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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 18-Nov-15 9:12 PM View:  | Xtera Communications, Inc. (XCOM) | 17-Nov-15 | Conversion | 1,010,980 | -- | -- | 100% 1.01M to 2.02M | |
| 18-Nov-15 9:12 PM View: | Xtera Communications, Inc. (XCOM) | 17-Nov-15 | Market Purchase Duplicate | 200,000 | $5.00 | $1,000,000.00 | 10% 2.02M to 2.22M | (95%) |
| 03-Sep-15 2:10 PM View: | Capstone Turbine Corp. (N/A) | 01-Sep-15 | Grant | 22,435 | $0.39 | $8,749.65 | 3% 756.35K to 778.79K | (90%) |
| 31-Aug-15 3:04 PM View: | Capstone Turbine Corp. (N/A) | 28-Aug-15 | Grant | 27,777 | $0.41 | $11,388.60 | 4% 728.58K to 756.35K | (91%) |
| 13-Aug-15 7:50 PM View: | Alder Biopharmaceuticals Inc (ALDR) | 15-Aug-15 | Acquisition (other) | 2,517 | -- | -- | < 1% 3.76M to 3.76M | |
| 13-Aug-15 7:50 PM View: | Alder Biopharmaceuticals Inc (ALDR) | 12-Aug-15 | Acquisition (other) Duplicate | 42 | -- | -- | < 1% 5.63M to 5.63M | |
| 13-Aug-15 7:50 PM View: | Alder Biopharmaceuticals Inc (ALDR) | 12-Aug-15 | Acquisition (other) | 20,357 | -- | -- | < 1% 5.63M to 5.65M | |
| 13-Aug-15 7:50 PM View: | Alder Biopharmaceuticals Inc (ALDR) | 12-Aug-15 | Disposition (other) Duplicate | 1,795,750 | -- | -- | (32%) 5.65M to 3.86M | |
| 13-Aug-15 7:50 PM View: | Alder Biopharmaceuticals Inc (ALDR) | 12-Aug-15 | Market Sale Duplicate | 97,109 | $40.03 | $3,887,410.00 | (3%) 3.86M to 3.76M | 67% |
| 12-Aug-15 3:23 PM View: | Capstone Turbine Corp. (N/A) | 11-Aug-15 | Market Purchase | 200,000 | $0.41 | $82,780.00 | 38% 528.58K to 728.58K | (90%) |
| 13-Aug-15 7:50 PM View: | Alder Biopharmaceuticals Inc (ALDR) | 11-Aug-15 | Market Sale Duplicate | 115,358 | $40.40 | $4,660,760.00 | (2%) 5.77M to 5.65M | 67% |
| 08-Jun-15 6:08 PM View: | Alder Biopharmaceuticals Inc (ALDR) | 04-Jun-15 | Acquisition (other) | 25,276 | -- | -- | 1% 2.0M to 2.03M | |
| 03-Jun-15 4:42 PM View: | Capstone Turbine Corp. (N/A) | 01-Jun-15 | Grant | 20,347 | $0.43 | $8,749.21 | 4% 508.23K to 528.58K | (90%) |
| 04-Mar-15 4:40 PM View: | Capstone Turbine Corp. (N/A) | 02-Mar-15 | Grant | 11,824 | $0.74 | $8,749.76 | 2% 496.41K to 508.23K | (94%) |
| 03-Dec-14 3:30 PM View: | Capstone Turbine Corp. (N/A) | 01-Dec-14 | Grant | 10,802 | $0.81 | $8,749.62 | 2% 485.6K to 496.41K | (95%) |
| 04-Sep-14 3:31 PM View: | Capstone Turbine Corp. (N/A) | 02-Sep-14 | Grant | 7,113 | $1.23 | $8,748.99 | 1% 478.49K to 485.6K | (97%) |
| 02-Sep-14 6:46 PM View: | Capstone Turbine Corp. (N/A) | 29-Aug-14 | Option Exercise | 30,701 | -- | -- | 7% 447.79K to 478.49K | |
| 03-Sep-14 1:30 PM View: | Capstone Turbine Corp. (N/A) | 29-Aug-14 | Option Exercise Duplicate | 30,701 | -- | -- | 7% 447.79K to 478.49K | |
| 04-Jun-14 4:01 PM View: | Capstone Turbine Corp. (N/A) | 02-Jun-14 | Grant | 5,644 | $1.55 | $8,748.20 | 1% 442.15K to 447.79K | (97%) |
| 15-May-14 12:08 PM View: | Alder Biopharmaceuticals Inc (ALDR) | 13-May-14 | Conversion | 5,193,440 | -- | -- | 100% 0 to 5.19M | |
| 05-Mar-14 5:41 PM View: | Capstone Turbine Corp. (N/A) | 03-Mar-14 | Grant | 5,400 | $1.62 | $8,748.00 | 1% 436.75K to 442.15K | (97%) |
| 04-Dec-13 3:02 PM View: | Capstone Turbine Corp. (N/A) | 02-Dec-13 | Grant | 7,542 | $1.16 | $8,748.72 | 2% 429.2K to 436.75K | (96%) |
| 05-Sep-13 6:36 PM View: | Capstone Turbine Corp. (N/A) | 03-Sep-13 | Grant | 7,954 | $1.10 | $8,749.40 | 2% 421.25K to 429.2K | (96%) |
| 03-Sep-13 8:15 PM View: | Capstone Turbine Corp. (N/A) | 30-Aug-13 | Option Exercise | 34,653 | $1.11 | $38,464.80 | 9% 386.6K to 421.25K | (96%) |
