Evellard v. LendingClub Corporation et al

Filing 401

JUDGMENT. Signed by Judge Alsup on 9/24/2018. (whalc2, COURT STAFF) (Filed on 9/24/2018)

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UNITED STATES DISTRICT COURT

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NORTHERN DISTRICT OF CALIFORNIA

12 In re LENDINGCLUB SECURITIES
LITIGATION
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14 This Document Relates To:
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ALL ACTIONS.

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1449155_1

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Case No. 3:16-cv-02627-WHA
CLASS ACTION
[PROPOSED] JUDGMENT

1

This matter came before the Court on the application of the parties for final approval of the

2 settlement set forth in the Stipulation of Settlement dated February 21, 2018 (the “Stipulation”). Full
3 and adequate notice having been given to the Class as required in the Court’s Order Granting
4 Preliminary Approval of Class Settlement dated March 16, 2018 and Order Approving Amended
5 Proposed Notices dated March 26, 2018, and the Court having considered all papers filed and
6 proceedings had herein and otherwise being fully informed in the premises and good cause
7 appearing therefore, IT IS HEREBY ORDERED THAT:
8

1.

This Judgment incorporates by reference the definitions in the Stipulation, and all

9 terms used herein shall have the same meanings as set forth in the Stipulation, unless otherwise set
10 forth herein.
11

2.

This Court has jurisdiction over the subject matter of the Litigations and over all

12 parties to the Litigations, including all Class Members.
13

3.

The Court finds that the distribution of the Notice, Proof of Claim and Release, and

14 Summary Notice complied with the terms of the Stipulation and the Order, and provided the best
15 notice practicable under the circumstances of those proceedings and of the matters set forth therein,
16 including the proposed settlement set forth in the Stipulation, to all Persons entitled to such notice,
17 and said notice fully satisfied the requirements of Federal Rule of Civil Procedure 23; Section 27 of
18 the Securities Act of 1933, 15 U.S.C. §77z-1(a)(7) and §21D(a)(7) of the Securities Exchange Act of
19 1934, 15 U.S.C. §78u-4(a)(7), both as amended by the Private Securities Litigation Reform Act; due
20 process; and any other applicable law.
21

4.

The Court has considered the objection to the settlement by Tommy L. Swanson, Sr.,

22 and finds that it is without merit. It is therefore overruled in its entirety.
23

5.

In light of the benefits to the Class Members, the complexity, expense, and possible

24 duration of further litigation against Defendants, the risks of establishing liability and damages, the
25 risks and costs of continued litigation, and the other reasons set forth in the Stipulation, the Court
26 hereby approves the settlement set forth in the Stipulation pursuant to Federal Rule of Civil
27 Procedure 23 and finds that:
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1449155_1

[PROPOSED] JUDGMENT - 3:16-cv-02627-WHA

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1

(a)

the Stipulation and the settlement contained therein, are, in all respects, fair,

2 reasonable, and adequate and in the best interest of the Class Members;
3

(b)

there was no collusion between or among the parties in reaching the

4 agreement set forth in the Stipulation;
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(c)

the Stipulation was the product of informed, arm’s-length negotiations among

6 competent, able counsel and with the assistance of Chief Magistrate Judge Joseph C. Spero; and
(d)

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the record is sufficiently developed and complete to have enabled the Settling

8 Parties to have adequately evaluated and considered their positions.
9

Accordingly, the Court authorizes and directs implementation and performance of all the

10 terms and provisions of the Stipulation, as well as the terms and provisions hereof.
11

6.

Except as to any individual claim of those Persons (identified in Exhibit 1 attached

12 hereto) who have validly and timely requested exclusion from the Class, the Federal Litigation and
13 all claims contained therein, including the Released Claims, are dismissed with prejudice as to all
14 Settling Parties and their Related Parties (as defined in the Stipulation). The Settling Parties are to
15 bear their own fees and costs except as otherwise provided in the Stipulation or in any separate order
16 with respect to the application for attorneys’ fees or expenses, and notice and administration
17 expenses, pursuant to the Stipulation.
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7.

Upon the Effective Date, and as provided in the Stipulation, all Releasing Plaintiffs

19 and Class Members and anyone claiming through or on behalf of any of them, shall be deemed to
20 have, and by operation of the Judgment shall have, fully, finally, and forever released, relinquished,
21 and discharged all Released Claims against the Released Defendants. Upon the Effective Date, the
22 Releasing Plaintiffs and Class Members will be forever barred and enjoined from commencing,
23 instituting, prosecuting or continuing to prosecute any action or other proceeding in any court of law
24 or equity, arbitration tribunal, or administrative forum, asserting the Released Claims against any of
25 the Released Defendants. Claims to enforce the terms of the Stipulation are not released.
26

8.

Upon the Effective Date, and as provided in the Stipulation, each of the Releasing

27 Defendants shall be deemed to have, and by operation of the Judgment shall have, fully, finally, and
28 forever released, relinquished, and discharged all Releasing Defendants’ Claims (including
1449155_1

[PROPOSED] JUDGMENT - 3:16-cv-02627-WHA

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1 Unknown Claims) against Released Plaintiffs and Class Members, and Federal and State Lead
2 Counsel, whether arising under federal, state, common or foreign law. Upon the Effective Date, the
3 Releasing Defendants will be forever barred and enjoined from commencing, instituting, prosecuting
4 or continuing to prosecute any action or other proceeding in any court of law or equity, arbitration
5 tribunal, or administrative forum, asserting the Releasing Defendants’ Claims against any of the
6 Released Plaintiffs and Class Members, and Federal and State Lead Counsel. Releasing Defendants
7 are aware of the California Civil Code §1542 and expressly waive and relinquish any rights or
8 benefits available to them under this statute. Claims to enforce the terms of the Stipulation are not
9 released.
10

9.

As set forth in the Stipulation, State Class Representatives and State Lead Counsel

11 will notify the State Court within two (2) business days of entry of Judgment.
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10.

State Class Representatives and State Lead Counsel will notify the State Court within

13 two (2) business days of Judgment becoming Final.
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11.

Each Class Member, whether or not such Class Member executes and delivers a Proof

15 of Claim and Release, is bound by this Judgment, including, without limitation, the release of claims
16 as set forth in the Stipulation.
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12.

All Persons and entities whose names appear on Exhibit 1 hereto are hereby excluded

18 from the Class, are not bound by this Judgment, and may not make any claim with respect to or
19 receive any benefit from the settlement.
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13.

