| 12/26/19 17:11 | 12/26/19 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | D |  | S | -491 | 2.34 | 0 | -210 | -20 | 850 | D |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 7/24/19 16:52 | 7/22/19 | MIRM | Mirum Pharmaceuticals, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 6,750 | 15.00 | 0 | 450 | 12 | 4,186 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 6/25/19 16:48 | 6/24/19 | GNCA | Genocea Biosciences, Inc. | DE | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P | 10,000 | 3.50 | 0 | 2,857 | 65 | 7,226 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 5/13/19 17:11 | 5/9/19 | TRVI | Trevi Therapeutics, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 25,000 | 10.00 | 0 | 2,500 | 129 | 4,439 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 5/9/19 18:02 | 5/7/19 | RGLS | Regulus Therapeutics Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 1,228 | 1.08 | 0 | 1,137 | 124 | 2,052 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 4/8/19 17:19 | 4/8/19 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 4,957 | 1.14 | 0 | 4,348 | 21 | 25,244 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 2/19/19 17:00 | 2/14/19 | GNCA | Genocea Biosciences, Inc. |  | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P.d | 4,689 | 0.4713 | 0 | 9,948 | 40 | 34,948 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 12/21/18 21:16 | 12/20/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 774 | 1.55 | 0 | 500 | 2 | 20,896 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 12/12/18 16:41 | 12/11/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 121 | 1.98 | 0 | 61 | 0 | 20,396 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 12/10/18 17:19 | 12/6/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 338 | 1.99 | 0 | 170 | 1 | 20,335 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/30/18 17:10 | 11/28/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 191 | 1.98 | 0 | 96 | 0 | 20,164 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/21/18 16:44 | 11/20/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 336 | 1.98 | 0 | 170 | 1 | 20,068 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/19/18 19:40 | 11/15/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 2,238 | 1.86 | 0 | 1,200 | 6 | 19,898 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 9/10/18 16:46 | 9/7/18 | ADAP | Adaptimmune Therapeutics Plc | X0 | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P | 25,001 | 1.67 | 0 | 15,000 | 19 | 94,979 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 8/22/18 16:42 | 8/21/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 1,500 | 2.26 | 0 | 664 | 4 | 18,698 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 8/1/18 19:21 | 7/30/18 | LQDA | Liquidia Technologies Inc | DE | Health | MdEq | Surgical & Medical Instrument | Barris Peter J | MD | T |  | P.d | 6,000 | 11.00 | 0 | 545 | 28 | 2,485 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 7/20/18 16:41 | 7/18/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 492 | 1.96 | 0 | 251 | 1 | 18,034 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 6/28/18 19:10 | 6/27/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 404 | 2.10 | 0 | 192 | 1 | 17,784 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 5/30/18 17:09 | 5/30/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 1 | 2.15 | 0 | 0 | 0 | 17,591 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 5/21/18 17:24 | 5/17/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 503 | 2.13 | 0 | 236 | 1 | 17,591 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 5/11/18 17:01 | 5/10/18 | GLYC | Glycomimetics Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S.d | -170 | 17.81 | 0 | -10 | 0 | 9,089 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 5/10/18 17:00 | 5/8/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 151 | 2.13 | 0 | 71 | 0 | 17,355 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 4/23/18 16:45 | 4/23/18 | SURF | Surface Oncology, Inc. | DE | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P.d | 2,000 | 15.00 | 0 | 133 | 4 | 3,313 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 4/10/18 17:29 | 4/6/18 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 2,115 | 2.30 | 0 | 921 | 6 | 17,284 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/28/18 17:11 | 3/26/18 | ADAP | Adaptimmune Therapeutics