| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 06/08/2022 | PARDES BIOSCIENCES, INC. | | Grant | Stock Option (Right to Buy) | 37.5k | $5.21 | $195.4k | | 06/08/2022 |
| 12/23/2021 | PARDES BIOSCIENCES, INC. | | Grant | Stock Option (Right to Buy) | 75k | $9.80 | $735k | | 12/23/2021 |
| 05/17/2019 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Option (right to buy) | 10k | $15.22 | $152.2k | | 05/17/2019 |
| 05/30/2018 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Option (right to buy) | 7.5k | $42.09 | $315.7k | | 05/30/2018 |
| 06/01/2017 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Option (Right to Buy) | 7.5k | $25.96 | $194.7k | | 06/01/2017 |
| 06/02/2016 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Option (Right to Buy) | 10k | $5.84 | $58.4k | | 06/02/2016 |
| 12/18/2015 | RCS Capital Corp | RCAP | Disposition | | 4.4k | $11.30 | $50k | | 12/18/2015 |
| 12/18/2015 | RCS Capital Corp | RCAP | Disposition | | 6.6k | $11.30 | $75k | | 12/18/2015 |
| 12/18/2015 | RCS Capital Corp | RCAP | Disposition | | 1.1k | $11.21 | $12k | | 12/18/2015 |
| 12/18/2015 | RCS Capital Corp | RCAP | Disposition | | 3.8k | $11.21 | $42.5k | | 12/18/2015 |
| 08/18/2015 | RCS Capital Corp | RCAP | Grant | | 99.2k | $2.52 | $250k | | 08/18/2015 |
| 05/28/2015 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Option (Right to Buy) | 10k | $15.90 | $159k | | 05/28/2015 |
| 01/13/2015 | RCS Capital Corp | RCAP | Grant | | 6.6k | $11.30 | $75k | | 01/13/2015 |
| 01/13/2015 | RCS Capital Corp | RCAP | Grant | | 1.1k | $11.21 | $12k | | 01/13/2015 |
| 01/13/2015 | RCS Capital Corp | RCAP | Grant | | 3.8k | $11.21 | $42.5k | | 01/13/2015 |
| 01/13/2015 | RCS Capital Corp | RCAP | Grant | | 4.4k | $11.30 | $50k | | 01/13/2015 |
| 07/10/2014 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Options (right to buy) | 64k | $0.00 | $0 | | 07/10/2014 |
| 07/10/2014 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Disposition | Stock Options (right to buy) | 2k | $16.55 | $33.1k | | 07/10/2014 |
| 07/10/2014 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Disposition | Stock Options (right to buy stock) | 2k | $39.10 | $78.2k | | 07/10/2014 |
| 07/10/2014 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Disposition | Stock Options (right to buy stock) | 7k | $30.00 | $210k | | 07/10/2014 |
| 07/10/2014 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Options (right to buy) | 64k | $0.00 | $0 | | 07/10/2014 |
| 07/10/2014 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Options (right to buy) | 64k | $0.00 | $0 | | 07/10/2014 |
| 06/09/2014 | RCS Capital Corp | RCAP | Grant | | 10k | $21.00 | $210k | | 06/05/2014 |
| 06/09/2014 | RCS Capital Corp | RCAP | Grant | | 1.4k | $29.74 | $42.5k | | 06/05/2014 |
| 06/09/2014 | RCS Capital Corp | RCAP | Grant | | 404 | $29.74 | $12k | | 06/05/2014 |
| 06/05/2014 | RCS Capital Corp | RCAP | Purchase | Common Stock | 1000 | $20.20 | $20.2k | | 06/05/2014 |
| 03/06/2013 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Options (right to buy) | 10k | $3.31 | $33.1k | | 03/06/2013 |
| 11/08/2011 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Options (right to buy) | 10k | $7.82 | $78.2k | | 11/08/2011 |
| 11/08/2011 | ASSEMBLY BIOSCIENCES, INC. | ASMB | Grant | Stock Options (right to buy) | 10k | $7.82 | $78.2k | | 11/08/2011 |
| 01/08/2009 | OPTIMER PHARMACEUTICALS INC | OPTR | Grant | Stock option (right to buy) | 5k | $10.75 | $53.8k | | 01/08/2009 |
| 06/24/2008 | Neuro-Hitech, Inc. | NHPI | Grant | Common Stock | 300k | $0.00 | $0 | | 06/24/2008 |
| 06/06/2008 | Neuro-Hitech, Inc. | NHPI | Purchase | Common Stock | 400k | $0.25 | $100k | By Wife | 06/06/2008 |
| 06/04/2008 | RxElite, Inc. | RXEI | Grant | Common Stock | 1000k | $0.00 | $0 | | 06/04/2008 |
| 06/04/2008 | RxElite, Inc. | RXEI | Grant | Common Stock | 100k | $0.00 | $0 | | 06/04/2008 |
| 06/04/2008 | RxElite, Inc. | RXEI | Disposition | Stock Option (right to buy) | 400k | $0.60 | $240k | | 06/04/2008 |
|