SWK Holdings Corporation

Introduction

This page provides a comprehensive analysis of the known insider trading history of Clint Duane Carlson. Insiders are officers, directors, or significant investors in a company. It is illegal for insiders to make trades in their companies based on specific, non-public information. This does not mean it is illegal for them to make any trades in their own companies. However, they must report all trades to the SEC via a Form 4. Despite these restrictions, academic research suggests that insiders - in general - tend to outperform the market in their own companies.

Average Trade Profitability

The average trade profitability is the average return of all the open market purchases made by the insider in the last three years. To calculate this, we examine every open-market, unplanned purchase made by the insider, excluding all trades that were marked as part of a 10b5-1 trading plan. We then calculate the average performance of those trades over 3, 6, and 12 months, averaging each of those durations to generate a final performance metric for each trade. Finally, we average all of the performance metrics to calculate a performance metric for the insider. This list only includes insiders that have made at least three trades in the last two years.

If this insiders trade profitability is "N/A", then the insider either has not made any open-market purchases in the last three years, or the trades they’ve made are too recent to calculate a reliable performance metric.

Update Frequency: Daily

See the list of most profitable insider traders.

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Companies with Reported Insider Positions

The SEC filings indicate Clint Duane Carlson has reported holdings or trades in the following companies:

Security Title Latest Reported Holdings
US:SWKH / SWK Holdings Corporation 10% Owner 12,354
US:GLT / Glatfelter Corporation 10% Owner 4,335,000
US:TFFP / TFF Pharmaceuticals, Inc. 10% Owner 5,280,000
US:ESTE / Earthstone Energy Inc - Class A 10% Owner 2,957,288
US:TPH / Tri Pointe Homes, Inc. 10% Owner 4,235,030
US:EPL / Director 2,515,673
US:SRZ / Sunrise Senior Living Inc 10% Owner 5,749,358
How to Interpret the Charts

The following charts show the stock performance of securities subsequent to each open-market, non-planned trade made by Clint Duane Carlson. Non-planned trade are trades that were not made as part of a 10b5-1 trading plan. The stock performance is charted as cumulative percent change in share price. For example, if an insider trade was made on January 1, 2019, the chart will show the daily percent change of the security to the present day. If the share price were to go from $10 to $15 during this time, the cumulative percent change in share price would be 50%. A change in price from $10 to $20 would be 100%, and a change in price of $10 to $5 would be -50%.

Ultimately, we are trying to determine how closely the insider’s trades correlate to excess returns (positive or negative) in the share price in order to see if the insider is timing their trades to profit from insider information. Consider the situation where an insider was doing this. In this situation, we would expect either (a) positive returns after purchases, or (b) negative returns after sales. In the case of (a), the PURCHASE chart would show a series of upwardly sloping curves, indicating positive returns after each purchase transaction. In the case of (b), the SALE chart would show a series of downward sloping curves, indicating negative returns after each sale transaction.

However, this alone is not enough to draw conclusions. If, for example, the share price of the company was in a non-cyclical climb over many years, then we would expect all the post-purchase plots to be upwardly sloping. Likewise, non-cyclical declines over many years would result in downward sloping post-trade plots. Neither of these charts would suggest insider trading activity.

The strongest indicator would be a situation where the share price was extremely cyclical, and there were both positive signals in the PURCHASE chart and negative plots on the SALE chart. This situation would be highly suggestive of an insider that was timing trades to their financial advantage.

Insider Purchases SWKH / SWK Holdings Corporation - Short Term Profit Analysis

In this section, we analyze the profitability of every unplanned, open-market insider purchase made in SWKH / SWK Holdings Corporation. This analysis helps to understand if the insider consistently generates abnormal returns, and is worth following. This analysis is for one-year following each trade, and the results are theoretical.

The following table shows the most recent open market purchases that were not part of an automatic trading plan.

