|
Thomas R Carper
|
senate |
UBS Autocall Met Life |
|
FIXED INCOME |
Purchase
|
March 21, 2014 |
$$1,001 - $15,000 |
April 4, 2014 |
|
Thomas R Carper
|
senate |
MS Autocall Dow Chemical |
DOW |
OPTION |
Sale (Full)
|
March 19, 2014 |
$$1,001 - $15,000 |
April 4, 2014 |
|
Thomas R Carper
|
senate |
MS Autocall Dow Chemical Rate/Coupon: 10.40% Matures: 12/19/2016 |
DOW |
FIXED INCOME |
Sale (Full)
|
March 19, 2014 |
$$1,001 - $15,000 |
May 13, 2015 |
|
Thomas R Carper
|
senate |
HSBC Autocall Transocean Rate/Coupon: 10.50% Matures: 03/19/2015 |
|
FIXED INCOME |
Purchase
|
March 14, 2014 |
$$1,001 - $15,000 |
May 13, 2015 |
|
Thomas R Carper
|
senate |
E. I. du Pont de Nemours and Company (NYSE) |
DD |
STOCK |
Purchase
|
March 14, 2014 |
$$1,001 - $15,000 |
May 13, 2015 |
|
Thomas R Carper
|
senate |
HSBC Autocall Transocean |
|
STRUCTURED PRODUCT |
Purchase
|
March 14, 2014 |
$$1,001 - $15,000 |
April 4, 2014 |
|
Thomas R Carper
|
senate |
Barclays Autocall Broadcom 10% due 11/28/16 |
|
FIXED INCOME |
Sale (Full)
|
Feb. 28, 2014 |
$$1,001 - $15,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
UBS AutocallBroadcom 9.4% due 3/3/17 |
|
FIXED INCOME |
Purchase
|
Feb. 28, 2014 |
$$1,001 - $15,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
UBS Autocall Terex Corp. 11.2% due 3/11/15 |
TEX |
FIXED INCOME |
Purchase
|
Feb. 28, 2014 |
$$15,001 - $50,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
Barclays Autocall Terex 12/75% due 11/28/14 |
|
OPTION |
Sale (Full)
|
Feb. 27, 2014 |
$$15,001 - $50,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
Ecopetrol SA (NYSE) |
EC |
STOCK |
Sale (Full)
|
Feb. 27, 2014 |
$$1,001 - $15,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
Transocean Ltd. (NYSE) |
RIG |
STOCK |
Purchase
|
Feb. 27, 2014 |
$$1,001 - $15,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
Vodafone CP PLC |
VOD |
STOCK |
Sale (Full)
|
Feb. 21, 2014 |
$$1,001 - $15,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
Shaw Communications, Inc. (NYSE) |
SJR |
STOCK |
Purchase
|
Feb. 21, 2014 |
$$1,001 - $15,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
MS Autocall Valero Energy 12% due 2/21/17 |
VLO |
FIXED INCOME |
Purchase
|
Feb. 18, 2014 |
$$15,001 - $50,000 |
March 6, 2014 |
|
Thomas R Carper
|
senate |
8.05% due 1/27/17 UBS Autocall Potash |
|
FIXED INCOME |
Purchase
|
Jan. 24, 2014 |
$$15,001 - $50,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
8.05% due 1/27/17 UBS Autocall Potash |
|
FIXED INCOME |
Purchase
|
Jan. 24, 2014 |
$$1,001 - $15,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
12% due 10/21/16 JPM Autocall Potash |
|
FIXED INCOME |
Sale (Full)
|
Jan. 24, 2014 |
$$1,001 - $15,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
12% due 10/21/16 JPM Autocall Potash |
|
FIXED INCOME |
Sale (Full)
|
Jan. 24, 2014 |
$$15,001 - $50,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
8.05% due 1/26/15 MS Autocall FCX |
FCX |
FIXED INCOME |
Purchase
|
Jan. 21, 2014 |
$$15,001 - $50,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
I - Shares Russell 1000 Value |
IVOL |
ETF |
Purchase
|
Jan. 17, 2014 |
$$1,001 - $15,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
I - Shares S&P Midcap 400 |
IJH |
ETF |
Purchase
|
Jan. 17, 2014 |
$$1,001 - $15,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
SPDR Trust Series 1 |
SPY |
ETF |
Purchase
|
Jan. 17, 2014 |
$$1,001 - $15,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
I - Shares MSCI EAFE |
EFA |
ETF |
Purchase
|
Jan. 17, 2014 |
$$1,001 - $15,000 |
Feb. 5, 2014 |
|
Thomas R Carper
|
senate |
MIRAE Emerging Markets Fund |
|
FUND |
Purchase
|
Jan. 17, 2014 |
$$1,001 - $15,000 |
Feb. 5, 2014 |