Neither the Stipulation nor the settlement contained therein, nor any act performed or

21 document executed pursuant to or in furtherance of the Stipulation or the settlement: (a) is or may be
22 deemed to be or may be used as an admission of, or evidence of, the validity of any Released Claim,
23 the truth of any of the allegations in the Litigations, or of any wrongdoing, fault, or liability of the
24 Defendants or their respective Related Parties, or that Federal Lead Plaintiff or State Class
25 Representatives or any Class Members have suffered any damages, harm, or loss; or (b) is or may be
26 deemed to be or may be used as an admission of, or evidence of, any fault or omission of any of the
27 Defendants or their respective Related Parties in any civil, criminal, or administrative proceeding in
28 any court, administrative agency, or other tribunal. The Defendants and/or their respective Related
1449155_1

[PROPOSED] JUDGMENT - 3:16-cv-02627-WHA

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1 Parties may file the Stipulation and/or this Judgment in any other action that may be brought against
2 them in order to support a defense or counterclaim based on principles of res judicata, collateral
3 estoppel, release, good faith settlement, judgment bar or reduction, or any theory of claim preclusion
4 or issue preclusion or similar defense or counterclaim.
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14.

Any Plan of Allocation submitted by Federal or State Lead Counsel or any order

6 entered regarding any attorneys’ fee and expense application shall in no way disturb or affect this
7 Judgment and shall be considered separate from this Judgment. Defendants have no responsibility
8 with respect to the Plan of Allocation.
9

15.

Without affecting the finality of this Judgment in any way, this Court hereby retains

10 continuing jurisdiction over: (a) implementation of this settlement and any award or distribution of
11 the Settlement Fund, including interest earned thereon; (b) disposition of the Settlement Fund;
12 (c) hearing and determining applications for attorneys’ fees, expenses, and interest in the Litigations;
13 and (d) all parties herein for the purpose of construing, enforcing, and administering the Stipulation.
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16.

The Court finds that during the course of the Litigations, the Settling Parties and their

15 respective counsel at all times complied with the requirements of Federal Rule of Civil Procedure 11
16 and applicable California and federal rules of professional responsibility.
17

17.

In the event that the Effective Date does not occur, this Judgment shall be rendered

18 null and void to the extent provided by and in accordance with the Stipulation and shall be vacated
19 and, in such event, all orders entered and releases delivered in connection herewith shall be null and
20 void to the extent provided by and in accordance with the Stipulation.
21

18.

Without further order of the Court, the Settling Parties may agree to reasonable

22 extensions of time to carry out any of the provisions of the Stipulation.
23

19.

Nothing herein shall release or alter the rights, if any, under the terms of any bylaws

24 or other written agreements: (i) between Dolan, Laplanche and/or the Director Defendants, on the
25 one hand, and LendingClub, on the other hand, (ii) between the Underwriter Defendants, on the one
26 hand, and LendingClub, on the other hand, or (iii) between or among the Underwriter Defendants.
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1449155_1

[PROPOSED] JUDGMENT - 3:16-cv-02627-WHA

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20.

The provisions of this Judgment constitute a full and complete adjudication of the

2 matters considered and adjudged herein, and the Court directs immediate entry of this Judgment by
3 the Clerk of the Court.

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Judge W

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D
________________________________________
RDERE
S SO O IED ALSUP
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THE HONORABLE WILLIAM
DIF
AS MO
UNITED STATES DISTRICT JUDGE

LI

September 24, 2018.
6 DATED: _____________________

S DISTRICT
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IT IS SO ORDERED.

UNIT
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D IS T IC T O
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1449155_1

[PROPOSED] JUDGMENT - 3:16-cv-02627-WHA

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EXHIBIT 1

IIIIIIIII IIII IIIIII I IIIIIII Ill lllllll lllllIll lllll lllll llll lllll llll llll *LBS-EXCL00004 *

®@@&DV!!@@

.'. . JUN 19 2018
CL.A/Ms CENTER

Exclusion Cover Page
Case Name: LendingClub Securities Litigation
Case Code: LBS
Exclusion Deadline: June 25, 2018 (Received Date)
Name of Person Filing Exclusion: David J Berger

David J. Berger

June 12, 2018
Lending Club Securities Litigation
Claims Administrator
EXCLUSIONS
c/o Gilardi & Co. LLC
3301 Kerner Blvd.
San Rafael, California 94901

Dear Sir or Madam:
I wish to be excluded from the Class and do not wish to participate in
the settlement in In re Lending Club Securities Litigation, Case No.
3:16-cv-02627-WHA (N.D. Cal.).
At $0.45 per share, I do not believe that this settlement fairly
compensates me for my losses.
I purchased 100 shares on 12/11/2014 for $15.00 each. I still retain
these shares at their current price of $3.29, and have thus lost more
than $1,281.
Sincerely,

COLUM Bl.JS OH ..-131

David J. Berger

· 13 _·lUJ\J 2018 Pt,..f 2 L

~:g@fgO~O~ill1

JUN 1 9 2018
"'I.AIMS CENTER

Lending Club Securities Litigation
Claims Administrator
EXCLUSIONS
c/o Gilardi & Co. LLC
3301 Kerner Blvd.
San Rafael, California 94901
9490i-48SE:25

L_

1

1111· I'I' ,I,,, 1,,1, 11,,,,. II I, 1, 1,111,, 111,,1111, I, ,JI• 111 11 1111
_)

IIIIIIIII IIII IIIIII I IIIIIII Ill lllllll llllll Ill lllll lllll 111111111111111111 *LBS-EXCLOOOOS*

rmrn@rnowrn@

,;eff

JUN 2 5 2018
CLAIMS CENTER

Exclusion Cover Page
Case Name: LendingClub Securities Litigation
Case Code: LBS
Exclusion Deadline: June 25, 2018 (Received Date)
Name of Person Filing Exclusion: Valin or Funds

Richard A. Bodnar

Lowenstein
Sandler

Counsel

1251 Avenue of the Americas
New York, New York 10020
T: 973.422.64 76
F: 973.422.64 77

E: [e-mail]

June 22, 2018
VIA OVERNIGHT MAIL, FEDEX, AND EMAIL

LendingClub Securities Litigation
Claims Administrator
EXCLUSIONS
c/o Gilardi & Co. LLC
3301 Kerner Blvd.
San Rafael, CA 94901

Re:

In re LendingC/ub Securities Litigation, Case No. 3:16-cv-02627-WHA (N.D. Cal.)
Exclusion Request of the Valinor Funds

Dear Claims Administrator:
This firm represents Valinor Capital Partners, L.P., Valinor Capital Partners Offshore Master
Fund, L.P., and Valinor Capital Partners SPY VI LLC (the "Valinor Funds"). Pursuant to the
Notice of Pendency and Proposed Settlement of Class Action, approved by the Northern District
of California in relation to the above captioned matter (the "Notice") the Valinor Funds, defined
above hereby request to be excluded from the Class and do not wish to participate in the
settlement in In re LendingClub Securities Litigation, Case No. 3: 16-cv-02627-WHA (N.D.
Cal.). For the avoidance of doubt, each and every one of the Valinor Funds defined above
hereby requests to be excluded from the Class and do not wish to participate in the settlement in
In re LendingClub Securities Litigation, Case No. 3: l 6-cv-02627-WHA (N.D. Cal.).
The Valinor Funds are represented by counsel and have filed an independent action against
certain class defendants. To contact the Valinor Funds, any and all correspondence should be
directed to:
Lawrence M. Rolnick
Marc B. Kramer
Richard A. Bodnar
Lowenstein Sandler LLP
1251 Avenue of the Americas
New York, NY 10020
[e-mail]
[e-mail]
[e-mail]
T : 973.597.2468
Fax: [phone]

NEW YORK

PALO ALTO

NEW JERSEY

UTAH

WASHINGTON, D.C.