Plc | X0 | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P.m | 12,588 | 1.92 | 0 | 6,571 | 9 | 79,979 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/27/18 16:51 | 3/27/18 | TCON | Tracon Pharmaceuticals, Inc. | DE | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P.d | 1,912 | 2.70 | 0 | 708 | 26 | 3,466 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/23/18 18:30 | 3/21/18 | ADAP | Adaptimmune Therapeutics Plc | X0 | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P.m | 2,418 | 1.91 | 0 | 1,269 | 2 | 73,408 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/6/18 21:10 | 3/2/18 | TSRO | Tesaro, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 8,354 | 57.40 | 0 | 146 | 1 | 10,422 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 2/27/18 16:35 | 2/26/18 | ABIO | Arca Biopharma, Inc. | DE | Health | Diagn | In Vitro & In Vivo Diagnostic | Barris Peter J | MD | T |  | S | -731 | 0.5008 | 0 | -1,460 | -100 | 0 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 12/8/17 16:56 | 12/6/17 | SENS | Senseonics Holdings, Inc. | DE | Electr | LabEq | Industrial Instruments For Me | Barris Peter J | MD | T |  | S.dm | -367 | 2.63 | 0 | -140 | 0 | 30,937 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/27/17 18:16 | 11/27/17 | APPN | Appian Corp |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S.d | -11,102 | 19.49 | 0 | -570 | -100 | 0 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/21/17 16:47 | 11/20/17 | APPN | Appian Corp |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S.d | -54,972 | 19.49 | 0 | -2,821 | -100 | 0 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 10/10/17 16:33 | 10/10/17 | RYTM | Rhythm Pharmaceuticals, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 9,350 | 17.00 | 0 | 550 | 13 | 4,910 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 8/10/17 17:13 | 8/9/17 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | D |  | S.dm | -2,226 | 3.96 | 0 | -563 | -37 | 968 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 7/6/17 17:16 | 7/3/17 | MRSN | Mersana Therapeutics, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 15,000 | 15.00 | 0 | 1,000 | 14 | 8,140 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 6/13/17 16:22 | 6/12/17 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | D |  | S.d | -854 | 3.04 | 0 | -281 | -3 | 10,740 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 6/5/17 16:53 | 6/1/17 | SENS | Senseonics Holdings, Inc. | DE | Electr | LabEq | Industrial Instruments For Me | Barris Peter J | MD | T |  | P | 10,000 | 1.41 | 0 | 7,092 | 27 | 33,423 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/29/17 16:09 | 3/28/17 | AVEO | Aveo Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 3,000 | 0.5000 | 0 | 6,000 | 58 | 16,363 | I | -58 | -37 | -36 | -5 | -22 | -40 | -35 | -20 | -4 | 0 | -4 |  |  |  | 
| 3/28/17 16:22 | 3/27/17 | ADAP | Adaptimmune Therapeutics Plc | X0 | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P | 9,009 | 0.7000 | 2 | 12,870 | 22 | 72,139 | I |  | -41 | -36 | 15 | 11 | 9 | -4 | 6 | 7 | 27 | 21 |  |  |  | 
| 3/2/17 17:13 | 3/1/17 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | D |  | S.dm | -787 | 4.20 | 33 | -187 | -1 | 15,652 | I | -48 | -8 | -21 | 7 | 21 | 20 | -9 | -5 | -3 | -1 | -4 |  |  |  | 
| 3/1/17 16:16 | 2/28/17 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | D |  | S.d | -400 | 4.26 | 33 | -94 | -1 | 15,839 | I | -48 | -12 | -21 | 3 | 19 | 21 | -9 | -4 | -3 | -5 | -8 |  |  |  | 
| 12/19/16 16:43 | 12/19/16 | AKAO | Achaogen Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 6,750 | 13.50 | 33 | 500 | 11 | 5,215 | I | 8 | 127 | 197 | 225 | 230 | 159 | 162 | -11 | -1 | -2 | 42 | 51 |  |  | 
| 11/29/16 18:02 | 11/29/16 | TCON | Tracon Pharmaceuticals, Inc. | DE | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P | 5,000 | 5.75 | 0 | 870 | 46 | 2,758 | I |  | -48 | -12 | -6 | 1 | 9 | -14 | -15 | 0 | 0 | -18 | -30 |  |  | 
| 10/31/16 16:49 | 10/31/16 | RARX | Ra Pharmaceuticals, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S.d | -6 | 13.00 | 21 | 0 | 0 | 3,490 | I |  |  |  |  |  |  |  |  | 1 | -1 | 1 | 24 | 78 |  | 
| 10/31/16 16:49 | 10/31/16 | RARX | Ra Pharmaceuticals, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 4,400 | 13.00 | 21 | 338 | 11 | 3,490 | I |  |  |  |  |  |  |  |  | 1 | -1 | 1 | 24 | 78 |  | 
