|
Thomas R Carper
|
senate |
Lazard World Div & Inc Fd ETF |
LDIV |
ETF |
Purchase
|
Nov. 11, 2016 |
$$1,001 - $15,000 |
Dec. 1, 2016 |
|
Thomas R Carper
|
senate |
Ishares SP Smallcap 600 Index ETF |
IJR |
ETF |
Purchase
|
Nov. 11, 2016 |
$$1,001 - $15,000 |
Dec. 1, 2016 |
|
Thomas R Carper
|
senate |
S&P 500 Index Fund ETF |
SPY |
ETF |
Purchase
|
Nov. 11, 2016 |
$$15,001 - $50,000 |
Dec. 1, 2016 |
|
Thomas R Carper
|
senate |
ALPS ETF Trust-ALPS Medical |
ALPS |
ETF |
Purchase
|
Nov. 11, 2016 |
$$1,001 - $15,000 |
Dec. 1, 2016 |
|
Thomas R Carper
|
senate |
Western Asset/Claymore Inflation ETF |
FLAW |
ETF |
Purchase
|
Nov. 11, 2016 |
$$1,001 - $15,000 |
Dec. 1, 2016 |
|
Thomas R Carper
|
senate |
AdvanSix Inc. |
ASIX |
STOCK |
Sale (Full)
|
Nov. 8, 2016 |
$$1,001 - $15,000 |
Dec. 1, 2016 |
|
Thomas R Carper
|
senate |
Alcoa Inc Pfd Cl B |
AA-Pb |
STOCK |
Sale (Full)
|
Oct. 11, 2016 |
$$1,001 - $15,000 |
Nov. 1, 2016 |
|
Thomas R Carper
|
senate |
Owens & Minor Inc |
OMI |
STOCK |
Purchase
|
Sept. 26, 2016 |
$$1,001 - $15,000 |
Oct. 4, 2016 |
|
Thomas R Carper
|
senate |
Medtronic plc |
MDT |
STOCK |
Sale (Full)
|
Sept. 26, 2016 |
$$1,001 - $15,000 |
Oct. 4, 2016 |
|
Thomas R Carper
|
senate |
JPM Contingent Autocall on Amgen Rate/Coupon: 10.15% Matures: 12/7/2018 |
AMGN |
OPTION |
Sale (Full)
|
Sept. 9, 2016 |
$$1,001 - $15,000 |
Oct. 4, 2016 |
|
Thomas R Carper
|
senate |
Spectra Energy |
SE |
STOCK |
Sale (Full)
|
Sept. 8, 2016 |
$$1,001 - $15,000 |
Oct. 4, 2016 |
|
Thomas R Carper
|
senate |
Convergys |
|
STOCK |
Sale (Full)
|
Aug. 26, 2016 |
$$1,001 - $15,000 |
Sept. 1, 2016 |
|
Thomas R Carper
|
senate |
Calamos Asset Mgmt Cl A |
CALAX |
FUND |
Sale (Full)
|
Aug. 26, 2016 |
$$1,001 - $15,000 |
Sept. 1, 2016 |
|
Thomas R Carper
|
senate |
Williams Partners LP Rate/Coupon: 3.5% Matures: 08/15/2022 |
|
BOND |
Purchase
|
Aug. 19, 2016 |
$$15,001 - $50,000 |
Sept. 1, 2016 |
|
Thomas R Carper
|
senate |
Prospect Capital Rate/Coupon: 5.5% Matures: 08/15/2016 |
PSEC |
BOND |
Sale (Full)
|
Aug. 16, 2016 |
$$1,001 - $15,000 |
Sept. 1, 2016 |
|
Thomas R Carper
|
senate |
Under Armour Class C |
UA |
STOCK |
Sale (Partial)
|
July 14, 2016 |
$$1,001 - $15,000 |
Aug. 1, 2016 |
|
Thomas R Carper
|
senate |
PDL Biopharma Inc |
|
PRIVATE EQUITY |
Sale (Full)
|
July 14, 2016 |
$$1,001 - $15,000 |
Aug. 1, 2016 |
|
Thomas R Carper
|
senate |
Under Armour Class A |
UA |
STOCK |
Sale (Partial)
|
July 14, 2016 |
$$1,001 - $15,000 |
Aug. 1, 2016 |
|
Thomas R Carper
|
senate |
Under Armour Class C |
UA |
STOCK |
Sale (Partial)
|
July 14, 2016 |
$$1,001 - $15,000 |
April 20, 2017 |
|
Thomas R Carper
|
senate |
Dupont |
DD |
STOCK |
Sale (Partial)
|
July 14, 2016 |
$$50,001 - $100,000 |
April 20, 2017 |
|
Thomas R Carper
|
senate |
Under Armour Class A |
UAA |
STOCK |
Sale (Partial)
|
July 14, 2016 |
$$1,001 - $15,000 |
April 20, 2017 |
|
Thomas R Carper
|
senate |
PDL Biopharma Inc |
|
PRIVATE EQUITY |
Sale (Full)
|
July 14, 2016 |
$$1,001 - $15,000 |
April 20, 2017 |
|
Thomas R Carper
|
senate |
Textainer Group Holdings |
TGH |
STOCK |
Sale (Full)
|
July 14, 2016 |
$$1,001 - $15,000 |
April 20, 2017 |
|
Thomas R Carper
|
senate |
Dupont |
DD |
STOCK |
Sale (Partial)
|
July 14, 2016 |
$$50,001 - $100,000 |
Aug. 1, 2016 |
|
Thomas R Carper
|
senate |
Testainer Group Holdings |
|
PRIVATE EQUITY |
Sale (Full)
|
July 14, 2016 |
$$1,001 - $15,000 |
Aug. 1, 2016 |