Trade Date Ticker Insider Reported
Shares		 Reported
Price		 Adjusted
Shares		 Adjusted
Price		 Cost Basis Days to
Max		 Price at
Max		 Max
Profit ($)		 Max Return (%)
2017-05-19 SWKH CARLSON CAPITAL L P 8,147 11.0000 8,147 11.0000 89,617 109 11.4000 3,259 3.64
2017-05-18 SWKH CARLSON CAPITAL L P 1,600 10.9994 1,600 10.9994 17,599
2017-05-17 SWKH CARLSON CAPITAL L P 500 10.8500 500 10.8500 5,425
2017-05-15 SWKH CARLSON CAPITAL L P 19,900 11.1000 19,900 11.1000 220,890
2017-05-15 SWKH CARLSON CAPITAL L P 10,000 11.1050 10,000 11.1050 111,050
2016-08-29 SWKH CARLSON CAPITAL L P 1,500 9.7500 1,500 9.7500 14,625
2016-08-26 SWKH CARLSON CAPITAL L P 1,600 9.7500 1,600 9.7500 15,600
2016-08-25 SWKH CARLSON CAPITAL L P 1,500 9.7500 1,500 9.7500 14,625
2016-08-24 SWKH CARLSON CAPITAL L P 2,000 9.7500 2,000 9.7500 19,500
2015-12-16 SWKH CARLSON CAPITAL L P 29,000 11.0274 29,000 11.0274 319,795
2015-12-15 SWKH CARLSON CAPITAL L P 6,000 11.0000 6,000 11.0000 66,000
2014-12-05 SWKH CARLSON CAPITAL L P 17,440,525 1.3700 17,440,525 1.3700 23,893,519
2014-08-18 SWKH CARLSON CAPITAL L P 52,106,256 1.3700 52,106,256 1.3700 71,385,571
2014-08-18 SWKH CARLSON CAPITAL L P 3,801,744 1.3700 3,801,744 1.3700 5,208,389
2012-02-28 NONE CARLSON CAPITAL L P 500,000 0.8200 500,000 0.8200 410,000

Adjusted Price is the split-adjusted price. Adjusted Shares is the split-adjusted shares.

SWKH / SWK Holdings Corporation Insider Trades
Insider Sales SWKH / SWK Holdings Corporation - Short Term Loss Analysis

In this section, we analyze the short-term loss avoidance of every unplanned, open-market insider sale made in SWKH / SWK Holdings Corporation. A consistent pattern of loss avoidance may suggest that future sale transactions may predict declines in price. This analysis is for one-year following each trade, and the results are theoretical.

The following table shows the most recent open market sales that were not part of an automatic trading plan.

Trade Date Ticker Insider Reported
Shares		 Reported
Price		 Adjusted
Shares		 Adjusted
Price		 Cost Basis Days to
Min		 Price at
Min		 Max Loss
Avoided ($)		 Max Loss
Avoided (%)
There are no known unplanned open-market trades for this insider and security combination

Adjusted Price is the split-adjusted price. Adjusted Shares is the split-adjusted shares.

SWKH / SWK Holdings Corporation Insider Trades
Insider Purchases TPH / Tri Pointe Homes, Inc. - Short Term Profit Analysis

In this section, we analyze the profitability of every unplanned, open-market insider purchase made in SWKH / SWK Holdings Corporation. This analysis helps to understand if the insider consistently generates abnormal returns, and is worth following. This analysis is for one-year following each trade, and the results are theoretical.

The following table shows the most recent open market purchases that were not part of an automatic trading plan.

Trade Date Ticker Insider Reported
Shares		 Reported
Price		 Adjusted
Shares		 Adjusted
Price		 Cost Basis Days to
Max		 Price at
Max		 Max
Profit ($)		 Max Return (%)
There are no known unplanned open-market trades for this insider and security combination

Adjusted Price is the split-adjusted price. Adjusted Shares is the split-adjusted shares.

TPH / Tri Pointe Homes, Inc. Insider Trades
Insider Sales TPH / Tri Pointe Homes, Inc. - Short Term Loss Analysis

In this section, we analyze the short-term loss avoidance of every unplanned, open-market insider sale made in SWKH / SWK Holdings Corporation. A consistent pattern of loss avoidance may suggest that future sale transactions may predict declines in price. This analysis is for one-year following each trade, and the results are theoretical.

The following table shows the most recent open market sales that were not part of an automatic trading plan.

Trade Date Ticker Insider Reported
Shares		 Reported
Price		 Adjusted
Shares		 Adjusted
Price		 Cost Basis Days to
Min		 Price at
Min		 Max Loss
Avoided ($)		 Max Loss
Avoided (%)
There are no known unplanned open-market trades for this insider and security combination

Adjusted Price is the split-adjusted price. Adjusted Shares is the split-adjusted shares.