Lowenstein Sandler LLP

,.
Page 2

Pursuant to the Notice, the above information shall also be considered the contact information
for the Valinor Funds. This exclusion request is being signed by Richard A. Bodnar, an attorney
at Lowenstein Sandler LLP representing the Valinor Funds, with Mr. Bodnar acting as
authorized representative of the Valinor Funds for purposes of this exclusion request.
The trade data requested by the Notice, Section 13, is annexed hereto.
For shares that were acquired or sold pursuant to a conversion, we have listed the purchase and
sale quantities; price information (as that term is used in the Notice) is not available as these
were not purchases/sales on a secondary market.
Respectfully Submitted,

........
Richard A. Bodnar
Lowenstein Sandler LLP
Attorneys For, and Authorized Representative of, the Valinor Funds
Enclosure

Lowenstein
Sandler

Entity
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Pai1ners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.

Transaction

BUY
SELL
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition

of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted

BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL

BUY
BUY
Page 1 of 9

Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares

Trade Date Qnty
Price
12/11/2014
341100 $15.00
12/11/2014
341100 $ 24.08
06/08/2015
733464
06/08/2015
7368
06/08/2015
26234
06/08/2015
421024
06/08/2015
205940
06/08/2015
166806
06/08/2015
6845190
06/08/2015
2
06/08/2015
2
06/08/2015
2
06/08/2015
5000
06/08/2015
1207338
06/08/2015
9284
06/08/2015
16152
06/08/2015
1652
06/08/2015
8630
06/08/2015
44882
06/08/2015
116
06/08/2015
2310
06/08/2015
816
06/08/2015
12040
06/08/2015
109048
06/08/2015
75103
06/08/2015
60219
06/08/2015
72791
07/01/2015
198232 $14.75
10/01/2015
97287 $13.23
11/02/2015
30697 $14.18
12/01/2015
56163 $12.02
01/04/2016
59892 $ 11.05
01/28/2016
75900 $ 7.37
01/28/2016
75300 $ 7.38
01/29/2016
75400 $ 7.35
01/29/2016
54200 $ 7.38
01/29/2016
10800 $ 7.39
01/29/2016
10400 $ 7.36
01/29/2016
39600 $ 7.22
01/29/2016
10600 $ 7.30
01/29/2016
75800 $ 7.38
01/29/2016
25500 $ 7.38
01/29/2016
30700 $ 7.17
02/01/2016
24900 $ 7.38
02/04/2016
69900 $ 7.45
02/04/2016
192459 $ 7.55
02/04/2016
31500 $ 7.48
02/04/2016
78200 $ 7.45
02/04/2016
33900 $ 7.39
02/04/2016
38641 $ 7.39
02/05/2016
17100 $ 7.05
02/16/2016
24500 $ 7.37
02/23/2016
89100 $ 8.86
02/23/2016
54400 $ 8.78

Entity
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund , L.P .
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund , L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund , L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund , L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P.

Transaction

BUY

BUY
BUY
BUY
BUY
BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY
BUY

BUY
BUY

BUY
BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY
Page 2 of 9

Trade Date Qnty
Price
02/23/2016
40600 $ 8.75
02/23/2016
1000 $ 8.70
02/23/2016
26100 $ 8.82
02/23/2016
20000 $ 8.78
02/23/2016
91900 $ 8.88
02/24/2016
33600 $ 8.29
02/24/2016
108700 $ 8.28
02/24/2016
169000 $ 8.38
02/24/2016
26700 $ 8.38
02/25/2016
190703 $ 8.45
02/25/2016
18100 $ 8.13
02/25/2016
18100 $ 8.19
02/25/2016
18100 $ 8.06
02/25/2016
18100 $ 8.32
02/25/2016
61497 $ 8.58
02/25/2016
18200 $ 8.46
03/16/2016
108600 $ 8.25
03/16/2016
159900 $ 8.38
03/16/2016
10800 $ 8.22
03/23/2016
78000 $ 8.21
03/23/2016
36200 $ 8.20
03/23/2016
13600 $ 8.29
03/23/2016
18100 $ 8.22
03/23/2016
208200 $ 8.10
03/23/2016
148177 $ 8.18
03/24/2016
51400 $ 8.12
03/24/2016
103000 $ 8.21
03/24/2016
51523 $ 8.33
03/28/2016
72400 $ 7.69
21400 $ 7.60
03/28/2016
03/28/2016
7200 $ 7.56
03/28/2016
18100 $ 7.58
03/28/2016
36200 $ 7.79
03/28/2016
18100 $ 7.73
03/28/2016
18100 $ 7.78
03/28/2016
18100 $ 7.79
03/28/2016
68058 $ 7.75
03/29/2016
170872 $ 7.87
03/29/2016
2300 $ 7.65
03/29/2016
300 $ 7.53
03/30/2016
3100 $ 8.03
04/01/2016
42342 $ 8.30
04/01/2016
8400 $ 8.02
04/01/2016
24827 $ 8.02
04/05/2016
122200 $ 7.86
04/05/2016
77981 $ 7.97
04/06/2016
600 $ 8.00
04/07/2016
70962 $ 7.99
04/07/2016
54200 $ 7.89
04/07/2016
54200 $ 7.85
04/07/2016
99000 $ 7.86
04/14/2016
188717 $ 7.39
04/14/2016
27600 $ 7.35
04/14/2016
49700 $ 7.52

Entity
Valinor Capital Partners Offshore Master Fund , L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund , L.P .
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, LP.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund , L.P .
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund , L.P.
Valinor Capital Partners Offshore Master Fund , L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund , L.P .
Valinor Capital Partners Offshore Master Fund, L.P .
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.

