| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 07/06/2015 | ChromaDex Corp. | CDXC | Grant | Employee Stock Options (right to buy) | 75k | $1.22 | $91.5k | | 07/06/2015 |
| 03/26/2015 | Castle Brands Inc | ROX | Grant | Stock Option (Right to Buy) | 20k | $1.46 | $29.2k | | 03/26/2015 |
| 06/18/2014 | ChromaDex Corp. | CDXC | Grant | Employee Stock Options (right to buy) | 75k | $1.25 | $93.8k | | 06/18/2014 |
| 03/05/2014 | Castle Brands Inc | ROX | Grant | Stock Option (Right to Buy) | 20k | $1.07 | $21.4k | | 03/05/2014 |
| 02/24/2014 | Castle Brands Inc | ROX | Exercise | 10% Series A Convertible Preferred Stock | 209.1918 | $0.30 | $63.6 | Held by IVC Investors, LLLP | 02/21/2014 |
| 02/21/2014 | Castle Brands Inc | ROX | Exercise | Common Stock Purchase Warrants | 344.1k | $0.38 | $130.7k | Held by IVC Investors, LLLP | 02/21/2014 |
| 01/21/2014 | ChromaDex Corp. | CDXC | Grant | Common Stock | 10k | $0.00 | $0 | | 01/21/2014 |
| 02/12/2013 | ChromaDex Corp. | CDXC | Exercise (in-the-money or at-the-money) | Warrants to Purchase Common Stock | 535.7k | $0.21 | $112.5k | By IVC Investors, LLLP | 02/12/2013 |
| 12/21/2012 | ChromaDex Corp. | CDXC | Grant | Employee Stock Options (right to buy) | 106.8k | $0.95 | $100.9k | | 12/21/2012 |
| 12/21/2012 | ChromaDex Corp. | CDXC | Disposition | Employee Stock Options (right to buy) | 82.5k | $1.54 | $127k | | 12/21/2012 |
| 12/21/2012 | ChromaDex Corp. | CDXC | Disposition | Employee Stock Options (right to buy) | 82.5k | $1.55 | $127.5k | | 12/21/2012 |
| 08/28/2012 | ChromaDex Corp. | CDXC | Grant | Employee Stock Options (right to buy) | 82.5k | $0.64 | $52.8k | | 08/28/2012 |
| 02/10/2012 | ChromaDex Corp. | CDXC | Purchase | Common Stock | 200k | $0.75 | $150k | By IVC Investors, LLLP | 02/10/2012 |
| 02/06/2012 | Sorrento Therapeutics, Inc. | SRNE | Grant | Non-qualified stock option | 140k | $0.16 | $22.4k | | 02/06/2012 |
| 05/10/2011 | ChromaDex Corp. | CDXC | Grant | Employee Stock Options (right to buy) | 82.5k | $1.54 | $127k | | 05/10/2011 |
| 04/15/2011 | Sorrento Therapeutics, Inc. | SRNE | Grant | Non-qualified stock option | 7.5k | $0.14 | $1k | | 04/15/2011 |
| 11/29/2010 | Sorrento Therapeutics, Inc. | SRNE | Grant | Non-qualified stock option | 30k | $0.14 | $4.2k | | 11/29/2010 |
| 05/20/2010 | ChromaDex Corp. | CDXC | Grant | Employee Stock Options (right to buy) | 82.5k | $1.55 | $127.5k | | 05/24/2010 |
| 05/20/2010 | ChromaDex Corp. | CDXC | Grant | Employee Stock Options (right to buy) | 82.5k | $1.55 | $127.5k | | 05/20/2010 |
| 02/05/2010 | Sorrento Therapeutics, Inc. | SRNE | Grant | Non-qualified stock option | 10k | $0.07 | $700 | | 02/05/2010 |
| 01/11/2010 | Fluent, Inc. | COGT | Grant | Stock Option (Right to Buy) | 25k | $7.14 | $178.5k | | 01/11/2010 |
| 10/30/2009 | Fluent, Inc. | COGT | Other (acquisition) | Ordinary Shares, par value $0.0001 per share | 12.7k | $0.00 | $0 | By Halpryn Capital Partners, LLC | 10/30/2009 |