| 05-Jun-13 12:35 PM View: | Capstone Turbine Corp. (N/A) | 03-Jun-13 | Grant | 6,835 | $1.28 | $8,748.80 | 2% 379.76K to 386.6K | (97%) |
| 05-Mar-13 10:26 AM View: | Capstone Turbine Corp. (N/A) | 01-Mar-13 | Grant | 9,019 | $0.97 | $8,748.43 | 2% 370.74K to 379.76K | (95%) |
| 05-Dec-12 5:53 PM View: | Capstone Turbine Corp. (N/A) | 03-Dec-12 | Grant | 9,209 | $0.95 | $8,748.55 | 3% 361.53K to 370.74K | (95%) |
| 06-Sep-12 12:17 PM View: | Capstone Turbine Corp. (N/A) | 04-Sep-12 | Grant | 7,835 | $1.01 | $7,913.35 | 2% 353.7K to 361.53K | (96%) |
| 05-Jun-12 11:31 AM View: | Capstone Turbine Corp. (N/A) | 01-Jun-12 | Grant | 7,875 | $1.00 | $7,875.00 | 2% 345.82K to 353.7K | (96%) |
| 24-Apr-12 6:17 PM View: | Splunk Inc (SPLK) | 24-Apr-12 | Conversion | 16,431,600 | -- | -- | 100% 0 to 16.43M | |
| 05-Mar-12 11:15 AM View: | Capstone Turbine Corp. (N/A) | 01-Mar-12 | Grant | 6,906 | $1.14 | $7,872.84 | 2% 338.92K to 345.82K | (96%) |
| 01-Feb-12 8:27 PM View: | Tangoe Inc (TNGO) | 30-Jan-12 | Acquisition (other) Duplicate | 253,481 | -- | -- | 9% 2.72M to 2.98M | |
| 31-Jan-12 7:56 PM View: | Tangoe Inc (TNGO) | 29-Jan-12 | Acquisition (other) Duplicate | 16 | -- | -- | < 1% 3.5M to 3.5M | |
| 31-Jan-12 7:56 PM View: | Tangoe Inc (TNGO) | 29-Jan-12 | Acquisition (other) | 19,081 | -- | -- | < 1% 3.5M to 3.52M | |
| 31-Jan-12 7:56 PM View: | Tangoe Inc (TNGO) | 29-Jan-12 | Disposition (other) Duplicate | 874,807 | -- | -- | (25%) 3.52M to 2.64M | |
| 05-Dec-11 6:46 PM View: | Capstone Turbine Corp. (N/A) | 01-Dec-11 | Grant | 7,875 | $1.00 | $7,875.00 | 2% 331.04K to 338.92K | (96%) |
| 06-Sep-11 2:14 PM View: | Capstone Turbine Corp. (N/A) | 01-Sep-11 | Grant | 6,968 | $1.13 | $7,873.84 | 2% 324.07K to 331.04K | (96%) |
| 02-Aug-11 6:12 PM View: | Tangoe Inc (TNGO) | 02-Aug-11 | Sale | 242,770 | $9.30 | $2,257,760.00 | (2%) 11.49M to 11.25M | |
| 02-Aug-11 6:12 PM View: | Tangoe Inc (TNGO) | 01-Aug-11 | Conversion | 3,835,330 | -- | -- | 49% 7.84M to 11.67M | |
| 02-Aug-11 6:12 PM View: | Tangoe Inc (TNGO) | 01-Aug-11 | Sale | 179,470 | $9.30 | $1,669,070.00 | (2%) 11.67M to 11.49M | |
| 03-Jun-11 1:11 PM View: | Capstone Turbine Corp. (N/A) | 01-Jun-11 | Grant | 4,715 | $1.67 | $7,874.05 | 1% 319.36K to 324.07K | (97%) |
| 03-Mar-11 11:00 AM View: | Capstone Turbine Corp. (N/A) | 01-Mar-11 | Grant | 5,468 | $1.44 | $7,873.92 | 2% 313.89K to 319.36K | (97%) |
| 03-Dec-10 5:37 PM View: | Capstone Turbine Corp. (N/A) | 01-Dec-10 | Grant | 10,095 | $0.78 | $7,874.10 | 3% 303.8K to 313.89K | (95%) |
| 03-Sep-10 2:38 PM View: | Capstone Turbine Corp. (N/A) | 01-Sep-10 | Grant | 13,267 | $0.65 | $8,623.55 | 5% 290.53K to 303.8K | (93%) |
| 25-Aug-10 4:35 PM View: | Capstone Turbine Corp. (N/A) | 24-Aug-10 | Market Purchase | 100,000 | $0.70 | $69,950.00 | 52% 190.53K to 290.53K | (94%) |
| 20-Aug-10 6:21 PM View: | Capstone Turbine Corp. (N/A) | 18-Aug-10 | Market Sale | 44,929 | $0.75 | $33,584.40 | (19%) 235.46K to 190.53K | 94% |
| 02-Jun-10 5:09 PM View: | Capstone Turbine Corp. (N/A) | 01-Jun-10 | Grant | 7,499 | $1.15 | $8,623.85 | 3% 227.96K to 235.46K | (96%) |
| 03-Mar-10 6:15 PM View: | Capstone Turbine Corp. (N/A) | 01-Mar-10 | Grant | 7,126 | $1.21 | $8,622.46 | 3% 220.83K to 227.96K | (96%) |
| 03-Dec-09 3:17 PM View: | Capstone Turbine Corp. (N/A) | 01-Dec-09 | Grant | 6,533 | $1.32 | $8,623.56 | 3% 214.3K to 220.83K | (97%) |
| 04-Mar-09 5:06 PM View: | Capstone Turbine Corp. (N/A) | 02-Mar-09 | Grant | 10,297 | $0.48 | $4,942.56 | 5% 204.0K to 214.3K | (91%) |