| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 10/29/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Purchase | Common Stock | 12k | $4.09 | $49.1k | By Panetta Partners, Ltd. | 10/29/2013 |
| 07/26/2013 | Cardiff Oncology, Inc. | TROV | Grant | Stock Options | 90k | $7.97 | $717.3k | | 07/26/2013 |
| 07/12/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 100k | $4.40 | $440k | | 07/12/2013 |
| 07/12/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 100k | $4.40 | $440k | | 07/12/2013 |
| 04/24/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Purchase | Common Stock | 5.5k | $4.66 | $25.6k | By Panetta Partners, Ltd. | 04/24/2013 |
| 01/17/2013 | CALLISTO PHARMACEUTICALS INC | CLSP | Disposition | Stock Options | 390k | $0.26 | $101.4k | | 01/17/2013 |
| 01/17/2013 | CALLISTO PHARMACEUTICALS INC | CLSP | Disposition | Stock Options | 375k | $1.70 | $637.5k | | 01/17/2013 |
| 01/17/2013 | CALLISTO PHARMACEUTICALS INC | CLSP | Disposition | Stock Options | 100k | $3.20 | $320k | | 01/17/2013 |
| 01/17/2013 | CALLISTO PHARMACEUTICALS INC | CLSP | Disposition | Stock Options | 75k | $1.50 | $112.5k | | 01/17/2013 |
| 01/17/2013 | CALLISTO PHARMACEUTICALS INC | CLSP | Disposition | Stock Options | 72.1k | $1.30 | $93.7k | | 01/17/2013 |
| 01/17/2013 | CALLISTO PHARMACEUTICALS INC | CLSP | Disposition | Stock Options | 261k | $1.30 | $339.3k | | 01/17/2013 |
| 01/17/2013 | CALLISTO PHARMACEUTICALS INC | CLSP | Disposition | Common Stock | 2.2M | $0.00 | $0 | By Panetta Partners, Ltd. | 01/17/2013 |
| 01/17/2013 | CALLISTO PHARMACEUTICALS INC | CLSP | Disposition | Stock Options | 225k | $0.96 | $216k | | 01/17/2013 |
| 01/17/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 70.2k | $1.45 | $101.7k | | 01/17/2013 |
| 01/17/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 40.5k | $5.34 | $216.2k | | 01/17/2013 |
| 01/17/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 67.5k | $9.45 | $637.5k | | 01/17/2013 |
| 01/17/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 18k | $17.79 | $320k | | 01/17/2013 |
| 01/17/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 13.5k | $8.34 | $112.5k | | 01/17/2013 |
| 01/17/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 13k | $7.23 | $93.7k | | 01/17/2013 |
| 01/17/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Stock Options | 47k | $7.23 | $339.5k | | 01/17/2013 |
| 01/17/2013 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Grant | Common Stock | 393k | $0.00 | $0 | By Panetta Partners, Ltd. | 01/17/2013 |
| 12/10/2012 | Cardiff Oncology, Inc. | TROV | Purchase | Warrants | 40k | $5.32 | $212.8k | By Panetta Partners, Ltd. | 12/10/2012 |
| 12/10/2012 | Cardiff Oncology, Inc. | TROV | Purchase | Common Stock | 40k | $0.00 | $0 | By Panetta Partners, Ltd. | 12/10/2012 |
| 11/14/2012 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Purchase | Common Stock | 87.8k | $3.61 | $317.2k | By Panetta Partners Ltd. | 11/14/2012 |
| 08/20/2012 | Cardiff Oncology, Inc. | TROV | Purchase | Common Stock | 7.5k | $2.36 | $17.7k | By Panetta Partners, Ltd. | 08/17/2012 |
| 08/17/2012 | Cardiff Oncology, Inc. | TROV | Purchase | Common Stock | 300 | $2.15 | $645 | By Panetta Partners, Ltd. | 08/17/2012 |
| 08/16/2012 | Cardiff Oncology, Inc. | TROV | Purchase | Common Stock | 15k | $2.24 | $33.6k | By Panetta Partners, Ltd. | 05/16/2012 |
| 04/24/2012 | Cardiff Oncology, Inc. | TROV | Other (acquisition) | Warrants | 300k | $0.69 | $207k | By Panetta Partners Ltd. | 04/24/2012 |
| 04/13/2012 | Cardiff Oncology, Inc. | TROV | Purchase | Common Stock | 200k | $0.50 | $100k | By Panetta Partners Ltd. | 04/13/2012 |
| 04/13/2012 | Cardiff Oncology, Inc. | TROV | Purchase | Warrants | 200k | $0.50 | $100k | By Panetta Partners Ltd. | 04/13/2012 |
| 11/14/2011 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Purchase | | 470.6k | $2.13 | $1000k | By Panetta Partners, Ltd. | 11/14/2011 |
| 11/14/2011 | SYNERGY PHARMACEUTICALS, INC. | SGYP | Purchase | | 470.6k | $2.75 | $1.3M | By Panetta Partners, Ltd. | 11/14/2011 |
| 11/15/2010 | CALLISTO PHARMACEUTICALS INC | CLSP | Purchase | Common Stock | 12.9k | $0.00 | $0 | By Panetta Partners, Ltd. | 11/15/2010 |
| 11/15/2010 | CALLISTO PHARMACEUTICALS INC | CLSP | Purchase | Common Stock | 12.9k | $0.00 | $0 | By Panetta Partners, Ltd. | 11/15/2010 |
| 11/15/2010 | CALLISTO PHARMACEUTICALS INC | CLSP | Conversion | Common Stock Purchase Warrants | 30k | $0.50 | $15k | By Panetta Partners, Ltd. | 11/15/2010 |
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