Transaction

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
Page 3 of 9

Trade Date Qnty
Price
64683 $ 7.48
04/14/2016
04/15/2016
96400 $ 7.27
04/15/2016
322752 $ 7.36
22048 $ 7.37
04/15/2016
162035 $ 7.53
04/18/2016
04/18/2016
72700 $ 7.54
04/18/2016
17118 $ 7.54
04/19/2016
111680 $ 8.03
04/19/2016
214500 $ 8.10
04/19/2016
36400 $ 8. 17
04/19/2016
230283 $ 8.02
04/20/2016
57500 $ 8.23
04/20/2016
57537 $ 8.21
04/25/2016
49500 $ 7.40
04/25/2016
29100 $ 7.45
04/25/2016
55300 $ 7.43
23700 $ 7.52
04/26/2016
04/26/2016
40933 $ 7.52
04/27/2016
1200 $ 7.51
04/27/2016
3300 $ 7.52
05/02/2016
59930 $ 7.90
05/03/2016
155200 $ 7.21
05/03/2016
18300 $ 7.07
05/03/2016
13200 $ 7.07
05/03/2016
10539 $ 7.08
05/03/2016
21900 $ 7. 16
05/03/2016
19304 $ 7.16
05/03/2016
41600 $ 7.14
05/03/2016
83296 $ 7.14
05/03/2016
36500 $ 7.27
05/03/2016
18200 $ 7.25
05/03/2016
18200 $ 7.23
05/03/2016
90900 $ 7.16
05/03/2016
157300 $ 7.21
05/03/2016
7800 $ 7.37
05/03/2016
153800 $ 7.17
05/03/2016
159400 $ 7.21
05/03/2016
42300 $ 7.10
05/03/2016
19610 $ 7.12
05/03/2016
42000 $ 7.15
05/03/2016
6800 $ 7.23
05/03/2016
1500 $ 7.23
05/03/2016
33700 $ 7.23
05/03/2016
42000 $ 7.15
05/03/2016
42000 $ 7.18
05/03/2016
42000 $ 7.15
05/03/2016
42100 $ 7.22
05/03/2016
42000 $ 7.15
05/03/2016
42100 $ 7.18
05/03/2016
42000 $ 7.15
05/03/2016
42100 $ 7.22
05/03/2016
42000 $ 7.15
05/03/2016
42100 $ 7.22
05/04/2016
83000 $ 6.95

Entity
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners Offshore Master Fund, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.

Transaction

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
Acquisition
SELL
SELL

of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted
of Converted

BUY
SELL
SELL

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL
SELL
SELL

Page 4 of 9

Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares
Shares

Trade Date Qnty
Price
05/04/2016
41600 $ 6.99
05/04/2016
41500 $ 7.00
05/04/2016
83400 $ 6.95
05/04/2016
14600 $ 6.97
05/04/2016
36500 $ 6.97
05/04/2016
32300 $ 6.92
05/04/2016
40800 $ 6.90
05/04/2016
14200 $ 6.94
05/04/2016
71500 $ 6.92
05/05/2016
106723 $ 6.78
05/05/2016
173500 $ 6.78
05/06/2016
47100 $ 7.00
05/06/2016
83600 $ 7.10
05/06/2016
36500 $ 7.03
12/11/2014
158900 $24.08
12/11/2014
158900 $15.00
06/08/2015
353280
06/08/2015
88912
06/08/2015
2
06/08/2015
3232338
06/08/2015
514829
06/08/2015
99194
06/08/2015
114
06/08/2015
1714
06/08/2015
50572
06/08/2015
16748
06/08/2015
2040
06/08/2015
60
06/08/2015
1178
06/08/2015
90
06/08/2015
780
06/08/2015
4058
06/08/2015
414
07/01/2015
198232 $14.75
10/01/2015
97287 $13.23
11/02/2015
30697 $14.18
12/01/2015
56163 $12.02
01/04/2016
59892 $ 11.05
01/28/2016
29100 $ 7.37
01/28/2016
28800 $ 7.38
01/29/2016
28900 $ 7.35
01/29/2016
20800 $ 7.38
01/29/2016
4200 $ 7.39
01/29/2016
3800 $ 7.36
01/29/2016
15100 $ 7.22
01/29/2016
4000 $ 7.30
01/29/2016
29000 $ 7.38
01/29/2016
9900 $ 7.38
01/29/2016
11759 $ 7.17
02/01/2016
24900 $ 7.38
02/04/2016
26500 $ 7.45
02/04/2016
72900 $ 7.55
02/04/2016
11900 $ 7.48
02/04/2016
29600 $ 7.45

Entity
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Part ners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.

Transaction

SELL
SELL
SELL
SELL
BUY
BUY

BUY
BUY
BUY
BUY

BUY
BUY
BUY
BUY

BUY
BUY

BUY
BUY
BUY
BUY
BUY

BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY
BUY
BUY

BUY
BUY
BUY

BUY
BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY

BUY
BUY

BUY
BUY
SELL
BUY
BUY
BUY
BUY

BUY
BUY
Page 5 of 9

Trade Date Qnty
Price
02/04/2016
12800 $ 7.39
02/04/2016
14659 $ 7.39
02/05/20 16
6553 $ 7.05
02/16/2016
8447 $ 7.37
02/23/2016
33600 $ 8.86
02/23/20 16
20600 $ 8.78
02/23/2016
15400 $ 8.75
02/23/2016
400 $ 8.70
02/23/2016
9800 $ 8.82
02/23/2016
7600 $ 8.78
02/23/2016
34678 $ 8.88
02/24/2016
12700 $ 8.29
41300 $ 8.28
02/24/20 16
02/24/2016
64200 $ 8.38
02/24/2016
101 00 $ 8.38
02/25/2016
72400 $ 8.45
02/25/2016
6900 $ 8. 13
02/25/20 16
6900 $ 8. 19
02/25/2016
6900 $ 8.06
02/25/20 16
6900 $ 8.32
02/25/20 16
23400 $ 8.58
02/25/2016
6800 $ 8.46
41400 $ 8.25
03/16/2016
03/16/2016
60900 $ 8.38
03/16/2016
4000 $ 8.22
03/23/20 16
29700 $ 8.21
03/23/2016
13800 $ 8.20
03/23/20 16
5200 $ 8.29
03/23/2016
6900 $ 8.22
03/23/2016
79200 $ 8.10
03/23/2016
56400 $ 8.1 8
19600 $ 8.1 2
03/24/2016
03/24/2016
39200 $ 8.2 1
03/24/2016
19500 $ 8.33
03/28/2016
27600 $ 7.69
03/28/20 16
8100 $ 7.60
03/28/20 16
2800 $ 7.56
03/28/20 16
6900 $ 7.58
03/28/2016
13800 $ 7.79
03/28/2016
6900 $ 7.73
03/28/20 16
6900 $ 7.78
03/28/2016
6900 $ 7.79
03/28/2016
25700 $ 7.75
03/29/20 16
65100 $ 7.87
03/29/20 16
900 $ 7.65
03/29/2016
100 $ 7.53
03/30/2016
11 00 $ 8.03
42342 $ 8.30
04/01 /20 16
04/05/20 16
53300 $ 7.86
04/05/20 16
34000 $ 7.97
04/06/20 16
600 $ 8.00
04/07/20 16
26400 $ 7.99
04/07/2016
20400 $ 7.89
04/07/2016
20400 $ 7.85

Entity
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners , L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners , L.P.
Valinor Capital Partners , L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners , L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.

