CIOCIA JAMES

Director at GILMAN CIOCIA, INC. · on record since Jan 11, 2006
Chairman at GILMAN CIOCIA, INC. · on record since Jan 11, 2006
Director at NATIONAL HOLDINGS CORP · on record since Oct 17, 2013

Insider trading activity of CIOCIA JAMES

Transactions on record: 20; since May 5, 2005

Open-market buys: 3; $239.9K

Open-market sells: 0

Companies traded: 2; last filing Sep 13, 2016

Figures computed from official regulatory filings — .

Companies where CIOCIA JAMES has traded

NATIONAL HOLDINGS CORP2 tx · $60.7K · Sep 13, 2016
GILMAN CIOCIA, INC.18 tx · $286.3K · Oct 17, 2013

Track record of CIOCIA JAMES

Insufficient history for a statistical track record (fewer than 5 open-market buys).

Transaction history of CIOCIA JAMES

Co-insiders of CIOCIA JAMES

Wasserman Frederick GeraldGILMAN CIOCIA, INC. +1
Abbe RichardNATIONAL HOLDINGS CORP
ASHER DANIELNATIONAL HOLDINGS CORP
BEDFORD OAK ADVISORS LLCNATIONAL HOLDINGS CORP
BEDFORD OAK CAPITAL LPNATIONAL HOLDINGS CORP
BRC Partners Opportunity Fund, LPNATIONAL HOLDINGS CORP
BRESNER MICHAEL ANATIONAL HOLDINGS CORP
B. RILEY CAPITAL MANAGEMENT, LLCNATIONAL HOLDINGS CORP
B. Riley & Co., Inc.NATIONAL HOLDINGS CORP
B. Riley & Co., LLC 401(K) Profit Sharing PlanNATIONAL HOLDINGS CORP
B. Riley Financial, Inc.NATIONAL HOLDINGS CORP
COHEN EDWARD HGILMAN CIOCIA, INC.
Conroy DennisGILMAN CIOCIA, INC.
COR Capital LLCNATIONAL HOLDINGS CORP
COR Equity Income Fund LPNATIONAL HOLDINGS CORP
CORONADO BIOSCIENCES INCNATIONAL HOLDINGS CORP
COR Securities Holdings Inc.NATIONAL HOLDINGS CORP
Coviello PaulNATIONAL HOLDINGS CORP
Creagh BarbaraNATIONAL HOLDINGS CORP
DASKAL ROBERT HNATIONAL HOLDINGS CORP
DellaCamera Capital Management, LLCNATIONAL HOLDINGS CORP
DeSena John C.NATIONAL HOLDINGS CORP
Dewey Christopher CNATIONAL HOLDINGS CORP

This page republishes public regulatory disclosures.

Company	Filed	Type	Qty	Price	Value · USD	Signals	Src
NATIONAL HOLDINGS CORPListing unverified	Sep 13, 2016	Other	-18,685	3.25 USD	$60.7K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 17, 2013	Other	-3,288,117	—	n/a (No price was disclosed in the filing)		SEC
NATIONAL HOLDINGS CORPListing unverified	Oct 17, 2013	Award	772,770	—	n/a (No price was disclosed in the filing)		SEC
GILMAN CIOCIA, INC.Listing unverified	Nov 5, 2012	Award	100,000	0.05 USD	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Nov 5, 2012	AwardD (derivative)	102,041	0.05 USD	$5.1K		SEC
GILMAN CIOCIA, INC.Listing unverified	Nov 1, 2011	Award	100,000	0.05 USD	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Nov 1, 2011	AwardD (derivative)	104,384	0.05 USD	$5.2K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 26, 2010	AwardD (derivative)	120,192	0.05 USD	$6K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 26, 2010	Award	100,000	0.05 USD	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 19, 2009	AwardD (derivative)	83,333	0.06	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 19, 2009	Award	83,333	0.06	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 8, 2008	AwardD (derivative)	50,000	0.00	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 8, 2008	Award	50,000	0.10	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Aug 22, 2007	Other	11,468	—	n/a (No price was disclosed in the filing)		SEC
GILMAN CIOCIA, INC.Listing unverified	Aug 22, 2007	Buy	2,250,000	0.10	$225K	conv 93ClusterFirst in 12mo	SEC
GILMAN CIOCIA, INC.Listing unverified	Feb 7, 2007	Other	18,000	—	n/a (No price was disclosed in the filing)		SEC
GILMAN CIOCIA, INC.Listing unverified	Jan 11, 2006	Other	10,500	—	n/a (No price was disclosed in the filing)		SEC
GILMAN CIOCIA, INC.Listing unverified	Sep 30, 2005	Other	0	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
GILMAN CIOCIA, INC.Listing unverified	Jun 14, 2005	Buy	1,500	—	n/a (No price was disclosed in the filing)	conv 45Cluster	SEC
GILMAN CIOCIA, INC.Listing unverified	May 5, 2005	Buy	78,530	0.19 USD	$14.9K	conv 58ClusterFirst in 12mo	SEC

Company	Filed	Type	Qty	Price	Value · USD	Signals	Src
NATIONAL HOLDINGS CORPListing unverified	Sep 13, 2016	Other	-18,685	3.25 USD	$60.7K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 17, 2013	Other	-3,288,117	—	n/a (No price was disclosed in the filing)		SEC
NATIONAL HOLDINGS CORPListing unverified	Oct 17, 2013	Award	772,770	—	n/a (No price was disclosed in the filing)		SEC
GILMAN CIOCIA, INC.Listing unverified	Nov 5, 2012	Award	100,000	0.05 USD	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Nov 5, 2012	AwardD (derivative)	102,041	0.05 USD	$5.1K		SEC
GILMAN CIOCIA, INC.Listing unverified	Nov 1, 2011	Award	100,000	0.05 USD	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Nov 1, 2011	AwardD (derivative)	104,384	0.05 USD	$5.2K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 26, 2010	AwardD (derivative)	120,192	0.05 USD	$6K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 26, 2010	Award	100,000	0.05 USD	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 19, 2009	AwardD (derivative)	83,333	0.06	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 19, 2009	Award	83,333	0.06	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 8, 2008	AwardD (derivative)	50,000	0.00	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
GILMAN CIOCIA, INC.Listing unverified	Oct 8, 2008	Award	50,000	0.10	$5K		SEC
GILMAN CIOCIA, INC.Listing unverified	Aug 22, 2007	Other	11,468	—	n/a (No price was disclosed in the filing)		SEC
GILMAN CIOCIA, INC.Listing unverified	Aug 22, 2007	Buy	2,250,000	0.10	$225K	conv 93ClusterFirst in 12mo	SEC
GILMAN CIOCIA, INC.Listing unverified	Feb 7, 2007	Other	18,000	—	n/a (No price was disclosed in the filing)		SEC
GILMAN CIOCIA, INC.Listing unverified	Jan 11, 2006	Other	10,500	—	n/a (No price was disclosed in the filing)		SEC
GILMAN CIOCIA, INC.Listing unverified	Sep 30, 2005	Other	0	0.00 USD	n/a (Non-cash transaction: the filing states a price of zero (award, gift, exercise))		SEC
GILMAN CIOCIA, INC.Listing unverified	Jun 14, 2005	Buy	1,500	—	n/a (No price was disclosed in the filing)	conv 45Cluster	SEC
GILMAN CIOCIA, INC.Listing unverified	May 5, 2005	Buy	78,530	0.19 USD	$14.9K	conv 58ClusterFirst in 12mo	SEC