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|
Exchange: |
Nasdaq National Market |
Security
Type: |
Common |
Shares
Out: |
122,818,000 |
Market
Cap: |
N/A |
Last
Volume: |
41,936 |
Avg
Vol: |
19,031 |
52
Week Range: |
$6.15 - $6.15 |
|
Level
I Sector: |
Financials |
Level
II Sector: |
Financial Services |
Level
III Sector: |
Investment Brokerage - Regional |
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Member Indexes:
|
NASDAQ COMPOSITE |
|
NASDAQ OTHER FINANCE |
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NASDAQ NNM COMPOSITE |
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Rankings:
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Insider 3 Months : - |
Insider 6 Months : - |
Insider 3/6 Months : - |
|
Guru Rank Number : - |
Guru Rank Value : - |
Guru Occurances : - |
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D/I:
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D
is for direct shares.
I is
for indirect shares.
D/I
refers to the Direct or Indirect
shares traded vs. held. |
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Forms:
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A
Form 4 is a form filed
by an insider to indicate a change
in ownership.
A Form
3 is a form filed by
an insider to indicate an
initial ownership of a security. |
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3m +/-:
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This
represents the company's 3 month
price change. The initial price
is based on the closing price
of the stock on the day the transaction
took place. Purchases & sales
are viewed as long & short
positions respectively.
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Actions:
|
|
|
B |
Buy |
S |
Sell |
OE |
Option
Exercised |
A |
Acquired |
D |
Disposed |
AB |
Automatic
Buy |
AS |
Automatic
Sell |
IO |
Initial
Ownership |
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Download:
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|
Download only Transactions
Forms. (Default)
Download
only Summary Infomation.
Download
both Transactions and Summary Data
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Summary (Direct Transactions Only) |
3 Months |
6 Months |
12 Months |
24 Months |
Total Shares Bought |
0 |
0 |
0 |
0 |
Total Buy Value |
$0 |
$0 |
$0 |
$0 |
Total People Bought |
0 |
0 |
0 |
0 |
Total Buy Transactions |
0 |
0 |
0 |
0 |
Total Shares Sold |
0 |
0 |
0 |
0 |
Total Sell Value |
$0 |
$0 |
$0 |
$0 |
Total People Sold |
0 |
0 |
0 |
0 |
Total Sell Transactions |
0 |
0 |
0 |
0 |
End Date |
2024-03-10 |
2023-12-08 |
2023-06-09 |
2022-06-09 |
|
Filer's Name |
Relation Title |
Off-Dir-10% |
Tran. Date |
Form |
Action |
Price |
Mkt Value |
D/I |
Shares |
Holdings |
Rank
|
|
|
3m +/- |
|
|
Form |
Gooch Michael |
Chairman and CEO |
|
2008-11-10 |
4 |
B |
$3.44 |
$321,428 |
D/D |
93,046 |
406,785 |
3.23 |
- |
|
Gooch Michael |
Chairman and CEO |
|
2008-11-07 |
4 |
B |
$3.07 |
$213,743 |
D/D |
67,890 |
274,675 |
3.23 |
- |
|
Ward John W |
Director |
|
2008-11-04 |
4 |
B |
$3.49 |
$34,977 |
D/D |
10,000 |
22,284 |
2.39 |
- |
|
Macdonald John R |
Director |
|
2008-05-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
1,216 |
16,772 |
|
- |
|
Heffron Colin |
President |
|
2008-04-30 |
4 |
D |
$11.75 |
$317,720 |
D/D |
(27,040) |
139,994 |
|
- |
|
Heffron Colin |
President |
|
2008-04-30 |
4 |
OE |
$0.00 |
$0 |
D/D |
80,000 |
167,034 |
|
- |
|
Giancarlo J Christopher |
Executive Vice President |
|
2008-04-10 |
5 |
GD |
$0.00 |
$0 |
D/D |
24 |
10,785 |
|
- |
|
Giancarlo J Christopher |
Executive Vice President |
|
2008-04-08 |
4 |
AS |
$15.95 |
$127,671 |
D/D |
(8,000) |
10,809 |
|
- |
|
Giancarlo J Christopher |
Executive Vice President |
|
2008-04-08 |
4 |
OE |
$2.97 |
$23,760 |
D/D |
8,000 |
18,809 |
|
- |
|
Giancarlo J Christopher |
Executive Vice President |
|
2008-04-02 |
4 |
AS |
$14.98 |
$22,710 |
D/D |
(1,516) |
10,809 |
|
- |
|
Gooch Michael |
Chairman and CEO |
|
2008-03-31 |
4 |
D |
$14.33 |
$43,764 |
D/D |
(3,054) |
206,785 |
|
- |
|
Gooch Michael |
Chairman and CEO |
|
2008-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
9,035 |
209,839 |
|
- |
|
Heffron Colin |
President |
|
2008-03-31 |
4 |
D |
$14.33 |
$90,666 |
D/D |
(6,327) |
87,034 |
|
- |
|
Heffron Colin |
President |
|
2008-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
18,717 |
93,361 |
|
- |
|
Levi Ronald Daniel |
Chief Operating Officer |
|
2008-03-31 |
4 |
D |
$14.33 |
$56,274 |
D/D |
(3,927) |
35,102 |
|
- |
|
Levi Ronald Daniel |
Chief Operating Officer |
|
2008-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
11,617 |
39,029 |
|
- |
|
Breuer Jurgen Heinz |
Senior Managing Director |
|
2008-03-31 |
4 |
D |
$14.33 |
$62,192 |
D/D |
(4,340) |
36,581 |
|
- |
|
Breuer Jurgen Heinz |
Senior Managing Director |
|
2008-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
10,585 |
40,921 |
|
- |
|
Giancarlo J Christopher |
Executive Vice President |
|
2008-03-31 |
4 |
D |
$14.33 |
$18,142 |
D/D |
(1,266) |
12,325 |
|
- |
|
Giancarlo J Christopher |
Executive Vice President |
|
2008-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
3,743 |
13,591 |
|
- |
|
Pintoff Scott |
General Counsel and Secretary |
|
2008-03-31 |
4 |
D |
$14.33 |
$21,896 |
D/D |
(1,528) |
12,860 |
|
- |
|
Pintoff Scott |
General Counsel and Secretary |
|
2008-03-31 |
4 |
OE |
$0.00 |
$0 |
D/D |
3,872 |
14,388 |
|
- |
|
Kalish Geoffery |
Director |
|
2008-03-18 |
4 |
B |
$53.98 |
$108,354 |
D/D |
2,007 |
2,007 |
2.39 |
- |
|
Gooch Michael |
Chairman and CEO |
|
2008-03-18 |
4 |
B |
$54.40 |
$688,990 |
D/D |
12,497 |
42,698 |
3.23 |
- |
|
Gooch Michael |
Chairman and CEO |
|
2008-03-18 |
4 |
B |
$55.54 |
$417,875 |
D/D |
7,503 |
50,201 |
3.23 |
- |
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680 Records found
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Page 13 of 28 |
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