale -1,400,000 60,600,000 -2.26 29.30 -41,020,000 1,775,580,000
2013-02-01 2013-02-01 4 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		S - Sale -3,500,400 62,000,000 -5.34 19.68 -68,877,021 1,219,967,800
2013-02-01 2013-01-31 4 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		S - Sale -7,500,000 65,500,400 -10.27 19.70 -147,786,000 1,290,672,282
2012-08-31 2012-08-30 4 BIOF BioFuel Energy Corp.
Common Stock, par value $0.01 per share 		J - Other 34,691 1,043,123 3.44
2012-07-24 2012-07-23 4 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		P - Purchase 804,000 73,000,400 1.11 15.67 12,598,680 1,143,916,268
2012-07-24 2012-07-20 4 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		P - Purchase 1,696,000 72,196,400 2.41 15.82 26,830,720 1,142,147,048
2012-06-01 2012-05-31 4 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		P - Purchase 1,712,400 70,500,400 2.49 15.24 26,096,976 1,074,426,096
2012-06-01 2012-05-31 4 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		S - Sale -1,712,400 70,500,400 -2.37 15.24 -26,096,976 1,074,426,096
2012-05-29 3 YHOO YAHOO INC
Common Stock, par value $0.001 per share 		70,500,400
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
9% Junior Convertible Secured Notes due 2014 		C - Conversion 0
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Series E Convertible Preferred Stock 		C - Conversion -757,357 0 -100.00
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Series D Convertible Preferred Stock 		C - Conversion -1,818,659 0 -100.00
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Series C Convertible Preferred Stock 		C - Conversion -423,656 0 -100.00
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Series B Convertible Preferred Stock 		C - Conversion -714,819 0 -100.00
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
9% Junior Convertible Secured Notes due 2014 		C - Conversion 0
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Series E Convertible Preferred Stock 		C - Conversion -71,734 0 -100.00
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Series D Convertible Preferred Stock 		C - Conversion -117,161 0 -100.00
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Series C Convertible Preferred Stock 		C - Conversion -50,406 0 -100.00
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Series B Convertible Preferred Stock 		C - Conversion -83,118 0 -100.00
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 163,091 7,258,829 2.30 6.00 978,546 43,552,974
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 140,953 7,095,738 2.03 6.00 845,718 42,574,428
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 27,371 6,954,785 0.40 6.00 164,226 41,728,710
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 432,473 6,927,414 6.66 6.00 2,594,838 41,564,484
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 577,227 6,494,941 9.75
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 757,357 5,917,714 14.68
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 1,818,659 5,160,357 54.42
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 1,065,071 3,341,698 46.78
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 1,356,727 2,276,627 147.49
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 31,663 505,037 6.69
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 71,734 473,374 17.86
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 117,161 401,640 41.18
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 126,721 284,479 80.33
2012-04-10 2012-04-04 4/A ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 157,758 157,758
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Series B Convertible Preferred Stock 		C - Conversion -83,118 0 -100.00
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
9% Junior Convertible Secured Notes due 2014 		C - Conversion 0
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
9% Junior Convertible Secured Notes due 2014 		C - Conversion 0
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Series E Convertible Preferred Stock 		C - Conversion -757,357 0 -100.00
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Series D Convertible Preferred Stock 		C - Conversion -1,818,659 0 -100.00
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Series C Convertible Preferred Stock 		C - Conversion -423,656 0 -100.00
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Series B Convertible Preferred Stock 		C - Conversion -714,819 0 -100.00
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Series E Convertible Preferred Stock 		C - Conversion -71,734 0 -100.00
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Series D Convertible Preferred Stock 		C - Conversion -117,161 0 -100.00
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Series C Convertible Preferred Stock 		C - Conversion -50,406 0 -100.00
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 163,091 7,258,829 2.30 6.00 978,546 43,552,974
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 140,953 7,095,738 2.03 6.00 845,718 42,574,428
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 27,371 6,954,785 0.40 6.00 164,226 41,728,710
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 432,473 6,927,414 6.66 6.00 2,594,838 41,564,484
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 577,227 6,494,941 9.75
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 757,357 5,917,714 14.68
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 1,818,659 5,160,357 54.42
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 1,065,071 3,341,698 46.78
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 1,356,727 2,276,627 147.49
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 31,663 505,037 6.69
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 71,734 473,374 17.86
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 117,161 401,640 41.18
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 126,721 284,479 80.33
2012-04-05 2012-04-04 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		C - Conversion 157,758 157,758
2012-04-03 2012-03-30 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 6,600 197,300 3.46 7.64 50,424 1,507,372
2012-04-03 2012-03-30 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 168,600 190,700 762.90 8.05 1,357,230 1,535,135
2012-04-03 2012-03-30 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 13,200 22,100 148.31 7.92 104,544 175,032
2012-04-03 2012-03-30 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 8,900 8,900 7.94 70,666 70,666
2012-04-03 2012-03-30 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 24,049 722,600 3.44 7.64 183,734 5,520,664
2012-04-03 2012-03-30 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 617,386 698,551 760.66 8.05 4,969,957 5,623,336
2012-04-03 2012-03-30 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 48,655 81,165 149.66 7.92 385,348 642,827
2012-04-03 2012-03-30 4 ENPH Enphase Energy, Inc.