TPH / Tri Pointe Homes, Inc. Insider Trades
Insider Trading History

This table shows the complete list of insider trades made by Clint Duane Carlson as disclosed to the Securities Exchange Commission (SEC).

File Date Tran Date Form Ticker Security Code 10b5-1 Shares Remaining Shares Percent
Change		 Share
Price		 Tran
Value		 Remaining
Value
2024-11-01 3 SWKH SWK Holdings Corp
Common Stock, par value $0.001 per share the "Common Stock" 		12,354
2024-11-01 3 SWKH SWK Holdings Corp
Common Stock, par value $0.001 per share the "Common Stock" 		399,394
2024-10-25 2024-10-23 4 SWKH SWK Holdings Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		J - Other -600,678 0 -100.00
2024-09-26 2024-09-25 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		S - Sale -320,691 4,335,000 -6.89 1.74 -558,002 7,542,900
2024-09-23 2024-09-19 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		S - Sale -50,000 4,655,691 -1.06 1.82 -91,000 8,473,358
2024-07-01 2024-06-28 4 GLT Glatfelter Corp
Common Stock 		S - Sale -2,262,984 4,705,691 -32.47 1.40 -3,168,178 6,587,967
2024-07-01 2024-06-27 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		S - Sale -207,325 6,968,675 -2.89 1.65 -342,086 11,498,314
2023-10-26 2023-10-26 4 GLT Glatfelter Corp
Common Stock 		P - Purchase 50,000 7,176,000 0.70 1.60 80,000 11,481,600
2023-10-26 2023-10-25 4 GLT Glatfelter Corp
Common Stock 		P - Purchase 25,000 7,126,000 0.35 1.55 38,698 11,030,335
2023-10-26 2023-10-24 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 75,000 7,101,000 1.07 1.54 115,320 10,918,498
2023-10-12 2023-10-10 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 236,000 7,026,000 3.48 1.80 424,800 12,646,800
2023-10-04 2023-10-03 4 GLT Glatfelter Corp
Common Stock 		P - Purchase 75,000 6,790,000 1.12 1.90 142,500 12,901,000
2023-10-04 2023-10-02 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 250,000 6,715,000 3.87 1.95 488,425 13,119,096
2023-09-07 2023-09-06 4 GLT Glatfelter Corp
Common Stock 		P - Purchase 100,000 6,465,000 1.57 2.00 200,040 12,932,586
2023-09-07 2023-09-05 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 200,000 6,365,000 3.24 1.92 384,340 12,231,620
2023-08-17 3 TFFP TFF Pharmaceuticals, Inc.
Common Stock, par value $0.001 per share (the "Common Stock" 		5,280,000
2023-08-17 2023-08-16 4 TFFP TFF Pharmaceuticals, Inc.
Common Stock 		S - Sale -1,000 5,064,000 -0.02 0.39 -392 1,983,062
2023-08-17 2023-08-15 4 TFFP TFF Pharmaceuticals, Inc.
Common Stock, par value $0.001 per share (the "Common Stock" 		S - Sale -215,000 5,065,000 -4.07 0.44 -94,041 2,215,431
2023-08-17 2023-08-16 4 GLT Glatfelter Corp
Common Stock 		P - Purchase 65,000 6,165,000 1.07 2.00 129,954 12,325,684
2023-08-17 2023-08-15 4 GLT Glatfelter Corp
Common Stock 		P - Purchase 5,000 6,100,000 0.08 2.03 10,129 12,357,380
2023-08-17 2023-08-15 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 180,000 6,095,000 3.04 2.00 360,000 12,190,000
2023-03-31 2023-03-29 4 GLT Glatfelter Corp
Common Stock 		P - Purchase 500,000 5,915,000 9.23 3.09 1,546,900 18,299,827
2023-03-31 2023-01-20 4 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		X - Other 50,000 5,415,000 0.93 2.50 125,000 13,537,500
2022-10-21 3 GLT Glatfelter Corp
Common Stock, par value $0.01 per share (the "Common Stock") 		5,365,000
2017-05-22 2017-05-19 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 8,147 9,093,766 0.09 11.00 89,617 100,031,426
2017-05-22 2017-05-18 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 1,600 9,085,619 0.02 11.00 17,599 99,936,358
2017-05-17 2017-05-17 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 500 9,084,019 0.01 10.85 5,425 98,561,606
2017-05-17 2017-05-15 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 10,000 9,083,519 0.11 11.10 111,050 100,872,478
2017-05-17 2017-05-15 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 19,900 9,073,519 0.22 11.10 220,890 100,716,061
2016-08-30 2016-08-29 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 1,500 9,053,619 0.02 9.75 14,625 88,272,785
2016-08-30 2016-08-26 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 1,600 9,052,119 0.02 9.75 15,600 88,258,160
2016-08-26 2016-08-25 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 1,500 9,050,519 0.02 9.75 14,625 88,242,560