Transaction

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
Page 6 of 9

Trade Date Qnty
Price
04/07/2016
36999 $ 7.86
04/14/2016
70800 $ 7.39
10400 $ 7.35
04/14/2016
18700 $ 7.52
04/14/2016
24189 $ 7.48
04/14/2016
04/15/2016
36200 $ 7.27
04/15/2016
121100 $ 7.36
8152 $ 7.37
04/15/2016
04/18/2016
60800 $ 7.53
27300 $ 7.54
04/18/2016
6300 $ 7.54
04/18/2016
04/19/2016
41900 $ 8.03
80500 $ 8.10
04/19/2016
04/19/2016
13600 $ 8.17
86400 $ 8.02
04/19/2016
21600 $ 8.23
04/20/2016
04/20/2016
21600 $ 8.21
18500 $ 7.40
04/25/2016
04/25/2016
10900 $ 7.45
20800 $ 7.43
04/25/2016
04/26/2016
8900 $ 7.52
04/26/2016
15300 $ 7.52
04/27/2016
410 $ 7.51
04/27/2016
1239 $ 7.52
05/02/2016
59930 $ 7.90
57400 $ 7.21
05/03/2016
6700 $ 7.07
05/03/2016
05/03/2016
4800 $ 7.07
4000 $ 7.08
05/03/2016
8100 $ 7.16
05/03/2016
05/03/2016
7100 $ 7.16
15400 $ 7.14
05/03/2016
05/03/2016
30800 $ 7.14
13500 $ 7.27
05/03/2016
6800 $ 7.25
05/03/2016
05/03/2016
6800 $ 7.23
33500 $ 7.16
05/03/2016
05/03/2016
58200 $ 7.21
2900 $ 7.37
05/03/2016
05/03/2016
56900 $ 7.17
05/03/2016
59000 $ 7.21
05/03/2016
15700 $ 7.10
05/03/2016
7200 $ 7.12
15600 $ 7 .15
05/03/2016
2500 $ 7.23
05/03/2016
05/03/2016
500 $ 7.23
05/03/2016
12500 $ 7.23
05/03/2016
15600 $ 7.15
05/03/2016
15500 $ 7.18
15600 $ 7.15
05/03/2016
05/03/2016
15500 $ 7.22
15600 $ 7.15
05/03/2016
05/03/2016
15500 $ 7.18
05/03/2016
15600 $ 7.15

Entity
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners , L.P.
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P.
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor Capital Partners, L.P .
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI , LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI , LLC
Valinor SPY VI , LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI , LLC
Valinor SPY VI , LLC
Valinor SPY VI, LLC
Valinor SPY VI , LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPV VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC

Transaction

BUY

BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY
BUY

BUY
BUY
BUY
BUY
BUY

BUY
BUY
BUY
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares

Page 7 of 9

Price
Trade Date Qnty
05/03/2016
15500 $ 7.22
05/03/2016
15600 $ 7. 15
05/03/2016
15500 $ 7.22
05/04/2016
30700 $ 6.95
05/04/2016
15400 $ 6.99
05/04/2016
15300 $ 7 .00
05/04/2016
30900 $ 6.95
05/04/2016
5400 $ 6.97
05/04/2016
13500 $ 6.97
05/04/2016
11900 $ 6.92
05/04/2016
15100 $ 6.90
05/04/2016
5200 $ 6.94
05/04/2016
26563 $ 6.92
05/05/2016
39500 $ 6.78
05/05/2016
64100 $ 6.78
05/06/2016
17400 $ 7.00
05/06/2016
31000 $ 7 . 10
05/06/2016
13500 $ 7.03
12/11/2014
353280
12/11/2014
1714
12/11/2014
1840
12/11/2014
414
12/11/2014
99194
12/11/2014
567780
12/11/2014
2
12/11/2014
2040
12/11/2014
780
12/11/2014
3367660
12/11/2014
88912
12/11/2014
18000
12/11/2014
16748
12/11/2014
1178
12/11/2014
50572
12/11/2014
4058
12/11/2014
114
12/11/2014
90
60
12/11/2014
12/11/2014
733464
2
12/11/2014
12/11/2014
5000
26234
12/11/2014
12/11/2014
816
12/11/2014
1652
12/11/2014
205940
12/11/2014
7368
12/11/2014
1207338
12/11/2014
9284
12/11/2014
8630
12/11/2014
2310
12/11/2014
166806
12/11/2014
6845190
12/11/2014
2
12/11/2014
12040
12/11/2014
109048

Entity

Transaction

Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Yalinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Yalinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC
Valinor SPY VI, LLC

Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
Acquisition of Converted Shares
SELL

BUY
BUY
SELL
SELL

BUY
SELL

BUY
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Conve rted S hares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares
Disposition of Converted Shares

Page 8 of 9

Trade Date Qnty
Price
12/1 1/20 14
44882
12/11/20 14
16152
421024
12/11/2014
12/11/2014
116
12/11/20 14
2
01/02/20 15
122740 $ 20.83
01/02/20 15
122740 $ 20.83
02/02/2015
47637 $ 16.10
02/02/2015
47637 $16.10
04/01/2015
60219 $ 18. 14
04/01/2015
602 19 $ 18. 14
06/01 /2015
72791 $ 19.04
06/01 /20 15
72791 $19.04
353280
06/08/20 15
06/08/2015
88912
06/08/20 15
99194
2
06/08/20 15
06/08/20 15
3232338
06/08/20 15
514829
50572
06/08/2015
06/08/2015
114
06/08/2015
171 4
06/08/20 15
2040
16748
06/08/2015
06/08/2015
90
06/08/20 15
60
1178
06/08/20 15
06/08/20 15
414
06/08/20 15
780
06/08/20 15
4058
733464
06/08/20 15
06/08/20 15
205940
06/08/2015
166806
06/08/2015
6845 190
06/08/2015
7368
06/08/20 15
26234
06/08/20 15
2
42 1024
06/08/20 15
06/08/2015
2
06/08/2015
2
06/08/2015
1207338
06/08/20 15
5000
06/08/20 15
9284
44882
06/08/20 15
06/08/20 15
161 52
06/08/2015
1652
06/08/20 15
8630
06/08/20 15
11 6
06/08/20 15
8 16
06/08/20 15
109048
06/08/20 15
2310
06/08/2015
12040
06/08/20 15
602 19
06/08/20 15
72791

