ELLIS ALEXANDER III [Rocket]

Date	Name	Symbol	Type	Security	Shares	Price	Value	Ownership	Reported
05/25/2017	Northern Power Systems Corp.	NPS	Grant	Common Shares	30k	$0.00	$0		05/25/2017
11/30/2016	Northern Power Systems Corp.	NPS	Grant	Common Shares	30k	$0.00	$0		11/30/2016
11/28/2016	Northern Power Systems Corp.	NPS	Grant	Common Shares	30k	$0.00	$0		11/28/2016
08/25/2015	Northern Power Systems Corp.	NPS	Grant	Common Shares	15k	$0.00	$0		08/25/2015
11/30/2014	Northern Power Systems Corp.	NPS	Other (acquisition)	Common Shares	1.8M	$0.00	$0	Footnote	11/30/2014
11/30/2014	Northern Power Systems Corp.	NPS	Other (disposition)	Class B Restricted Voting Shares	1.8M	$0.00	$0	Footnote	11/30/2014
10/30/2014	Northern Power Systems Corp.	NPS	Other (acquisition)	Common Shares	899.8k	$0.00	$0	Footnote	10/30/2014
10/30/2014	Northern Power Systems Corp.	NPS	Other (disposition)	Class B Restricted Voting Shares	899.8k	$0.00	$0	Footnote	10/30/2014
09/30/2014	Northern Power Systems Corp.	NPS	Other (acquisition)	Common Shares	889.8k	$0.00	$0	Footnote	09/30/2014
09/30/2014	Northern Power Systems Corp.	NPS	Other (disposition)	Class B Restricted Voting Shares	889.8k	$0.00	$0	Footnote	09/30/2014
05/21/2014	CLEAN DIESEL TECHNOLOGIES INC	CDTI	Grant	Restricted Share Units	5.9k	$0.00	$0		05/21/2014
05/21/2014	CLEAN DIESEL TECHNOLOGIES INC	CDTI	Grant	Restricted Share Units	11.8k	$0.00	$0		05/21/2014
05/09/2014	Northern Power Systems Corp.	NPS	Grant	Stock Option (Right to Buy)	20k	$3.99	$79.8k		05/09/2014
12/01/2011	CLEAN DIESEL TECHNOLOGIES INC	CDTI	Grant	Stock Option (right to buy)	5k	$2.97	$14.8k		12/01/2011