2016-08-26 2016-08-24 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 2,000 9,049,019 0.02 9.75 19,500 88,227,935
2015-12-17 2015-12-16 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 29,000 9,047,019 0.32 11.03 319,795 99,765,097
2015-12-17 2015-12-15 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 6,000 9,018,019 0.07 11.00 66,000 99,198,209
2015-01-02 3/A ESTE EARTHSTONE ENERGY INC
Common Stock, par value $0.001 per share ("Common Stock") 		2,957,288
2014-12-29 3 ESTE EARTHSTONE ENERGY INC
Common Stock, par value $0.001 per share ("Common Stock") 		5,914,576
2014-12-29 3 ESTE EARTHSTONE ENERGY INC
Common Stock, par value $0.001 per share ("Common Stock") 		5,914,576
2014-12-29 3 ESTE EARTHSTONE ENERGY INC
Common Stock, par value $0.001 per share ("Common Stock") 		5,914,576
2014-12-29 3 ESTE EARTHSTONE ENERGY INC
Common Stock, par value $0.001 per share ("Common Stock") 		5,914,576
2014-12-29 3 ESTE EARTHSTONE ENERGY INC
Common Stock, par value $0.001 per share ("Common Stock") 		5,914,576
2014-12-05 2014-12-05 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 17,440,525 90,120,229 24.00 1.37 23,893,519 123,464,714
2014-12-01 2014-11-26 4 SWKH SWK Holdings Corp
Subscription Right 		X - Other -13,149,100 0 -100.00
2014-12-01 2014-11-26 4 SWKH SWK Holdings Corp
Over-Subscription Privilege 		X - Other -13,149,100 0 -100.00
2014-12-01 2014-11-26 4 SWKH SWK Holdings Corp
Common Stock 		X - Other 4,622,604 72,679,704 6.79 0.86 3,975,439 62,504,545
2014-08-26 2014-08-18 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 3,801,744 68,057,100 5.92 1.37 5,208,389 93,238,227
2014-08-26 2014-08-18 4 SWKH SWK Holdings Corp
Common Stock 		P - Purchase 52,106,256 68,057,100 326.67 1.37 71,385,571 93,238,227
2014-07-10 2014-07-02 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 25,000 4,235,030 0.59 15.54 388,395 65,794,579
2014-07-10 2014-07-02 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 25,000 4,210,030 0.60 15.46 386,500 65,087,064
2014-07-10 2014-07-02 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 25,000 4,185,030 0.60 15.60 390,000 65,286,468
2014-07-10 2014-07-02 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 53,600 4,160,030 1.31 15.57 834,707 64,783,731
2014-07-10 2014-07-01 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 192,700 4,106,430 4.92 15.54 2,994,250 63,807,352
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 68,647 3,913,730 1.79 15.72 1,079,385 61,538,316
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 50,000 3,845,083 1.32 15.56 778,000 59,829,491
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 100,000 3,795,083 2.71 15.54 1,554,000 58,975,590
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 50,000 3,695,083 1.37 15.48 774,000 57,199,885
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 150,000 3,645,083 4.29 15.53 2,329,500 56,608,139
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 1,000 3,495,083 0.03 15.50 15,500 54,173,786
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 1,000 3,488,683 0.03 15.50 15,496 54,060,632
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 600 3,487,683 0.02 15.48 9,286 53,976,777
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 24,900 3,486,683 0.72 15.48 385,328 53,956,419
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 25,000 3,486,083 0.72 15.46 386,478 53,891,706
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 50,000 3,461,183 1.47 15.47 773,500 53,544,501
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 6,781 3,436,183 0.20 15.46 104,868 53,140,570
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 100,000 3,386,183 3.04 15.39 1,539,310 52,123,854
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 20,000 3,379,402 0.60 15.45 309,000 52,211,761
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 94,872 3,279,402 2.98 15.44 1,464,881 50,635,935
2014-07-10 2014-06-30 4 TPH TRI Pointe Homes, Inc.
Common Stock 		P - Purchase 84,749 3,259,402 2.67 15.43 1,307,982 50,304,307
2014-07-10 3 TPH TRI Pointe Homes, Inc.
Common Stock, par value $0.01 per share (the "Common Stock") 		6,329,060
2014-07-10 3 TPH TRI Pointe Homes, Inc.
