Capnia Inc Wt Exp 111219

CUSIP: 14066l113 Class: WT

Bollard Group LLC's Holding History (CIK: 0001556218)

Note: Option positions (PUT/CALL) are excluded.

Q1 2017
Shares 10,985 Value ($000) $1 Avg Close — Range —
Q4 2016
Shares 10,985 Value ($000) $1 Avg Close — Range —
Q3 2016
Shares 10,985 Value ($000) $2 Avg Close — Range —
Q2 2016
Shares 10,985 Value ($000) $2 Avg Close — Range —
Q1 2016
Shares 10,985 Value ($000) $3 Avg Close — Range —
Q4 2015
Shares 10,985 Value ($000) $3 Avg Close — Range —
Q3 2015
Shares 10,985 Value ($000) $8 Avg Close — Range —
Q2 2015
Shares 10,985 Value ($000) $10 Avg Close — Range —