| 8/15/16 16:33 | 8/12/16 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | D |  | S.d | -4,154 | 5.69 | 33 | -730 | -3 | 20,564 | I | -1 | 32 | 98 | 69 | 74 | 49 | 8 | -2 | -2 | -4 | -12 | -30 | -39 |  | 
| 8/2/16 16:33 | 7/29/16 | ILIU | Interleukin Genetics Inc | DE | Health | Diagn | In Vitro & In Vivo Diagnostic | Barris Peter J | MD | T |  | P.d | 2,000 | 0.0994 | 0 | 20,121 | 57 | 55,419 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 7/20/16 16:38 | 7/18/16 | ARDX | Ardelyx, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 20,000 | 8.73 | 1 | 2,291 | 19 | 14,084 | I | -40 | -44 | -10 | 21 | 8 | 18 | 5 | 11 | 6 | 8 | 4 | 28 | 43 |  | 
| 6/10/16 17:08 | 6/9/16 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | D |  | S.dm | -2,064 | 3.22 | 21 | -640 | -2 | 33,320 | M | -46 | -44 | 9 | -19 | -26 | -4 | -8 | -9 | -2 | 3 | 8 | 65 | 24 |  | 
| 3/23/16 17:15 | 3/23/16 | SENS | Senseonics Holdings, Inc. | DE | Electr | LabEq | Industrial Instruments For Me | Barris Peter J | MD | T |  | P | 7,500 | 2.85 | 0 | 2,632 | 11 | 26,331 | I |  |  |  |  |  | -14 | -18 | -18 | -6 | -1 | 19 | 35 | 39 | -37 | 
| 3/18/16 17:37 | 3/18/16 | TSRO | Tesaro, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 50,000 | 35.19 | 26 | 1,421 | 16 | 10,277 | I | 18 | -27 | -21 | -15 | 21 | 5 | 1 | 0 | -1 | 6 | -1 | -8 | 121 | 238 | 
| 1/14/16 16:27 | 1/13/16 | ARDX | Ardelyx, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 15,000 | 10.00 | 5 | 1,500 | 15 | 11,793 | I |  | -59 | -42 | -51 | -51 | -47 | -43 | -8 | 0 | 3 | -3 | -23 | -18 | 34 | 
| 1/12/16 17:32 | 1/12/16 | EPZM | Epizyme, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 10,000 | 9.00 | 13 | 1,111 | 22 | 6,262 | I | -73 | -42 | -58 | -25 | -37 | -39 | -39 | -12 | -4 | -7 | -10 | 20 | 3 | 17 | 
| 11/18/15 18:39 | 11/17/15 | XCOM | Xtera Communications, Inc. | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.d | 4,000 | 5.00 | 2 | 800 | 28 | 3,632 | I |  |  |  |  |  |  |  | 4 | 3 | 2 | -16 | -40 | -61 |  | 
| 11/18/15 14:20 | 11/16/15 | GLYC | Glycomimetics Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S.d | -3 | 6.91 | 0 | 0 | 0 | 8,584 | I |  | -6 | -21 | -4 | 4 | 1 | 0 | 1 | -4 | -2 | -8 | -25 | 2 | -7 | 
| 10/6/15 15:10 | 10/6/15 | MIRN | Mirna Therapeutics, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 6,000 | 7.00 | 3 | 857 | 41 | 2,972 | I |  |  |  |  |  |  |  | 0 | 0 | -8 | -18 | -13 | -41 | -74 | 
| 6/19/15 16:28 | 6/17/15 | SUPN | Supernus Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -1,834 | 16.39 | 29 | -112 | -1 | 7,716 | I | 156 | 59 | 96 | 49 | 31 | 20 | 7 | -7 | 1 | 2 | 17 | 27 | -17 | 7 | 
| 6/17/15 08:34 | 6/16/15 | SUPN | Supernus Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -929 | 16.85 | 25 | -55 | -1 | 7,828 | I | 168 | 62 | 94 | 53 | 35 | 25 | 10 | 4 | -5 | -1 | 18 | 20 | -24 | 10 | 
| 6/9/15 16:47 | 6/5/15 | ARDX | Ardelyx, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 50,000 | 10.70 | 3 | 4,673 | 83 | 10,293 | I |  |  | -55 | -3 | 25 | 59 | 34 | -2 | 3 | 16 | 9 | 29 | 30 | -38 | 
| 6/4/15 16:11 | 6/2/15 | TSRO | Tesaro, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -123 | 57.72 | 20 | -2 | 0 | 8,856 | I | 29 | 130 | 78 | 15 | -4 | 11 | 7 | 2 | 2 | 1 | -3 | -10 | -9 | -16 | 
| 2/5/15 15:54 | 2/4/15 | TCON | Tracon Pharmaceuticals, Inc. | DE | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P.d | 5,000 | 10.00 | 3 | 500 | 36 | 1,888 | I |  |  |  |  |  |  |  | 0 | -1 | 1 | 87 | 10 | 38 | -21 | 
| 12/29/14 17:13 | 12/26/14 | ARDX | Ardelyx, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -42 | 21.28 | 2 | -2 | 0 | 5,620 | I |  |  | 34 | 52 | -1 | -35 | -8 | -10 | -6 | 8 | 34 | -33 | -25 | -7 | 
| 12/29/14 17:09 | 12/23/14 | ILIU | Interleukin Genetics Inc | DE | Health | Diagn | In Vitro & In Vivo Diagnostic | Barris Peter J | MD | T |  | P.d | 1,993 | 0.1003 | 0 | 19,869 | 129 | 35,298 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 10/8/14 16:33 | 10/8/14 | DERM | Dermira, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 1,106 | 16.00 | 33 | 69 | 2 | 3,503 | I |  |  |  |  |  |  |  |  | -1 | -6 | 8 | 37 | 4 | 70 | 
| 8/29/14 17:39 | 8/27/14 | SNSS | Sunesis Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S.m | -2,127 | 7.97 | 1 | -267 | -5 | 4,659 | I | 129 | 58 | 17 | 52 | 37 | 16 | 2 | 7 | 0 | -5 | 0 | -67 | -68 | -81 | 
| 8/26/14 16:22 | 8/25/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S | -429 | 60.40 | 33 | -7 | -15 | 40 | I |  | -11 | -40 | -5 | -2 | -4 | 0 | -2 | 1 | 11 | 19 | 34 | 60 | 56 | 