Common Stock, par value $0.01 per share (the "Common Stock") 		6,329,060
2014-07-10 3 TPH TRI Pointe Homes, Inc.
Common Stock, par value $0.01 per share (the "Common Stock") 		6,329,060
2014-07-10 3 TPH TRI Pointe Homes, Inc.
Common Stock, par value $0.01 per share (the "Common Stock") 		6,329,060
2014-07-10 3 TPH TRI Pointe Homes, Inc.
Common Stock, par value $0.01 per share (the "Common Stock") 		6,329,060
2014-07-10 3 TPH TRI Pointe Homes, Inc.
Common Stock, par value $0.01 per share (the "Common Stock") 		6,329,060
2014-07-10 3 TPH TRI Pointe Homes, Inc.
Common Stock, par value $0.01 per share (the "Common Stock") 		6,329,060
2014-07-10 3 TPH TRI Pointe Homes, Inc.
Common Stock, par value $0.01 per share (the "Common Stock") 		6,329,060
2013-09-09 2013-09-06 4 NONE SWK Holdings Corp
Common Stock Warrant (right to buy) 		A - Award 1,000,000 1,000,000
2013-05-08 2013-05-08 4 EPL EPL OIL & GAS, INC.
Common Stock 		S - Sale -50,000 2,515,673 -1.95 33.85 -1,692,535 85,157,292
2013-05-08 2013-05-06 4 EPL EPL OIL & GAS, INC.
Common Stock, par value $0.001 per share ("Common Stock") 		S - Sale -245,000 2,565,673 -8.72 34.05 -8,343,058 87,369,632
2013-03-21 2013-03-19 4 EPL EPL OIL & GAS, INC.
Common Stock, par value $0.001 per share ("Common Stock") 		S - Sale -10,000 2,810,673 -0.35 27.67 -276,664 77,761,203
2013-03-15 2013-03-15 4 EPL EPL OIL & GAS, INC.
Common Stock 		S - Sale -100,000 2,820,673 -3.42 28.50 -2,849,950 80,387,770
2013-03-15 2013-03-14 4 EPL EPL OIL & GAS, INC.
Common Stock 		S - Sale -147,061 2,920,673 -4.79 28.10 -4,133,032 82,083,178
2013-03-15 2013-03-13 4 EPL EPL OIL & GAS, INC.
Common Stock, par value $0.001 per share ("Common Stock") 		S - Sale -41,000 3,067,734 -1.32 27.87 -1,142,494 85,484,555
2013-03-12 2013-03-12 4 EPL EPL OIL & GAS, INC.
Common Stock 		S - Sale -84,749 3,108,734 -2.65 27.91 -2,364,972 86,751,088
2013-03-12 2013-03-11 4 EPL EPL OIL & GAS, INC.
Common Stock 		S - Sale -140,000 3,193,483 -4.20 28.23 -3,952,592 90,160,967
2013-03-12 2013-03-08 4 EPL EPL OIL & GAS, INC.
Common Stock 		S - Sale -4,792 3,333,483 -0.14 27.88 -133,622 92,951,840
2013-03-12 2013-03-08 4 EPL EPL OIL & GAS, INC.
Common Stock, par value $0.001 per share ("Common Stock") 		S - Sale -82,398 3,338,275 -2.41 27.75 -2,286,701 92,643,474
2012-12-26 2012-12-24 4 EPL EPL OIL & GAS, INC.
Common Stock 		S - Sale -500 3,420,673 -0.01 23.04 -11,520 78,809,911
2012-12-26 2012-12-21 4 EPL EPL OIL & GAS, INC.
Common Stock, par value $0.001 per share ("Common Stock") 		S - Sale -266,100 3,421,173 -7.22 23.05 -6,132,487 78,843,669
2012-11-29 2012-11-29 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -142,219 5,749,358 -2.41 14.34 -2,039,093 82,432,570
2012-11-29 2012-11-29 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -7,781 5,891,577 -0.13 14.34 -111,561 84,471,074
2012-11-29 2012-11-29 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -50,000 5,899,358 -0.84 14.37 -718,545 84,779,084
2012-11-29 2012-11-29 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -6,200 5,949,358 -0.10 14.35 -88,943 85,347,705
2012-11-29 2012-11-28 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -3,700 5,955,558 -0.06 14.31 -52,963 85,249,048
2012-11-29 2012-11-28 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -22,500 5,959,258 -0.38 14.34 -322,652 85,456,356
2012-11-29 2012-11-28 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -75,300 5,981,758 -1.24 14.32 -1,078,296 85,658,775
2012-11-29 2012-11-28 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -8,500 6,057,058 -0.14 14.31 -121,635 86,676,500
2012-11-29 2012-11-28 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -91,500 6,065,558 -1.49 14.31 -1,309,392 86,799,955
2012-11-29 2012-11-27 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -3,400 6,157,058 -0.06 14.36 -48,826 88,419,663
2012-11-29 2012-11-27 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		S - Sale -112,900 6,160,458 -1.80 14.36 -1,621,413 88,473,418
2012-11-21 2012-11-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -3,500 6,273,358 -0.06 14.30 -50,064 89,733,485
2012-11-21 2012-11-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -115,600 6,276,858 -1.81 14.30 -1,653,542 89,784,177
