| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 10/11/2016 | XTERA COMMUNICATIONS, INC. | XCOM | Purchase | Warrants to Purchase Common Stock | 61.2k | $0.61 | $37.3k | | 10/11/2016 |
| 09/27/2016 | XTERA COMMUNICATIONS, INC. | XCOM | Purchase | Warrants to Purchase Common Stock | 183.1k | $0.61 | $111.7k | | 09/27/2016 |
| 09/13/2016 | XTERA COMMUNICATIONS, INC. | XCOM | Purchase | Warrants to Purchase Common Stock | 122.1k | $0.60 | $73.2k | | 09/13/2016 |
| 03/23/2016 | Senseonics Holdings, Inc. | SENS | Purchase | Common Stock | 1.1M | $2.85 | $3M | | 03/23/2016 |
| 11/17/2015 | XTERA COMMUNICATIONS, INC. | XCOM | Conversion | Series B-3 Preferred Stock | 2.9M | $0.00 | $0 | | 11/17/2015 |
| 11/17/2015 | XTERA COMMUNICATIONS, INC. | XCOM | Conversion | Series E-3 Preferred Stock | 16.2M | $0.00 | $0 | | 11/17/2015 |
| 11/17/2015 | XTERA COMMUNICATIONS, INC. | XCOM | Conversion | Series D-3 Preferred Stock | 26.7M | $0.00 | $0 | | 11/17/2015 |
| 11/17/2015 | XTERA COMMUNICATIONS, INC. | XCOM | Conversion | Series C-3 Preferred Stock | 4.7M | $0.00 | $0 | | 11/17/2015 |
| 11/17/2015 | XTERA COMMUNICATIONS, INC. | XCOM | Conversion | Series A-3 Preferred Stock | 2.5M | $0.00 | $0 | | 11/17/2015 |
| 11/17/2015 | XTERA COMMUNICATIONS, INC. | XCOM | Purchase | Common Stock | 585.9k | $5.00 | $2.9M | | 11/17/2015 |
| 11/17/2015 | XTERA COMMUNICATIONS, INC. | XCOM | Conversion | Common Stock | 2M | $0.00 | $0 | | 11/17/2015 |
| 11/07/2006 | OCCAM NETWORKS INC/DE | OCNW | Sale | Common Stock | 244k | $14.00 | $3.4M | | 11/07/2006 |
| 11/07/2006 | OCCAM NETWORKS INC/DE | OCNW | Conversion | Series A-2 Preferred Stock | 320k | $0.00 | $0 | | 11/07/2006 |
| 11/07/2006 | OCCAM NETWORKS INC/DE | OCNW | Conversion | Common Stock | 727.3k | $0.00 | $0 | | 11/07/2006 |
| 03/23/2005 | OCCAM NETWORKS INC/DE | OCNW | Purchase | Series A-2 Preferred Stock | 45k | $10.00 | $450k | | 03/23/2005 |
| 01/07/2005 | OCCAM NETWORKS INC/DE | OCNW | Purchase | Series A-2 Preferred Stock | 75k | $10.00 | $750k | | 01/07/2005 |
| 11/19/2003 | OCCAM NETWORKS INC/DE | OCNW | Purchase | Series A-2 Preferred | 200k | $10.00 | $2M | | 11/19/2003 |
| 11/13/2003 | ZTI MERGER SUBSIDIARY III INC | | Conversion | Series B Preferred | 3.4M | $2.02 | $6.9M | | 11/13/2003 |
| 11/13/2003 | ZTI MERGER SUBSIDIARY III INC | | Conversion | Series AA Preferred | 3.8M | $4.00 | $15M | | 11/13/2003 |
| 11/13/2003 | ZTI MERGER SUBSIDIARY III INC | | Other | Common Stock | 7.1M | $0.00 | $0 | | 11/13/2003 |
| 11/13/2003 | ZTI MERGER SUBSIDIARY III INC | | Conversion | Common Stock | 3.4M | $2.02 | $6.9M | | 11/13/2003 |
| 11/13/2003 | ZTI MERGER SUBSIDIARY III INC | | Conversion | Common Stock | 3.8M | $4.00 | $15M | | 11/13/2003 |