| 8/25/14 13:48 | 8/22/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S | -3,178 | 60.76 | 33 | -52 | -53 | 47 | I |  | -5 | -38 | 1 | -4 | -4 | 0 | -1 | -2 | 7 | 16 | 32 | 58 | 55 | 
| 8/22/14 17:36 | 8/21/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S.d | -1,781 | 59.38 | 33 | -30 | -23 | 99 | I |  | -6 | -40 | 2 | -2 | -4 | 2 | -2 | -2 | -1 | 19 | 32 | 60 | 65 | 
| 8/18/14 17:51 | 8/15/14 | CVT | Cvent Inc | DE | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S | -69 | 26.19 | 5 | -3 | 0 | 4,995 | I |  | -14 | -32 | 11 | -7 | -2 | 0 | 2 | 0 | -4 | 0 | 8 | 10 | 26 | 
| 8/18/14 17:47 | 8/15/14 | EPZM | Epizyme, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -125 | 36.51 | 12 | -3 | 0 | 5,150 | I |  | 18 | 20 | 61 | 13 | 13 | 14 | 5 | -2 | -3 | -22 | -33 | -30 | -44 | 
| 8/12/14 17:44 | 8/8/14 | SNSS | Sunesis Pharmaceuticals Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S.m | -4,709 | 6.63 | 1 | -711 | -13 | 4,926 | I | 129 | 38 | 45 | 45 | 6 | 18 | 5 | -1 | 4 | 12 | 9 | -74 | -65 | -79 | 
| 8/6/14 16:25 | 8/6/14 | LOXO | Loxo Oncology, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 3,000 | 13.00 | 12 | 231 | 15 | 1,789 | I |  |  |  |  |  |  |  |  | 0 | 1 | 14 | -16 | -8 | 58 | 
| 7/22/14 17:11 | 7/22/14 | ROKA | Roka Bioscience, Inc. | DE | Electr | LabEq | Laboratory Analytical Instrum | Barris Peter J | MD | T |  | P.d | 4,600 | 12.00 | 8 | 383 | 14 | 3,217 | I |  |  |  |  |  |  |  |  | 0 | -8 | 1 | -25 | -66 | -73 | 
| 6/9/14 17:37 | 6/6/14 | HPTX | Hyperion Therapeutics Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -31 | 26.90 | 0 | -1 | 0 | 2,385 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/13/14 20:43 | 3/7/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S.a | -10,922 | 90.85 | 33 | -120 | -100 | 0 | I |  |  | 21 | 38 | 20 | -7 | -5 | 0 | 1 | 0 | -26 | -28 | -18 | 6 | 
| 3/13/14 16:26 | 3/5/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S | -3,315 | 94.72 | 33 | -35 | -100 | 0 | I |  |  | 21 | 38 | 20 | -7 | -5 | 0 | 1 | 0 | -26 | -28 | -18 | 6 | 
| 3/11/14 16:34 | 3/7/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S | -13,071 | 90.87 | 33 | -144 | -80 | 35 | I |  |  | 29 | 36 | 24 | -6 | -6 | -4 | 0 | -1 | -25 | -32 | -23 | 1 | 
| 3/7/14 16:15 | 3/6/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S | -4,754 | 95.08 | 33 | -50 | -22 | 179 | I |  |  | 27 | 44 | 20 | -3 | -6 | -1 | 0 | -2 | -21 | -33 | -25 | 2 | 
| 3/5/14 16:17 | 3/3/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S.dm | -3,914 | 95.92 | 33 | -41 | -15 | 229 | I |  |  | 34 | 48 | 29 | 3 | -3 | 0 | 0 | -3 | -17 | -39 | -27 | -2 | 
| 2/28/14 16:57 | 2/27/14 | DATA | Tableau Software Inc |  | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S.d | -11,287 | 95.04 | 33 | -119 | -46 | 140 | I |  |  | 46 | 55 | 36 | 9 | 0 | -2 | 1 | 0 | -19 | -34 | -33 | 0 | 
| 1/23/14 14:11 | 1/21/14 | CVT | Cvent Inc | DE | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S | -6,031 | 35.50 | 10 | -170 | -3 | 5,994 | I |  |  |  | 10 | 8 | -1 | 1 | -2 | 1 | 2 | 7 | -13 | -28 | -24 | 
| 1/21/14 10:18 | 1/16/14 | CVT | Cvent Inc | DE | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S | -40,207 | 35.50 | 9 | -1,133 | -16 | 6,164 | I |  |  |  | 4 | 14 | 0 | 1 | 1 | 0 | -1 | 11 | -8 | -31 | -25 | 
| 1/15/14 17:16 | 1/15/14 | GLYC | Glycomimetics Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 8,000 | 8.00 | 13 | 1,000 | 13 | 8,575 | I |  |  |  |  |  |  |  |  | 18 | 6 | 9 | 46 | -15 | -29 | 
| 12/12/13 15:55 | 12/11/13 | WIFI | Boingo Wireless Inc | DE | Telco | Telco | Communications Services | Barris Peter J | MD | T |  | S | -9 | 6.22 | 2 | -1 | 0 | 4,469 | I | -25 | -10 | -4 | -10 | -9 | 0 | -2 | -4 | 0 | 1 | 0 | 4 | 3 | 27 | 
| 12/5/13 15:15 | 12/5/13 | TRGT | Targacept Inc |  | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -5 | 5.13 | 0 | -1 | 0 | 4,564 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/22/13 17:10 | 11/21/13 | TRGT | Targacept Inc |  | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -28 | 5.16 | 0 | -5 | 0 | 4,565 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/19/13 11:55 | 11/18/13 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | D |  | S.d | -434 | 10.51 | 33 | -41 | 0 | 54,229 | I | -57 | 249 | 46 | 10 | -1 | 10 | 10 | 1 | -6 | -13 | 8 | -1 | -44 | -29 | 