2012-11-21 2012-11-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -50,750 6,392,458 -0.79 14.30 -725,933 91,438,358
2012-11-21 2012-11-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -83,650 6,443,208 -1.28 14.31 -1,196,789 92,183,621
2012-11-21 2012-11-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -966 6,526,858 -0.01 14.31 -13,819 93,372,578
2012-11-21 2012-11-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -3,134 6,527,824 -0.05 14.31 -44,833 93,382,481
2012-11-21 2012-11-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -3,500 6,530,958 -0.05 14.31 -50,074 93,437,763
2012-11-21 2012-11-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -4,100 6,534,458 -0.06 14.31 -58,671 93,508,747
2012-11-21 2012-11-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -64,600 6,538,558 -0.98 14.31 -924,361 93,560,226
2012-11-21 2012-11-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -2,600 6,603,158 -0.04 14.32 -37,232 94,557,223
2012-11-21 2012-11-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		S - Sale -182,800 6,605,758 -2.69 14.31 -2,616,325 94,544,911
2012-11-16 2012-11-16 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -22,100 6,788,558 -0.32 14.29 -315,886 97,032,254
2012-11-16 2012-11-16 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale 278,900 6,810,658 4.27 14.29 3,985,871 97,333,838
2012-11-16 2012-11-16 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -304,120 7,089,558 -4.11 14.29 -4,345,875 101,309,784
2012-11-16 2012-11-16 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -16,270 7,393,678 -0.22 14.29 -232,464 105,640,132
2012-11-16 2012-11-15 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -371,419 7,409,948 -4.77 14.29 -5,307,912 105,894,826
2012-11-16 2012-11-15 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -143,581 7,781,367 -1.81 14.29 -2,051,887 111,201,960
2012-11-16 2012-11-15 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -33,100 7,924,948 -0.42 14.29 -473,022 113,253,054
2012-11-16 2012-11-15 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -9,900 7,958,048 -0.12 14.29 -141,472 113,721,302
2012-11-16 2012-11-14 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -142,489 7,967,948 -1.76 14.33 -2,041,882 114,181,492
2012-11-16 2012-11-14 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		S - Sale -100,700 8,110,437 -1.23 14.32 -1,442,024 116,141,458
2012-11-16 2012-11-14 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		S - Sale -8,400 8,211,137 -0.10 14.30 -120,128 117,426,649
2012-06-28 2012-06-28 4 EPL ENERGY PARTNERS LTD
Common Stock 		S - Sale -201,835 3,687,273 -5.19 16.23 -3,276,186 59,851,815
2012-06-28 2012-06-27 4 EPL ENERGY PARTNERS LTD
Common Stock 		S - Sale -249,116 3,889,108 -6.02 16.36 -4,074,541 63,610,250
2012-06-28 2012-06-26 4 EPL ENERGY PARTNERS LTD
Common Stock, par value $0.001 per share ("Common Stock") 		S - Sale -100,000 4,138,224 -2.36 16.11 -1,611,400 66,683,342
2012-05-08 2012-05-07 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 13,918 8,219,537 0.17 6.79 94,461 55,785,998
2012-05-08 2012-05-07 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 12,566 8,205,619 0.15 6.78 85,160 55,609,480
2012-05-08 2012-05-04 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 75,000 8,193,053 0.92 6.68 500,625 54,688,629
2012-05-08 2012-05-04 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 25,000 8,118,053 0.31 6.70 167,400 54,358,483
2012-04-11 2012-04-11 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 26,900 8,093,053 0.33 5.95 160,001 48,137,479
2012-04-11 2012-04-11 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 43,758 8,066,153 0.55 5.92 259,266 47,791,957
2012-04-11 2012-04-11 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 25,000 8,022,395 0.31 5.95 148,825 47,757,317
2012-04-11 2012-04-09 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 50,000 7,997,395 0.63 5.88 294,000 47,024,683
2012-04-11 2012-04-09 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 18,078 7,947,395 0.23 5.90 106,733 46,921,420
2012-04-04 2012-04-04 4 [SRZ] SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 960 7,929,317 0.01 6.00 5,760 47,575,902
2012-04-04 2012-04-04 4 [SRZ] SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 21,622 7,928,357 0.27 6.00 129,710 47,562,214
