Katz Richard D [Rocket]

Date	Name	Symbol	Type	Security	Shares	Price	Value	Reported
02/01/2022	Allena Pharmaceuticals, Inc.	ALNA	Grant	Restricted Stock Units	255k	$0.00	$0	02/01/2022
02/01/2021	Allena Pharmaceuticals, Inc.	ALNA	Grant	Stock Option (Right to Buy)	400k	$1.67	$668k	02/01/2021
03/18/2020	Liquidia Technologies Inc	LQDA	Grant	Common Stock	10.8k	$0.00	$0	03/18/2020
03/18/2020	Liquidia Technologies Inc	LQDA	Grant	Employee Stock Option (right to buy)	43.3k	$3.31	$143.4k	03/18/2020
05/22/2019	Liquidia Technologies Inc	LQDA	Grant	Employee Stock Option (right to buy)	155k	$10.29	$1.6M	05/22/2019
04/25/2018	ARGOS THERAPEUTICS INC	ARGS	Disposition	Common Stock	22.6k	$0.00	$0	04/25/2018
03/28/2018	ARGOS THERAPEUTICS INC	ARGS	Grant	Common Stock	22.6k	$0.00	$0	03/28/2018
01/10/2018	ARGOS THERAPEUTICS INC	ARGS	Sale	Common Stock	104.4k	$0.16	$17.2k	01/10/2018
01/09/2018	ARGOS THERAPEUTICS INC	ARGS	Sale	Common Stock	104.4k	$0.16	$17.2k	01/09/2018
01/03/2018	ARGOS THERAPEUTICS INC	ARGS	Sale	Common Stock	101.2k	$0.16	$16.5k	01/03/2018
08/30/2017	ARGOS THERAPEUTICS INC	ARGS	Grant	Common Stock	395.7k	$0.00	$0	08/30/2017
01/19/2017	ARGOS THERAPEUTICS INC	ARGS	Grant	Common Stock	4k	$0.00	$0	01/19/2017
01/19/2017	ARGOS THERAPEUTICS INC	ARGS	Grant	Stock Option (right to buy)	105k	$4.85	$509.2k	01/19/2017
07/11/2016	ARGOS THERAPEUTICS INC	ARGS	Grant	Stock Option (right to buy)	300k	$6.30	$1.9M	07/11/2016
08/10/2011	ICAGEN INC	ICGN	Payment of Exercise	Common Stock	4.2k	$5.96	$24.9k	08/10/2011
08/10/2011	ICAGEN INC	ICGN	Sale	Common Stock	36	$5.96	$214.6	08/10/2011
01/29/2011	ICAGEN INC	ICGN	Payment of Exercise	Common Stock	353	$2.94	$1k	01/29/2011
02/01/2010	ICAGEN INC	ICGN	Payment of Exercise	Common Stock	3.2k	$0.89	$2.8k	02/01/2010
01/12/2010	ICAGEN INC	ICGN	Payment of Exercise	Common Stock	991	$0.69	$683.8	01/12/2010
12/16/2009	ICAGEN INC	ICGN	Gift	Common Stock	18k	$0.00	$0	12/16/2009