Entity

Transaction

Valinor SPY VI, LLC

Dis osition of Converted Shares

Page 9 of 9

Trade Date Qnt
Price
06/08/2015
75103

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.BODNAR RICHARD A.
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LOWENSTEIN SANDLER
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1261 AVENUE OF THE AMERICAS, 18FL~
NEW YORK, NY 10020
UNITED STATES US

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CLAIMS ADMINISTRATOR) EXCLUSIONS
C/0 GILARDI &CO. LLC
3301 KERNER BLVD.
SAN RA~AEL CA 94901

(973) s91-2s00

PO: 622291822

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JUN 2 5 2018

· CLAIMS CENTER

Exclusion Cover Page
Case Name: LendingClub Securities Litigation
Case Code: LBS
Exclusion Deadline: June 25, 2018 (Received Date)
Name of Person Filing Exclusion: Alger Entities

,
Richard A. Bodnar

Lowenstein
Sandler

Counsel

1251 Avenue of the Americas
New York, New York 10020

T: 973.422.6476
F: 973.422.6477
E: [e-mail]

June 22, 2018
VIA OVERNIGHT MAIL, FEDEX, AND EMAIL

LendingClub Securities Litigation
Claims Administrator
EXCLUSIONS
c/o Gilardi & Co. LLC
3301 Kerner Blvd.
San Rafael, CA 94901

Re:

In re LendingClub Securities Litigation, Case No. 3:16-cv-02627-WHA (N.D. Cal.)
Exclusion Request of the Alger Entities

Dear Claims Administrator:
This firm represents the Alger Entities (defined herein). Pursuant to the Notice of Pendency and
Proposed Settlement of Class Action, approved by the Northern District of California in relation
to the above captioned matter (the "Notice") the Alger Entities, defined herein hereby request
to be excluded from the Class and do not wish to participate in the settlement in In re
LendingC!ub Securities Litigation, Case No. 3:16-cv-02627-WHA (N.D. Cal.). For the
avoidance of doubt, each and -every one of the Alger Entities defined herein hereby requests to
be excluded from the Class and do not wish to pa11icipate in the settlement in In re LendingC!ub
Securities Litigation, Case, No. 3:16-cv-02627-WHA (N.D . Cal.).
The Alger Entities are represented by counsel and have filed an independent action against
certain class defendants. To contact the Alger Entities, any and all correspondence should be
directed to:
Lawrence M. Rolnick
Marc B. Kramer
Richard A. Bodnar
Lowenstein Sandler LLP
1251 Avenue of the Americas
New York, NY 10020
[e-mail]
[e-mail]
[e-mail]
T: 973.597.2468
Fax: [phone]

NEW YORK

PALO ALTO

NEW JERSEY

UTAH

WASHINGTON, D.C.

Lowenstein Sandler LLP

;

Page2

Pursuant to the Notice, the above information shall also be considered the contact information
for the Alger Entities. This exclusion request is being signed by Richard A. Bodnar, an attorney
at Lowenstein Sandler LLP representing the Alger Entities, with Mr. Bodnar acting as authorized
representative of the Alger Entities for purposes of this exclusion request.
The trade data requested by the Notice, Section 13, is annexed hereto. We note that for many of
the Alger Entities, they are Series or Sub-funds of an 'umbrella' entity. While the trades shown
are shown at the legally cognizable Series or Sub-fund level, for the avoidance of all doubt, the
umbrella entities are also included herein.
The Alger Entities are:
Fred Alger Investment Management, Inc.;
The Alger Funds;
The Alger Funds II;
The Alger Institutional Funds;
Alger SICA V;
The Alger Portfolios;
Alger Associates, Inc.;
Alger American Asset Growth Fund, a Sub-Fund of Alger SICAV;
Alger Capital Appreciation Fund, a Series of The Alger Funds;
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional Funds;
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios;··
Alger Collective Trust Capital Appreciation Series;
Alger Dynamic Return Fund, LLC;
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II;
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios;
Alger Mid Cap Growth Fund, a Series of The Alger Funds;
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds;
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios;
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV;
Alger Small Cap Growth Fund, a Series of The Alger Funds;
Alger Small Cap Growth Institutional Fund, a Series of The Alger Institutional Funds;
Alger Small Cap Growth Portfolio, a Series of The Alger Portfolios;
Alger SMid Cap Focus Fund, a Series of The Alger Funds;
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios;
Alger Spectra Fund, a Series of The Alger Funds II;
Brisson Fund;
Carpenters Pension Trust Fund for N011hem California;
Carpenters Annuity Trust Fund for Northern California;
Kaiser Foundation Hospitals;
Kaiser Permanente Group Trust;
The Kem Family Foundation, Inc.;
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA;
Oklahoma Firefighters Pension and Retirement Fund;

Lowenstein
Sandler

Page 3

Philadelphia Gas Works Pension Plan;
Purdue Research Foundation;
Steelworkers Pension Trust;
Teamsters Pension Trust Fund of Philadelphia and Vicinity;
Wichita Retirement Systems;
The Lutheran Foundation;
UFCW Local 1262 and Employers Pension Fund;
Waterfront Employers - ILA Pension Fund.

Respectfully Submitted,

. .....
Richard A. Bodnar
Lowenstein Sandler LLP
Attorneys For, and Authorized Representative of, the Alger Entities
Enclosure

Lowenstein
Sandler

Name
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
AJger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger American Asset Growth Fund,
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.

a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund
a Sub-Fund

of Alger SICAV
of Alger SICAV
of Alger SICAV
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICAV
of Alger SICA V
of Alger SICA V
of Alger SICAV
of Alger SICAV
of Alger SICA V
of Alger SICA V
of Alger SICAV
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICA V
of Alger SICAV

Page 1 of 23

Date
12/11/2014
12/11/2014
8/4/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
9/16/2015
9/25/2015
9/28/2015
9/30/2015
10/29/2015
10/29/2015
11/24/2015
12/7/2015
12/9/2015
12/9/2015
12/11/2015
12/31/2015
1/5/2016
2/5/2016
2/17/2016
2/19/2016
3/10/2016
3/22/2016
5/6/2015
5/8/2015
5/27/2015
6/8/2015
6/10/2015
7/7/2015
8/4/2015

Trans.