2012-04-04 2012-04-04 4 [SRZ] SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 10,300 7,906,735 0.13 6.00 61,779 47,424,597
2012-04-04 2012-04-02 4 [SRZ] SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 77,600 7,896,435 0.99 6.48 502,538 51,137,313
2012-03-26 2012-03-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 25,000 7,818,835 0.32 7.13 178,225 55,740,475
2012-03-26 2012-03-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 25,000 7,793,835 0.32 7.12 178,100 55,523,281
2012-03-06 2012-03-06 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 32,400 7,768,835 0.42 7.27 235,548 56,479,430
2012-03-06 2012-03-06 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 17,600 7,736,435 0.23 7.32 128,867 56,646,177
2012-03-06 2012-03-02 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 25,000 7,718,835 0.32 7.69 192,175 59,334,685
2012-03-06 2012-03-02 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 25,000 7,693,835 0.33 7.65 191,350 58,888,613
2012-03-06 2012-03-02 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 25,000 7,668,835 0.33 7.65 191,300 58,681,925
2012-03-06 2012-03-02 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 25,000 7,643,835 0.33 7.69 192,200 58,765,803
2012-03-01 2012-02-28 4 NONE SWK Holdings Corp
Common Stock, par value $0.001 per share (the "Common Stock" 		P - Purchase 500,000 12,149,100 4.29 0.82 410,000 9,962,262
2012-01-27 2012-01-25 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 27,420 7,618,835 0.36 6.85 187,909 52,211,876
2012-01-11 2012-01-10 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 1,000 7,591,415 0.01 6.14 6,141 46,618,880
2012-01-11 2012-01-10 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 1,200 7,590,415 0.02 6.05 7,264 45,944,782
2012-01-11 2012-01-10 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 25,000 7,589,215 0.33 6.06 151,400 45,960,286
2012-01-11 2012-01-10 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 20,000 7,564,215 0.27 6.15 122,960 46,504,794
2012-01-11 2012-01-10 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 17,500 7,544,215 0.23 6.15 107,572 46,374,290
2012-01-11 2012-01-10 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 23,800 7,526,715 0.32 6.06 144,109 45,574,259
2012-01-11 2012-01-09 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 1,500 7,502,915 0.02 6.18 9,270 46,368,015
2012-01-11 2012-01-09 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 30,000 7,501,415 0.40 6.17 185,160 46,298,733
2012-01-11 2012-01-09 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 30,000 7,471,415 0.40 6.17 185,130 46,106,102
2011-12-30 2011-12-28 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 35,800 7,353,415 0.49 6.12 218,989 44,980,840
2011-12-30 2011-12-28 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 14,200 7,317,615 0.19 6.02 85,498 44,059,360
2011-12-27 2011-12-27 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 88,000 7,391,415 1.20 6.03 530,552 44,562,841
2011-12-27 2011-12-23 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 820 7,303,415 0.01 5.96 4,891 43,564,870
2011-12-27 2011-12-23 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 410 7,302,595 0.01 6.00 2,459 43,793,662
2011-12-27 2011-12-23 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 15,000 7,302,185 0.21 5.98 89,775 43,703,577
2011-12-27 2011-12-23 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 5,658 7,287,185 0.08 6.08 34,401 44,306,085
2011-12-27 2011-12-23 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 13,193 7,281,527 0.18 5.99 78,973 43,587,221
2011-12-27 2011-12-23 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 7,607 7,268,334 0.10 6.08 46,289 44,227,812
2011-12-27 2011-12-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 15,000 7,260,727 0.21 5.82 87,360 42,286,474
2011-12-27 2011-12-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 18,748 7,245,727 0.26 5.90 110,688 42,778,772
2011-12-27 2011-12-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 16,252 7,226,979 0.23 6.04 98,211 43,672,634
2011-12-27 2011-12-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 19,988 7,210,727 0.28 5.84 116,770 42,125,067