| 11/18/13 07:56 | 11/14/13 | EPZM | Epizyme, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.m | 7,998 | 19.68 | 9 | 407 | 7 | 6,440 | I |  |  |  | -29 | -52 | -53 | -43 | -41 | 3 | 10 | 10 | 59 | 17 | 19 | 
| 11/6/13 09:27 | 11/5/13 | ADNC | Audience Inc | DE | Tech | Semicn | Semiconductors & Related Devi | Barris Peter J | MD | T |  | S | -25 | 9.83 | 0 | -3 | 0 | 1,441 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 8/23/13 10:51 | 8/22/13 | WIFI | Boingo Wireless Inc | DE | Telco | Telco | Communications Services | Barris Peter J | MD | T |  | S | -10 | 7.16 | 1 | -1 | 0 | 5,469 | I | -9 | 7 | 7 | 2 | 16 | 3 | -6 | -7 | 2 | -2 | -7 | -14 | -20 | -13 | 
| 8/16/13 16:14 | 8/15/13 | GRPN | Groupon, Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | DT |  | S.d | -270 | 9.77 | 33 | -28 | 0 | 74,217 | I |  | 30 | 64 | 41 | 7 | 5 | 12 | -8 | -1 | 4 | 17 | 7 | 9 | -37 | 
| 6/7/13 14:58 | 6/5/13 | EPZM | Epizyme, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 6,000 | 15.00 | 20 | 400 | 7 | 6,033 | I |  |  |  |  |  |  |  | -8 | 1 | -11 | 35 | 16 | -8 | -9 | 
| 6/5/13 18:09 | 6/5/13 | TSRO | Tesaro, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S | -140 | 39.00 | 16 | -4 | 0 | 9,855 | I |  |  | 140 | 85 | 80 | 43 | 27 | 34 | -2 | 0 | -15 | -8 | -1 | -29 | 
| 5/23/13 18:27 | 5/22/13 | DATA | Tableau Software Inc | DE | Tech | Softw | Prepackaged Software | Barris Peter J | MD | T |  | S.d | -57,660 | 28.83 | 33 | -2,000 | -100 | 0 | I |  |  |  |  |  |  |  | -1 | -1 | -4 | 4 | 20 | 15 | 11 | 
| 4/17/13 21:36 | 4/16/13 | OMTH | Omthera Pharmaceuticals, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S.d | -2 | 8.00 | 0 | 0 | 0 | 5,833 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 4/17/13 21:36 | 4/16/13 | OMTH | Omthera Pharmaceuticals, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 5,000 | 8.00 | 0 | 625 | 12 | 5,833 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/8/13 13:21 | 3/7/13 | ADNC | Audience Inc |  | Tech | Semicn | Semiconductors & Related Devi | Barris Peter J | MD | T |  | S | -36 | 12.96 | 0 | -3 | 0 | 2,879 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 10/30/12 14:04 | 10/29/12 | MM | Millennial Media Inc. | DE | BizSv | Ads | Advertising Agencies | Barris Peter J | MD | T |  | S | -21,478 | 13.44 | 0 | -1,598 | -16 | 8,197 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 9/6/12 14:58 | 9/5/12 | FIO | Fusion-Io, Inc. | DE | Tech | CStrg | Computer Storage Devices | Barris Peter J | MD | T |  | S | -2,076 | 27.69 | 0 | -75 | -1 | 9,049 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 8/2/12 14:20 | 7/31/12 | HPTX | Hyperion Therapeutics Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 5,000 | 10.00 | 0 | 500 | 21 | 2,884 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 7/3/12 12:28 | 7/3/12 | TSRO | Tesaro, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 15,000 | 13.50 | 6 | 1,111 | 11 | 11,499 | I |  |  |  |  |  |  |  |  | -3 | -1 | -4 | 9 | 28 | 132 | 
| 5/31/12 11:11 | 5/30/12 | INWK | Innerworkings Inc |  | Media | Print | Service Industries For The Pr | Barris Peter J | MD | D |  | S | -35 | 11.65 | 3 | -3 | 0 | 4,567 | I | 82 | 39 | 39 | 3 | 6 | 7 | 5 | 2 | 0 | -1 | 11 | 3 | 10 | -7 | 
| 5/1/12 16:24 | 4/30/12 | FIO | Fusion-Io, Inc. | DE | Tech | CStrg | Computer Storage Devices | Barris Peter J | MD | T |  | S | -427 | 26.53 | 0 | -16 | 0 | 13,611 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/9/12 15:54 | 3/7/12 | FOLD | Amicus Therapeutics Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 6,498 | 5.70 | 1 | 1,140 | 25 | 5,650 | I | 68 | -5 | 40 | 63 | -14 | -15 | -7 | -2 | 3 | 4 | -13 | -20 | -9 | -44 | 
| 3/6/12 13:51 | 3/5/12 | ECHO | Echo Global Logistics, Inc. | DE | Trans | TrSv | Arrangement of Transportation | Barris Peter J | MD | D |  | S | -41 | 17.98 | 2 | -2 | 0 | 1,421 | I | 41 | 45 | 34 | 17 | 4 | 2 | -4 | -3 | 1 | -1 | -9 | -6 | -2 | 8 | 
| 3/1/12 16:26 | 2/29/12 | INWK | Innerworkings Inc |  | Media | Print | Service Industries For The Pr | Barris Peter J | MD | DT |  | S | -5,199 | 11.42 | 4 | -455 | -7 | 6,066 | I | 103 | 44 | 46 | 34 | 15 | -3 | 0 | 0 | -2 | 0 | 8 | 6 | 10 | 35 | 
| 2/28/12 11:57 | 2/24/12 | INWK | Innerworkings Inc |  | Media | Print | Service Industries For The Pr | Barris Peter J | MD | DT |  | S | -3,813 | 11.40 | 3 | -334 | -5 | 6,521 | I | 100 | 34 | 57 | 35 | 13 | -2 | -3 | -2 | 0 | -3 | 3 | -1 | 15 | 30 | 
