| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 07/31/2020 | GAIN Capital Holdings, Inc. | GCAP | Disposition | Common Stock | 237.2k | $6.00 | $1.4M | | 07/31/2020 |
| 07/17/2020 | GAIN Capital Holdings, Inc. | GCAP | Exercise | Stock Option (Right to Buy) | 40k | $3.83 | $153.2k | | 07/17/2020 |
| 03/14/2019 | GAIN Capital Holdings, Inc. | GCAP | Grant | | 30.6k | $0.00 | $0 | | 03/14/2019 |
| 11/21/2018 | GAIN Capital Holdings, Inc. | GCAP | Purchase | Common Stock | 10k | $7.32 | $73.2k | | 11/21/2018 |
| 05/24/2018 | GAIN Capital Holdings, Inc. | GCAP | Grant | | 25k | $0.00 | $0 | | 05/24/2018 |
| 10/03/2017 | GAIN Capital Holdings, Inc. | GCAP | Grant | | 5.2k | $0.00 | $0 | | 10/03/2017 |
| 06/09/2017 | GAIN Capital Holdings, Inc. | GCAP | Exercise | Stock Option (Right to Buy) | 12k | $3.83 | $46.1k | | 06/09/2017 |
| 03/15/2017 | GAIN Capital Holdings, Inc. | GCAP | Grant | | 12.1k | $0.00 | $0 | | 03/15/2017 |
| 12/16/2016 | GAIN Capital Holdings, Inc. | GCAP | Purchase | Common Stock | 10k | $6.91 | $69.1k | | 12/16/2016 |
| 11/09/2016 | GAIN Capital Holdings, Inc. | GCAP | Purchase | Common Stock | 10k | $5.41 | $54.1k | | 11/09/2016 |
| 05/05/2016 | GAIN Capital Holdings, Inc. | GCAP | Grant | | 12.6k | $0.00 | $0 | | 05/05/2016 |
| 05/26/2015 | GAIN Capital Holdings, Inc. | GCAP | Grant | | 8.9k | $0.00 | $0 | | 03/05/2014 |
| 02/06/2015 | HUDSON VALLEY HOLDING CORP | HVB | Grant | Common Stock | 1000 | $0.00 | $0 | | 02/06/2015 |
| 01/06/2015 | GAIN Capital Holdings, Inc. | GCAP | Exercise | Restricted Stock Unit | 3.7k | $0.00 | $0 | | 01/06/2015 |
| 01/06/2015 | GAIN Capital Holdings, Inc. | GCAP | Exercise | Restricted Stock Unit | 7.2k | $0.00 | $0 | | 01/06/2015 |
| 03/05/2014 | GAIN Capital Holdings, Inc. | GCAP | Grant | | 7.5k | $0.00 | $0 | | 03/05/2014 |
| 02/06/2014 | HUDSON VALLEY HOLDING CORP | HVB | Grant | Common Stock | 1000 | $0.00 | $0 | | 02/06/2014 |
| 12/12/2013 | GAIN Capital Holdings, Inc. | GCAP | Purchase | Common Stock | 5k | $7.89 | $39.5k | | 12/12/2013 |
| 12/11/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 400 | $19.01 | $7.6k | | 12/11/2013 |
| 12/11/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 319 | $19.00 | $6.1k | | 12/11/2013 |
| 12/11/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 143 | $18.95 | $2.7k | | 12/11/2013 |
| 12/11/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 55 | $18.97 | $1k | | 12/11/2013 |
| 12/11/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 45 | $18.98 | $854.1 | | 12/11/2013 |
| 12/11/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 38 | $18.94 | $719.7 | | 12/11/2013 |
| 08/28/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 201 | $18.07 | $3.6k | | 08/28/2013 |
| 08/28/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 100 | $18.19 | $1.8k | | 08/28/2013 |
| 08/28/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 699 | $18.20 | $12.7k | | 08/28/2013 |
| 05/01/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 2.7k | $15.00 | $41.2k | | 05/01/2013 |
| 05/01/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 100 | $14.95 | $1.5k | | 05/01/2013 |
| 05/01/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 54 | $14.93 | $806.2 | | 05/01/2013 |
| 05/01/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 53 | $14.99 | $794.5 | | 05/01/2013 |
| 05/01/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 53 | $14.96 | $792.9 | | 05/01/2013 |
| 05/01/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 47 | $14.97 | $703.6 | | 05/01/2013 |
| 05/01/2013 | HUDSON VALLEY HOLDING CORP | HVB | Purchase | Common Stock | 46 | $14.92 | $686.3 | | 05/01/2013 |
| 03/22/2013 | GAIN Capital Holdings, Inc. | GCAP | Grant | | 17k | $0.00 | $0 | | 03/22/2013 |
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