Common Stock, $0.00001 par value 		P - Purchase 32,500 32,500 7.94 258,050 258,050
2009-01-22 2008-12-29 4 BIOF BioFuel Energy Corp.
Units 		C - Conversion -4,328,800 0 -100.00
2009-01-22 2008-12-29 4 BIOF BioFuel Energy Corp.
Units 		C - Conversion -224,484 0 -100.00
2009-01-22 2008-12-29 4 BIOF BioFuel Energy Corp.
Common Stock, par value $0.01 per share 		C - Conversion 4,328,800 5,578,800 346.30
2009-01-22 2008-12-29 4 BIOF BioFuel Energy Corp.
Common Stock, par value $0.01 per share 		C - Conversion 224,484 224,484
2007-06-21 2007-06-19 4 BIOF BioFuel Energy Corp.
Stock Option (right to buy) 		A - Award 5,000 5,000
2007-06-21 2007-06-19 4 BIOF BioFuel Energy Corp.
Common Stock, par value $0.01 per share 		P - Purchase 1,250,000 1,250,000 10.50 13,125,000 13,125,000
2007-06-21 2007-06-19 4 BIOF BioFuel Energy Corp.
Common Stock, par value $0.01 per share 		A - Award 7,500 7,500
2007-06-13 3 BIOF BioFuel Energy Corp.
Class B Common Stock 		224,484
2007-06-13 3 BIOF BioFuel Energy Corp.
Class B Common Stock 		4,553,284
2007-05-11 2007-05-10 4 NABI NABI BIOPHARMACEUTICALS
Common Stock, par value $0.01 per share 		P - Purchase 200,000 6,890,000 2.99 5.25 1,050,000 36,172,500
2007-05-11 2007-05-10 4 NABI NABI BIOPHARMACEUTICALS
Common Stock, par value $0.01 per share 		P - Purchase 135,000 6,690,000 2.06 5.25 708,750 35,122,500
2007-05-11 2007-05-09 4 NABI NABI BIOPHARMACEUTICALS
Common Stock, par value $0.01 per share 		P - Purchase 225,000 6,555,000 3.55 5.25 1,181,250 34,413,750
2007-05-11 2007-05-08 4 NABI NABI BIOPHARMACEUTICALS
Common Stock, par value $0.01 per share 		P - Purchase 230,000 6,330,000 3.77 5.13 1,179,900 32,472,900
2007-05-11 2007-05-08 4 NABI NABI BIOPHARMACEUTICALS
Common Stock, par value $0.01 per share 		P - Purchase 350,000 6,100,000 6.09 5.15 1,802,500 31,415,000
P
非衍生或衍生证券的公开市场或私下买入
S
非衍生或衍生证券的公开市场或私下卖出
A
公司向内部人员授予、奖励或以其他方式获取证券（例如股票期权）
C
衍生工具转换
D
将证券卖出或转让回公司
F
使用从公司收到的证券的一部分来支付行使价或税务负担。
G
内部人士赠送或接收他人赠送公司股票
K
股权掉期和类似的避险交易
M
行使或转换从公司获得的衍生证券（例如期权）
V
内部人士通过Form 4自愿报告的一笔交易
J
其他（附有交易描述的脚注）