| 2/24/12 12:11 | 2/22/12 | INWK | Innerworkings Inc |  | Media | Print | Service Industries For The Pr | Barris Peter J | MD | DT |  | S.m | -3,628 | 11.69 | 3 | -310 | -4 | 6,855 | I | 126 | 43 | 59 | 36 | 20 | 5 | -3 | 2 | -3 | -6 | -1 | 1 | 10 | 28 | 
| 2/14/12 15:21 | 2/14/12 | FIO | Fusion-Io, Inc. | DE | Tech | CStrg | Computer Storage Devices | Barris Peter J | MD | T |  | S | -102 | 22.84 | 33 | -4 | 0 | 20,606 | I |  |  | -19 | -29 | -5 | -24 | -1 | -2 | 5 | 20 |  |  |  |  | 
| 2/6/12 17:52 | 2/3/12 | FIO | Fusion-Io, Inc. | DE | Tech | CStrg | Computer Storage Devices | Barris Peter J | MD | T |  | S.m | -631 | 22.98 | 33 | -27 | 0 | 22,604 | I |  |  | -6 | -30 | -9 | -20 | -13 | -4 | -7 | -4 | 24 |  |  |  | 
| 11/30/11 15:06 | 11/28/11 | FIO | Fusion-Io, Inc. | DE | Tech | CStrg | Computer Storage Devices | Barris Peter J | MD | T |  | S | -41,061 | 31.68 | 33 | -1,296 | -5 | 24,626 | I |  |  |  | 34 | 26 | -10 | -16 | 16 | -1 | -14 | -28 | -12 |  |  | 
| 11/22/11 13:19 | 11/21/11 | CLVS | Clovis Oncology, Inc. | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 17,112 | 13.00 | 8 | 1,316 | 63 | 3,420 | I |  |  |  |  |  |  |  | 0 | 0 | 2 | 10 | 87 | 50 | -4 | 
| 10/30/09 17:48 | 10/28/09 | INHX | Inhibitex, Inc. |  | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P.d | 3,000 | 1.28 | 0 | 2,344 | 36 | 8,840 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 6/12/09 14:31 | 6/10/09 | TNDM | Neutral Tandem Inc |  | Telco | Telco | Telephone Communications (No | Barris Peter J | MD | D |  | S | -7 | 30.86 | 0 | 0 | -100 | 0 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 6/8/09 16:44 | 6/5/09 | TNDM | Neutral Tandem Inc |  | Telco | Telco | Telephone Communications (No | Barris Peter J | MD | D |  | S | -272 | 30.67 | 0 | -9 | -97 | 0 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/3/09 13:40 | 2/27/09 | TNDM | Neutral Tandem Inc |  | Telco | Telco | Telephone Communications (No | Barris Peter J | MD | D |  | S.m | -279 | 19.71 | 0 | -14 | -1 | 1,848 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 4/24/08 17:53 | 4/23/08 | TNDM | Neutral Tandem Inc |  | Telco | Telco | Telephone Communications (No | Barris Peter J | MD | DT |  | S | -1,929 | 17.01 | 0 | -113 | -2 | 5,446 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 4/4/08 12:29 | 4/2/08 | TNDM | Neutral Tandem Inc |  | Telco | Telco | Telephone Communications (No | Barris Peter J | MD | DT |  | S | -23,314 | 17.01 | 0 | -1,371 | -20 | 5,560 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 3/10/08 17:20 | 3/6/08 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 292 | 1.11 | 0 | 264 | 1 | 23,906 | I | -58 | -19 | -11 | -15 | 17 | 13 | 1 | 7 | 2 | -1 | -5 | -11 | -70 | -86 | 
| 3/5/08 18:45 | 3/4/08 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 193 | 1.08 | 0 | 180 | 1 | 23,642 | I | -61 | -11 | -16 | -18 | 7 | -6 | -6 | -8 | 0 | 0 | -8 | -13 | -74 | -92 | 
| 3/3/08 18:41 | 2/28/08 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 371 | 1.12 | 0 | 332 | 1 | 23,462 | I | -56 | -8 | -10 | -16 | 6 | -2 | 0 | -5 | -6 | 0 | -7 | -12 | -74 | -91 | 
| 2/27/08 17:35 | 2/25/08 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 254 | 1.13 | 0 | 224 | 1 | 23,131 | I | -54 | -3 | -5 | -10 | 14 | 6 | -3 | 9 | 3 | -5 | -4 | -12 | -65 | -83 | 
| 2/22/08 18:13 | 2/20/08 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 248 | 1.08 | 0 | 229 | 1 | 34,172 | I | -59 | -13 | -13 | -15 | 0 | 1 | 4 | 8 | 2 | 2 | -5 | -11 | -69 | -91 | 
| 2/19/08 21:21 | 2/14/08 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 338 | 1.13 | 0 | 299 | 1 | 22,678 | I | -60 | -18 | -18 | -23 | -16 | 1 | -9 | -11 | 3 | 7 | 1 | -13 | -69 | -93 | 
| 2/15/08 17:50 | 11/26/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.a | 136 | 1.25 | 0 | 109 | 1 | 18,579 | I | -49 | -1 | 0 | -6 | -2 | 24 | 8 | 16 | 9 | 11 | 6 | -1 | -51 | -70 | 
| 2/13/08 19:16 | 2/11/08 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 368 | 1.09 | 0 | 339 | 2 | 22,325 | I | -50 | -7 | -2 | -12 | -7 | 11 | 1 | -3 | 1 | -7 | -6 | -16 | -74 | -94 | 
| 2/8/08 17:17 | 2/6/08 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 356 | 1.11 | 0 | 322 | 1 | 21,986 | I | -49 | -10 | -3 | -14 | -7 | 10 | 6 | 5 | -8 | 6 | -3 | -10 | -68 | -87 | 
| 12/5/07 18:51 | 12/3/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 22 | 1.25 | 0 | 17 | 0 | 21,664 | I | -42 | -3 | -16 | 2 | -13 | 2 | 2 | 0 | 6 | 8 | -10 | -16 | -27 | -95 | 
