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Insider Filings - CARLSON CAPITAL L P
Last Updated 
20-Mar-17
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CARLSON CAPITAL L P: Declared Holdings
Company/RelationshipReportedShares  Ownership
Archrock, Inc.
Beneficial Owner (10% or more)
NYSE:AROC
(historical quotes, profile, other insiders)
7-Dec-166,688,905  Indirect
Renewable Energy Group, Inc.
Beneficial Owner (10% or more)
NasdaqGS:REGI
(historical quotes, profile, other insiders)
9-Aug-163,900,000  Indirect
SWK HLDGS CORP
Director
Other OTC:SWKH
(historical quotes, profile, other insiders)
29-Aug-169,053,619  Indirect
Ultratech, Inc.
Beneficial Owner (10% or more)
NasdaqGS:UTEK
(historical quotes, profile, SEC, other insiders)
26-Jul-162,643,986  Indirect

Insider & restricted shareholder transactions reported over the last two years
DateSharesStockTransaction
7-Dec-16 *142,900AROC Sale at $13.66 per share.
(Proceeds of $1,952,014)
6-Dec-16 *162,000AROC Sale at $13.92 per share.
(Proceeds of $2,255,040)
5-Dec-16 *249,300AROC Sale at $13.58 - $13.61 per share.
(Proceeds of about $3,389,000)
2-Dec-16 *171,728AROC Sale at $13.05 - $13.23 per share.
(Proceeds of about $2,257,000)
1-Dec-16 *210,020AROC Sale at $13 - $13.54 per share.
(Proceeds of about $2,787,000)
30-Nov-16 *168,164AROC Sale at $13.72 - $13.85 per share.
(Proceeds of about $2,318,000)
25-Nov-16 *75,000AROC Sale at $13.79 per share.
(Proceeds of $1,034,249)
23-Nov-16 *118,131AROC Sale at $13.50 per share.
(Proceeds of $1,594,768)
22-Nov-16 *260,302AROC Sale at $13.55 - $13.57 per share.
(Proceeds of about $3,530,000)
21-Nov-16 *224,209AROC Sale at $13.60 - $13.61 per share.
(Proceeds of about $3,050,000)
18-Nov-16 *116,076AROC Sale at $13.24 - $13.39 per share.
(Proceeds of about $1,546,000)
16-Nov-16 *176,030AROC Sale at $12.91 - $13.07 per share.
(Proceeds of about $2,287,000)
15-Nov-16 *217,288AROC Sale at $12.97 - $13.01 per share.
(Proceeds of about $2,823,000)
14-Nov-16 *234,292AROC Sale at $12.69 per share.
(Proceeds of $2,973,165)
12-Oct-16 *43,904AROC Sale at $12.86 per share.
(Proceeds of $564,605)
29-Aug-16 *1,500SWKH Purchase at $9.75 - $9.75 per share.
(Cost of about $15,000)
26-Aug-16 *1,600SWKH Purchase at $9.75 - $9.75 per share.
(Cost of about $16,000)
25-Aug-16 *1,500SWKH Purchase at $9.75 - $9.75 per share.
(Cost of about $15,000)
24-Aug-16 *2,000SWKH Purchase at $9.75 - $9.75 per share.
(Cost of about $20,000)
9-Aug-16 *3,900,000REGI Statement of Ownership
26-Jul-16 *730,688UTEK Sale at $24.43 - $24.43 per share.
(Proceeds of about $17,851,000)
25-Jul-16 *79,312UTEK Sale at $25.33 - $25.33 per share.
(Proceeds of about $2,009,000)
26-Feb-16 *450,000AROC Purchase at $3.94 - $3.99 per share.
(Cost of about $1,784,000)
25-Feb-16 *213,433AROC Purchase at $3.58 - $3.64 per share.
(Cost of about $770,000)
28-Jan-16 *285,104AROC Purchase at $5.66 - $5.76 per share.
(Cost of about $1,628,000)
27-Jan-16 *156,964AROC Purchase at $5.30 - $5.3 per share.
(Cost of about $832,000)
26-Jan-16 *393,132AROC Purchase at $4.87 - $5 per share.
(Cost of about $1,940,000)
25-Jan-16 *82,859AROC Purchase at $5.15 - $5.15 per share.
(Cost of about $427,000)
22-Jan-16 *489,644AROC Purchase at $5.48 - $5.66 per share.
(Cost of about $2,727,000)
21-Jan-16 *78,397AROC Purchase at $5.41 - $5.41 per share.
(Cost of about $424,000)
20-Jan-16 *7,108,716AROC Statement of Ownership
16-Dec-15 *29,000SWKH Purchase at $11.03 - $11.03 per share.
(Cost of about $320,000)
15-Dec-15 *6,000SWKH Purchase at $11 - $11 per share.
(Cost of about $66,000)
2-Nov-15 *46,800UTEK Purchase at $15.69 - $15.69 per share.
(Cost of about $734,000)
30-Oct-15 *41,135UTEK Purchase at $15.62 - $15.62 per share.
(Cost of about $643,000)
29-Oct-15 *27,450UTEK Purchase at $15.60 - $15.6 per share.
(Cost of about $428,000)
28-Oct-15 *59,087UTEK Purchase at $15.39 - $15.74 per share.
(Cost of about $920,000)
27-Oct-15 *2,699UTEK Purchase at $14.94 - $14.96 per share.
(Cost of about $40,000)
26-Oct-15 *30,329UTEK Purchase at $14.98 - $15 per share.
(Cost of about $455,000)
13-Oct-15 *5,235UTEK Sale at $15.62 - $15.62 per share.
(Proceeds of about $82,000)
2-Oct-15 *38,196UTEK Sale at $15.40 - $15.4 per share.
(Proceeds of about $588,000)
1-Oct-15 *11,804UTEK Sale at $15.60 - $15.72 per share.
(Proceeds of about $185,000)
24-Sep-15 *80,761UTEK Sale at $15.66 - $15.68 per share.
(Proceeds of about $1,266,000)
3-Aug-15 *89,712UTEK Purchase at $15.76 - $15.87 per share.
(Cost of about $1,419,000)
31-Jul-15 *77,728UTEK Purchase at $15.97 - $16 per share.
(Cost of about $1,242,000)
27-Apr-15 *204,356UTEK Purchase at $19.52 - $19.52 per share.
(Cost of about $3,989,000)
17-Apr-15 *98,123UTEK Purchase at $17.64 - $17.73 per share.
(Cost of about $1,735,000)
15-Apr-15 *7,700UTEK Purchase at $17.67 - $17.75 per share.
(Cost of about $136,000)
9-Apr-15 *6,708UTEK Purchase at $17.59 - $17.59 per share.
(Cost of about $118,000)
8-Apr-15 *70,801UTEK Purchase at $17.45 - $17.72 per share.
(Cost of about $1,245,000)
7-Apr-15 *49,868UTEK Purchase at $17.19 - $17.3 per share.
(Cost of about $860,000)
    * Indicates that some (or all) shares are held indirectly (e.g. in a trust, by a spouse, etc.)



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