2011-12-27 2011-12-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 13,512 7,190,739 0.19 5.92 79,937 42,540,412
2011-12-27 2011-12-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 14,450 7,177,227 0.20 6.05 87,408 43,415,046
2011-12-27 2011-12-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 1,200 7,162,777 0.02 5.92 7,108 42,425,128
2011-12-27 2011-12-22 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 850 7,161,577 0.01 6.04 5,131 43,234,440
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 1,800 7,160,727 0.03 5.53 9,958 39,613,142
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 4,000 7,158,927 0.06 5.36 21,452 38,393,326
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 12,500 7,154,927 0.18 5.28 66,038 37,799,479
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 9,300 7,142,427 0.13 5.52 51,373 39,454,767
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 187,000 7,133,127 2.69 5.45 1,019,150 38,875,542
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 12,500 6,946,127 0.18 5.26 65,712 36,515,790
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 135,000 6,933,627 1.99 5.42 731,025 37,545,590
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 11,100 6,798,627 0.16 5.52 61,305 37,548,817
2011-12-21 2011-12-21 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 8,500 6,486,527 0.13 5.11 43,426 33,139,666
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 7,800 6,787,527 0.12 5.24 40,903 35,593,792
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 10,000 6,779,727 0.15 5.13 51,300 34,780,000
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 7,400 6,769,727 0.11 5.11 37,844 34,620,384
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 21,900 6,762,327 0.32 5.04 110,354 34,075,366
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 13,900 6,740,427 0.21 5.12 71,168 34,510,986
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 230,000 6,726,527 3.54 5.15 1,184,500 34,641,614
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 10,000 6,496,527 0.15 5.12 51,250 33,294,701
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 18,350 6,478,027 0.28 5,014.00 92,006,900 32,480,827,378
2011-12-21 2011-12-20 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 14,550 6,459,677 0.23 5.15 74,918 33,260,877
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 62,500 6,445,127 0.98 4.85 303,125 31,258,866
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 7,466 6,382,627 0.12 4.80 35,852 30,649,375
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 2,700 6,375,161 0.04 4.84 13,082 30,887,655
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 13,954 6,372,461 0.22 4.83 67,342 30,753,497
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 32,796 6,358,507 0.52 4.86 159,323 30,889,627
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 18,004 6,325,711 0.29 4.82 86,797 30,496,253
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 21,700 6,307,707 0.35 4.88 105,961 30,800,533
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 365,000 6,286,007 6.16 4.82 1,758,935 30,292,268
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 29,380 5,921,007 0.50 4.87 142,992 28,817,541
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock 		P - Purchase 425,000 5,891,627 7.77 4.82 2,049,775 28,415,317
2011-12-21 2011-12-19 4 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		P - Purchase 21,500 5,466,627 0.39 4.89 105,092 26,720,873
2011-12-21 3 SRZ SUNRISE SENIOR LIVING INC
Common Stock, par value $0.01 per share (the "Common Stock") 		7,160,727
P
Open market or private purchase of non-derivative or derivative security
S
Open market or private sale of non-derivative or derivative security
A
Grant, award, or other acquisition of securities from the company (such as an option)
C
Conversion of derivative
D
Sale or transfer of securities back to the company
F
Payment of exercise price or tax liability using portion of securities received from the company
G
Gift of securities by or to the insider
K
Equity swaps and similar hedging transactions
M
Exercise or conversion of derivative security received from the company (such as an option)
V
A transaction voluntarily reported on Form 4
J
Other (accompanied by a footnote describing the transaction)