| 11/29/07 18:08 | 11/27/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P | 13 | 1.24 | 0 | 11 | 0 | 21,647 | I | -45 | -4 | -11 | 7 | -15 | 2 | 2 | 2 | -2 | 1 | -7 | -16 | -24 | -93 | 
| 11/26/07 19:12 | 11/21/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 154 | 1.25 | 0 | 123 | 1 | 21,636 | I | -47 | -12 | -5 | 5 | -9 | -6 | 1 | 2 | 2 | 1 | -5 | -8 | -23 | -94 | 
| 11/20/07 18:45 | 11/19/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 242 | 1.25 | 0 | 194 | 1 | 21,513 | I | -46 | -18 | -6 | 2 | -13 | -12 | 1 | -2 | -2 | -2 | -8 | -19 | -25 | -96 | 
| 11/16/07 18:25 | 11/14/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 373 | 1.25 | 0 | 298 | 1 | 21,319 | I | -48 | -14 | -4 | 2 | -6 | -15 | -5 | -1 | -2 | 0 | -5 | -17 | -25 | -94 | 
| 11/13/07 18:30 | 11/9/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 59 | 1.25 | 0 | 47 | 0 | 21,021 | I | -48 | -7 | -3 | 8 | 2 | -15 | -10 | 0 | 1 | -1 | 9 | -7 | -21 | -90 | 
| 9/14/07 17:19 | 9/12/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 41 | 1.20 | 0 | 34 | 0 | 20,973 | I | -56 | -25 | -10 | -17 | 3 | 2 | -5 | -1 | -2 | 3 | 13 | 11 | -14 | -79 | 
| 9/11/07 17:19 | 9/7/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 87 | 1.20 | 0 | 72 | 0 | 20,939 | I | -58 | -17 | -7 | -14 | 5 | 1 | 1 | -3 | 1 | 0 | 18 | 16 | -9 | -79 | 
| 8/29/07 17:23 | 8/29/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P | 259 | 1.19 | 0 | 218 | 1 | 20,867 | I | -57 | -13 | 3 | -18 | -6 | 3 | -1 | 2 | 3 | 4 | 3 | 5 | -7 | -71 | 
| 8/28/07 20:18 | 8/24/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 307 | 1.20 | 0 | 256 | 1 | 20,649 | I | -58 | -14 | 5 | -13 | -9 | 4 | 1 | -1 | 0 | 5 | 1 | 3 | -9 | -71 | 
| 8/23/07 19:15 | 8/22/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 73 | 1.20 | 0 | 61 | 0 | 20,393 | I | -57 | -14 | -1 | -9 | -15 | 3 | 8 | -1 | 2 | 2 | 6 | 9 | -7 | -68 | 
| 8/21/07 18:49 | 8/17/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 178 | 1.20 | 0 | 149 | 1 | 20,332 | I | -57 | -18 | -2 | -6 | -12 | 0 | -1 | 3 | -1 | -2 | 4 | 4 | -11 | -72 | 
| 8/16/07 18:59 | 8/14/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 842 | 1.16 | 0 | 725 | 4 | 20,184 | I | -59 | -13 | -1 | -9 | -17 | 2 | 9 | 3 | 2 | 2 | 4 | 6 | -1 | -69 | 
| 8/13/07 20:55 | 8/9/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 768 | 1.16 | 0 | 659 | 4 | 19,458 | I | -61 | -17 | -7 | -19 | -21 | -12 | -3 | 0 | 4 | 9 | 8 | 10 | -9 | -67 | 
| 8/8/07 19:23 | 8/7/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 534 | 1.12 | 0 | 476 | 3 | 18,799 | I | -61 | -19 | -7 | -21 | -20 | -11 | -2 | -2 | 4 | 0 | 7 | 10 | -8 | -73 | 
| 8/6/07 18:06 | 8/2/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 757 | 1.15 | 0 | 659 | 4 | 18,323 | I | -63 | -24 | -9 | -26 | -22 | -18 | -2 | -8 | 7 | 6 | 17 | 29 | 0 | -66 | 
| 8/1/07 19:29 | 7/31/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 499 | 1.18 | 0 | 421 | 2 | 17,663 | I | -62 | -15 | 1 | -17 | -19 | -10 | -8 | 4 | -2 | -3 | 2 | 25 | -12 | -68 | 
| 7/31/07 17:19 | 7/27/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 448 | 1.15 | 0 | 390 | 2 | 17,242 | I | -63 | -13 | -6 | -19 | -26 | -15 | -12 | 2 | -2 | -11 | 0 | 23 | -12 | -71 | 
| 6/7/07 20:27 | 6/5/07 | FOLD | Amicus Therapeutics Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | S.d | -96 | 15.00 | 14 | -6 | 0 | 4,481 | I |  |  |  |  |  |  |  | 4 | 2 | -3 | -13 | -13 | 9 | -25 | 
| 5/29/07 16:34 | 5/24/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 586 | 1.30 | 0 | 451 | 3 | 16,852 | I | -52 | -39 | -7 | 13 | -9 | -9 | 3 | 1 | 7 | 10 | 5 | -12 | -8 | -31 | 
| 5/21/07 20:01 | 5/17/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 412 | 1.25 | 0 | 329 | 2 | 16,402 | I | -50 | -39 | -10 | 9 | 2 | -9 | -12 | 0 | 4 | 5 | 16 | -5 | -2 | -25 | 
| 3/7/07 19:10 | 3/6/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 523 | 1.21 | 0 | 432 | 3 | 16,072 | I | -56 | -56 | -25 | -10 | -8 | 3 | 3 | 3 | 10 | 7 | 1 | 20 | 2 | -12 | 
| 3/5/07 19:50 | 3/1/07 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 703 | 1.18 | 0 | 594 | 4 | 15,640 | I | -56 | -55 | -24 | -16 | -12 | -4 | -3 | 4 | 4 | 15 | 4 | 26 | 6 | -5 | 
| 2/8/07 18:07 | 2/6/07 | TRGT | Targacept Inc |  | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | M.d | 0 | 0.0750 | 0 | 1 | 0 | 3,266 | I |  |  | 54 | 22 | 23 | 1 | 5 | 3 | -4 | -1 | 0 | 4 | 4 | -23 | 
