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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 16-Jun-17 5:26 PM View:  | Northern Power Systems Corp. (NPS) | 14-Jun-17 | Grant | 185,039 | $0.16 | $29,125.10 | 6% 3.12M to 3.31M | |
| 30-May-17 6:21 PM View: | Northern Power Systems Corp. (NPS) | 25-May-17 | Grant | 30,000 | -- | -- | < 1% 3.09M to 3.12M | |
| 08-Dec-16 5:54 PM View: | Northern Power Systems Corp. (NPS) | 08-Dec-16 | Purchase | 168,462 | $0.25 | $42,115.50 | 6% 2.92M to 3.09M | |
| 08-Dec-16 5:54 PM View: | Northern Power Systems Corp. (NPS) | 06-Dec-16 | Purchase | 401,279 | $0.25 | $100,320.00 | 16% 2.52M to 2.92M | |
| 02-Dec-16 4:14 PM View: | Northern Power Systems Corp. (NPS) | 30-Nov-16 | Grant | 36,000 | -- | -- | 1% 2.49M to 2.52M | |
| 28-Nov-16 4:12 PM View: | Northern Power Systems Corp. (NPS) | 28-Nov-16 | Grant | 30,000 | -- | -- | 1% 2.46M to 2.49M | |
| 25-Aug-15 6:22 PM View: | Northern Power Systems Corp. (NPS) | 25-Aug-15 | Grant | 96,691 | $0.37 | $35,944.00 | 9% 1.12M to 1.22M | |
| 25-Aug-15 6:22 PM View: | Northern Power Systems Corp. (NPS) | 21-Aug-15 | Purchase | 972,000 | $0.44 | $429,721.00 | 70% 1.39M to 2.36M | |
| 10-Jun-15 4:19 PM View: | Northern Power Systems Corp. (NPS) | 09-Jun-15 | Purchase | 247,300 | $0.71 | $176,671.00 | 22% 1.14M to 1.39M | |
| 02-Dec-14 7:12 PM View: | Northern Power Systems Corp. (NPS) | 30-Nov-14 | Acquisition (other) | 621,692 | -- | -- | 55% 1.14M to 1.76M | |
| 02-Dec-14 7:12 PM View: | Northern Power Systems Corp. (NPS) | 30-Nov-14 | Disposition (other) | 621,692 | -- | -- | (35%) 1.76M to 1.14M | |
| 22-Mar-13 5:33 PM View: | Cardica Inc. (DXTR) | 20-Mar-13 | Grant | 283,000 | $1.05 | $297,150.00 | 35% 801.04K to 1.08M | |
| 14-Feb-12 8:34 PM View: | Cardica Inc. (DXTR) | 13-Feb-12 | Private Purchase | 150,000 | $1.65 | $247,500.00 | 23% 651.04K to 801.04K | |
| 02-Oct-09 7:26 PM View: | Cardica Inc. (DXTR) | 30-Sep-09 | Private Purchase | 399,202 | $1.25 | $500,001.00 | 159% 251.84K to 651.04K | |
| 01-Dec-08 12:06 PM View: | Cardica Inc. (DXTR) | 26-Nov-08 | Market Purchase | 25,000 | $3.75 | $93,750.00 | 11% 226.84K to 251.84K | (100%) |
| 20-Nov-08 3:22 PM View: | Cardica Inc. (DXTR) | 18-Nov-08 | Market Purchase | 12,500 | $4.12 | $51,547.70 | 6% 214.34K to 226.84K | (100%) |
| 20-Nov-08 3:22 PM View: | Cardica Inc. (DXTR) | 17-Nov-08 | Market Purchase | 11,000 | $4.19 | $46,051.30 | 5% 203.34K to 214.34K | (100%) |
| 20-Nov-08 3:22 PM View: | Cardica Inc. (DXTR) | 14-Nov-08 | Market Purchase | 500 | $4.25 | $2,125.00 | < 1% 202.84K to 203.34K | (100%) |
| 20-Nov-08 3:22 PM View: | Cardica Inc. (DXTR) | 13-Nov-08 | Market Purchase | 26,000 | $4.17 | $108,400.00 | 15% 176.84K to 202.84K | (100%) |
| 29-Jul-08 5:03 PM View: | Neurogen Corp. (NRGN) | 25-Jul-08 | Conversion | 249,990 | -- | -- | 427% 58.5K to 308.49K | |
| 11-Jun-07 3:30 PM View: | Cardica Inc. (DXTR) | 11-Jun-07 | Market Purchase | 96,898 | $5.16 | $499,994.00 | 121% 79.94K to 176.84K | (100%) |
| 10-Feb-06 3:57 PM View: | Cardica Inc. (DXTR) | 08-Feb-06 | Conversion | 79,942 | -- | -- | 100% 0 to 79.94K | |
| 23-Dec-04 4:42 PM View: | Neurogen Corp. (NRGN) | 22-Dec-04 | Option Exercise | 5,000 | $6.50 | $32,500.00 | (8%) 63.5K to 58.5K | |
| 23-Dec-03 10:00 PM View: | Neurogen Corp. (NRGN) | 19-Dec-03 | Option Exercise | 20,000 | $6.50 | $130,000.00 | 60% 33.5K to 53.5K |