| 10/27/06 16:55 | 10/25/06 | IOMI | Iomai Corp |  | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 5,000 | 4.38 | 0 | 1,142 | 31 | 4,844 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 5/17/06 15:56 | 5/15/06 | NOVC | Novacea Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 7,500 | 6.50 | 0 | 1,154 | 31 | 4,901 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 4/14/06 15:00 | 4/12/06 | TRGT | Targacept Inc |  | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 3,150 | 9.00 | 11 | 350 | 999% | 351 | I |  |  |  |  |  |  |  |  | 1 | -10 | -13 | -22 | -28 | 5 | 
| 4/7/06 17:11 | 4/6/06 | OCNW | Occam Networks Inc/de | DE | Tech | CNtwk | Computer Communications Equip | Barris Peter J | MD | T |  | S.m | -2,105 | 21.55 | 0 | -98 | -100 | 0 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 2/2/06 11:44 | 2/1/06 | IOMI | Iomai Corp |  | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 4,674 | 7.00 | 0 | 668 | New | 668 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/4/05 17:30 | 11/2/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | H | Former 1 | P.m | 1,012 | 2.24 | 0 | 453 | 4 | 10,724 | I |  | -10 | 4 | -13 | -4 | 5 | 1 | 8 | 0 | -1 | -7 | -9 | -2 | -45 | 
| 6/7/05 17:59 | 6/3/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 438 | 2.45 | 0 | 179 | 2 | 10,271 | I |  | -25 | -4 | -8 | 34 | 0 | -10 | -4 | 4 | 8 | 34 | 16 | -6 | -14 | 
| 5/16/05 18:17 | 5/13/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 222 | 2.45 | 0 | 90 | 1 | 10,093 | I |  | -26 | -7 | -4 | 11 | 35 | 6 | 1 | 4 | 4 | 8 | 15 | -4 | -15 | 
| 5/10/05 17:21 | 5/6/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 656 | 2.45 | 0 | 268 | 3 | 10,002 | I |  | -27 | -8 | 18 | -6 | 28 | 16 | 6 | 2 | 0 | 3 | 13 | -2 | -6 | 
| 5/6/05 14:19 | 5/4/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 632 | 2.37 | 0 | 267 | 3 | 9,734 | I |  | -28 | -11 | 18 | -12 | 23 | 18 | 9 | -1 | 4 | 4 | 21 | -10 | 0 | 
| 5/3/05 16:44 | 4/29/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 901 | 2.21 | 0 | 407 | 4 | 9,467 | I |  | -36 | -15 | 5 | -17 | 2 | 8 | -4 | 4 | 10 | 14 | 39 | 0 | 3 | 
| 4/28/05 18:09 | 4/26/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 908 | 2.16 | 0 | 421 | 5 | 9,060 | I |  | -35 | -15 | 13 | -14 | 11 | 20 | 22 | -1 | 9 | 28 | 43 | 13 | 14 | 
| 3/16/05 19:40 | 3/10/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.am | 94 | 2.45 | 0 | 38 | 0 | 8,639 | I |  | -28 | -18 | 5 | 27 | -1 | -4 | 6 | 2 | -2 | -23 | 0 | 2 | 3 | 
| 3/14/05 16:57 | 3/10/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.m | 94 | 2.45 | 0 | 38 | 0 | 8,639 | I |  | -31 | -24 | -2 | 20 | -11 | -6 | -5 | 2 | 2 | -19 | -1 | 8 | -3 | 
| 2/15/05 18:38 | 2/10/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P.a | 202 | 2.42 | 0 | 84 | 1 | 8,601 | I |  | -48 | -2 | -4 | 2 | 31 | 29 | 13 | 0 | -3 | -5 | -12 | 5 | -13 | 
| 2/14/05 18:37 | 2/10/05 | ZHNE | Zhone Technologies Inc | DE | Electr | TelEq | Telephone & Telegraph Apparat | Barris Peter J | MD | T |  | P | 202 | 2.42 | 0 | 84 | 1 | 8,601 | I |  | -50 | 0 | -4 | 0 | 31 | 26 | 16 | 7 | 8 | 2 | -4 | 10 | -12 | 
| 11/12/04 14:09 | 11/10/04 | INHX | Inhibitex Inc |  | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P.d | 14,225 | 7.34 | 0 | 1,938 | 43 | 6,496 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 10/1/04 14:47 | 9/29/04 | MYOG | Myogen Inc | DE | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P.d | 5,579 | 6.50 | 0 | 858 | 26 | 4,204 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 6/7/04 10:31 | 6/3/04 | INHX | Inhibitex Inc |  | Health | BioPrd | Biological Products, (No Diag | Barris Peter J | MD | T |  | P | 7,490 | 7.00 | 0 | 1,070 | New | 1,070 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 2/24/04 20:29 | 2/20/04 | ARDM | Aradigm Corp | CA | Health | ElcMd | Electromedical & Electrothera | Barris Peter J | MD | T |  | S | -24 | 2.35 | 0 | -10 | -100 | 0 | I | -54 | 167 | 47 | 21 | 5 | -1 | -9 | -5 | -2 | 4 | -1 | -50 | -66 | -46 | 
| 1/22/04 18:01 | 1/20/04 | AICX | Applied Imaging Corp | DE | Health | MdEq | Surgical & Medical Instrument | Barris Peter J | MD | H | Former 1 | S.m | -314 | 2.41 | 0 | -130 | -8 | 1,507 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  | 
| 11/7/03 17:09 | 11/5/03 | PHRM | Pharmion Corp |  | Health | Drug | Pharmaceutical Preparations | Barris Peter J | MD | T |  | P | 5,600 | 14.00 | 0 | 400 | 10 | 4,341 | I |  |  |  |  |  |  |  |  |  |  |  |  |  |  |