BUY
SELL

BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL
SELL

BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY
SELL

BUY
BUY
SELL

BUY
BUY
BUY
SELL
SELL

Qnty
1,550
1,550
92,850
11,850
3,050
3,750
25 ,650
3,100
20,100
18,350
95,600
44,950
30,049
26,150
1,900
3,500
3,850
16,100
9,050
20,500
14,000
1, 100
7,200
13,200
650
466
159
152
155
322
70
111

Price
15.00
22.53
13.75
14.23
14.28
14.04
13.97
13.02
13.22
13 .02
13.16
13.57
13.45
12.08
13.14
13.95
14.02
13.79
10.99
11.05
7.01
8.24
8.90
9.09
8.43
18.45
16.44
18.88
18.01
17.37
13.93
13.56

Name
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Associates, Inc.
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series
Alger Capital Appreciation Fund, a Series

of The
of The
of The
of The
of The
of The
of The
of The
of The
of The
of The
of The
of The
of The
of The
of The
of The
of The

Date
8/4/2015
8/5/2015
8/5/2015
8/5/2015
9/25/2015
9/28/2015
10/23/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/11/2015
2/18/2016
3/8/2016
6/8/2015
6/10/2015
8/4/2015
8/5/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
10/30/2015
11/24/2015
12/7/2015
12/8/2015
12/9/2015
12/9/2015

Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Alger Funds
Page 2 of 23

Trans.

BUY
BUY
BUY
BUY
SELL
SELL
SELL

BUY
BUY
SELL

BUY
BUY
SELL
SELL

BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL
SELL

BUY
BUY
BUY
BUY

Qnty
530
100
100
287
721
170
290
179
118
241
64
158
331
14
119,500
128,100
43,100
69,500
71,700
18,500
22,700
96, 100
61 ,300
72,300
31,400
20,900
335,700
94,045
129,269
41,500
8,900
19,900

Price
13 .75
14.62
14.52
14.28
13 .22
13 .02
14.32
13.57
13.45
12.08
14.02
13.82
8.34
9.07
18.01
17.37
13.56
14.41
14.23
14.28
14.04
13 .97
13.22
13.02
13.57
13.45
14.13
12.08
13.33
13.25
13 .95
14.02

Name
Alger Capital Appreciation Fund, a Series of The Alger Funds
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Institutional Fund, a Series of The Alger Institutional
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Page 3 of 23

Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds
Funds

Date
12/11/2015
6/23/2015
6/24/2015
6/25/2015
8/4/2015
8/5/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
10/30/2015
11/24/2015
12/7/2015
12/8/2015
12/9/2015
12/9/2015
12/11/2015
12/11/2014
12/11/2014
8/6/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
8/26/2015
9/4/2015
9/25/2015
9/28/2015

Trans.

BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL
SELL

BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL

Qnty
Price
66,100
13.79
170,500
16.53
128,600
16.37
154,500
15.87
67,900
13.56
105,100
14.41
105,100
14.23
27,000
14.28
33,300
14.04
142,500
13.97
96,200
13.22
108,500
13.02
49,100
13.57
32,700
13.45
505,900
14.13
141,855
12.08
193,300
13.33
62,000
13.25
8,900
13.95
33,300
14.02
99,800
13.79
1,200
15.00
1,200
22.53
64,000
13.93
20,600
14.23
5,300
14.28
6,600
14.04
20,400
13.97
2,400
11.96
3,000
11.99
12,900
13.22
16,500
13.02

Name
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Capital Appreciation Portfolio, a Series of The Alger Portfolios
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Collective Trust Capital Appreciation Series
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Page 4 of 23

Date
10/15/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/9/2015
12/11/2015
2/5/2016
3/10/2016
8/6/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
8/21/2015
9/22/2015
9/25/2015
9/28/2015
9/30/2015
10/13/2015
10/16/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/11/2015
1/5/2016
2/5/2016
3/8/2016
3/10/2016
5/26/2015
7/2/2015

Trans.

BUY
BUY
BUY
SELL

BUY
BUY
BUY
SELL
SELL

BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL
SELL

BUY
SELL

BUY
BUY
SELL

BUY
BUY
SELL
SELL

BUY
SELL

BUY
BUY

Qnty
1,800
7,600
5,100
25,000
1,800
4,900
15,500
16,300
11,000
7,400
5,320
1,370
1,680
3,605
1,590
320
1,265
2,730
6,660
860
7,065
185
120
970
250
620
400
565
1,365
585
26,400
5,000

Price
14.61
13.57
13.45
12.08
13.95
14.02
13.79
7.01
9.09
13.93
14.23
14.28
14.04
13.92
12.18
13.67
13.22
13.02
13.22
14.27
14.39
13.57
13.45
12.08
14.02
13.82
10.90
7.01
9.00
9.12
18.46
13.69

Name
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Series of The Alger Funds II
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICA V
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICA V
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Opportunities Fund, a Sub-Fund of Alger SICAV
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Page 5 of 23

Date
7/20/2015
8/4/2015
8/4/20 15
8/5/2015
8/5/2015
8/5/2015
9/2/2015
12/8/2015
2/10/2016
3/2/2016
3/16/2016
4/20/2016
4/25/2016
5/26/2015
7/2/2015
7/20/2015
8/4/2015
8/4/2015
8/5/2015
8/5/201 5
8/5/2015
9/2/2015
12/8/2015
2/10/2016
3/2/2016
3/16/2016
4/20/2016
5/26/2015
7/2/2015
7/20/2015
8/4/2015
8/4/2015

Trans.

BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
SELL

BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY

Qnty
4,560
15,755
24,085
3,585
14,275
4,670
25,250
15,840
34,365
69,640
13,765
60,195
11 ,325
12,000
2,000
2,034
4,671
6,35 1
1,814
7,230
2,367
13,080
5,503
11 ,935
24, 190
2,640
21,630
6,400
1, 100
1,089
2,470
1,808

Price
14.66
13.34
13.75
14.33
14.20
14.28
12.17
13.77
6.53
9.07
8.23
8.31
7.55
18.46
13.69
14.66
13.34
13.75
14.33
14.20
14.28
12.17
13.77
6.53
9.07
8.23
8.31
18.46
13.69
14.66
13.34
13.75

Name
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund; LLC
Alger Dynamic Return Fund, LLC
Alger Dynamic Return Fund, LLC
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,
Alger Large Cap Growth Portfolio,

a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
a Series of The Alger Portfolios
Page 6 of 23

Date
8/5/2015
8/5/2015
8/5/2015
9/2/2015
12/8/2015
2/10/2016
3/2/2016
4/20/2016
5/4/2015
5/5/2015
5/7/2015
5/12/2015
5/26/2015
5/29/2015
6/29/2015
7/1/2015
8/3/2015
8/6/2015
8/11/2015
8/21/2015
8/21/2015
8/25/2015
8/27/2015
9/17/2015
9/21/2015
9/22/2015
10/1/2015
10/1/2015
10/9/2015
10/20/2015
10/27/2015
11/4/2015

Trans.

BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL

Qnty
1,186
4,735
1,553
6,719
2,953
6,405
12,980
12,080
68,373
20,677
2,100
1,900
11,400
29,400
23,400
35,700
3,700
171,100
98,400
24,600
36,900
20,100
12,000
22,300
38,000
11,800
8,500
36,600
41,600
26,000
3,100
5,400

Price
14.33
14.20
14.28
12.17
13.77
6.53
9.07
8.31
18.19
17.83
17.15
17.03
18.49
19.24
14.48
14.74
14.25
13.83
13.99
12.28
12.17
12.07
12.23
13.51
13.68
13.66
13.11
13.10
14.71
14.17
13.47
14.62

Name
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Large Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Page 7 of 23

Date
11/5/2015
12/2/2015
12/3/2015
12/21/2015
1/4/2016
1/5/2016
1/7/2016
1/11/2016
1/11/2016
1/12/2016
1/29/2016
2/1/2016
2/2/2016
2/5/2016
2/8/2016
2/22/2016
3/1/2016
3/18/2016
4/5/2016
4/6/2016
4/12/2016
4/15/2016
4/19/2016
4/22/2016
5/3/2016
5/5/2016
12/11/2014
12/11/2014
2/19/20 15
2/23/2015
2/24/2015
2/24/2015

Trans.
SELL

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL

BUY
SELL
SELL

BUY
SELL
SELL

BUY
BUY
BUY
SELL

BUY
BUY
SELL

BUY
SELL

BUY
SELL

BUY
BUY
BUY
BUY

Qnty
8,400
31 ,700
45,100
52,500
19,900
16,200
35,500
43,300
71,700
15,600
2,200
39,900
10,300
24,500
44,200
31, 100
17,500
56,300
54,600
106,000
29,500
138,500
99,400
28,900
94,900
13,700
500
500
22,400
12,600
9,600
8,700

Price
14.11
12.48
12.78
11.45
10.97
I 1.06
9.38
9.35
9.32
9.39
7.35
7.46
6.99
7.0 1
6.70
9.04
8.62
8.73
7.99
8. 18
7.37
7.35
8.04
7.63
7.16
6.84
15.00
24.65
22.42
23.40
24.38
23.14

Name
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Fund, a Series of The Alger Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Seiies of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Page 8 of 23

Date
2/25/2015
3/19/2015
4/27/2015
4/29/2015
5/1/2015
5/8/2015
5/8/2015
5/14/2015
6/11/2015
10/30/2015
2/8/2016
2/23/2016
3/15/2016
12/11/2014
12/11/2014
2/19/2015
2/23/2015
2/24/2015
2/24/2015
2/25/2015
3/19/2015
4/27/2015
4/29/2015
5/1/2015
5/8/2015
5/8/2015
5/14/2015
6/11/2015
8/13/2015
8/18/2015
10/30/2015
2/8/2016

Trans.

BUY
SELL

BUY
BUY
BUY
SELL
SELL
SELL

BUY
SELL
SELL
SELL
SELL

BUY
SELL

BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
SELL
SELL
SELL

BUY
SELL
SELL
SELL
SELL

Qnty
Price
50,900
19.91
16,500
19.67
11,500
18.39
5,700
17.52
22,800
17.55
3,800
17.15
25,700
16.44
30, 100
16.95
6,000
17.33
13,500
14.13
10,900
6.74
8,500
8.73
14,100
8.64
400
15.00
400
24.65
17,000
22.42
9,739
23.40
7,16 1
24.38
6,600
23 .14
38,500
19.91
12,500
19.67
8,700
18.39
4,300
17.52
17,600
17.55
2,800
17.15
19,600
16.44
22,900
16.95
4,600
17.33
800
13.94
1,900
13.17
9,800
14.1 3
7,600
6.74

Name
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Mid Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Small Cap Growth Fund, a Series of The Alger Funds
Alger Small Cap Growth Fund, a Series of The Alger Funds
Alger Small Cap Growth Fund, a Series of The Alger Funds
Alger Small Cap Growth Fund, a Series of The Alger Funds
Alger Small Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Small Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Small Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Small Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Small Cap Growth Institutional Fund, a Series of The Alger Institutional Funds
Alger Small Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Small Cap Growth Portfolio, a Series of The Alger Portfolios
Page 9 of 23

Date
2/23/2016
3/15/2016
12/11/2014
12/11/2014
2/19/2015
2/23/2015
2/24/2015
2/24/2015
2/25/2015
3/19/2015
4/27/2015
4/29/2015
5/1/2015
5/8/2015
5/8/2015
5/14/2015
6/11/2015
10/30/2015
2/8/2016
2/23/2016
3/15/2016
4/14/2016
4/21/2016
4/27/2016
5/4/2016
4/14/2016
4/21/2016
4/27/2016
5/4/2016
5/6/2016
4/14/2016
4/21/2016

Trans.
SELL
SELL

BUY
SELL

BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
SELL
SELL
SELL

BUY
SELL
SELL
SELL
SELL

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY

Qnty
5,900
11,500
400
400
17,500
9,800
7,400
6,700
39,600
12,900
8,900
4,400
17,700
2,900
20,000
23,400
4,600
10,300
8,200
6,400
12,000
43 ,500
34,800
93,600
46,400
83 ,650
66,900
179,950
89,150
11,500
60,600
48,500

Price
8.73
8.64
15.00
24.65
22.42
23.40
24.38
23.14
19.91
19.67
18.39
17.52
17.55
17.15
16.44
16.95
17.33
14.13
6.74
8.73
8.64
7.37
7 .76
7.95
6.96
7.37
7.76
7.95
6.96
7.05
7.37
7.76

Name
Alger Small Cap Growth Portfolio, a Series of The Alger Portfolios
Alger Small Cap Growth Portfolio, a Series of The Alger Portfolios
Alger SM id Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SM id Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SM id Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SM id Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SM id Cap Focus Fund, a Series of The Alger Funds
Alger SM id Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Fund, a Series of The Alger Funds
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SM id Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SM id Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SM id Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SM id Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Alger SMid Cap Focus Portfolio, a Series of The Alger Portfolios
Page 10 of 23

Date
4/27/2016
5/4/2016
12/11/2014
12/11/2014
1/6/2016
1/11/2016
1/12/2016
1/13/2016
2/1/2016
2/3/2016
3/2/2016
3/3/2016
3/17/2016
4/5/2016
4/6/2016
4/13/2016
4/14/2016
5/3/2016
12/11/2014
12/11/2014
1/6/2016
1/11/2016
1/12/2016
1/13/2016
2/1/2016
2/3/2016
3/2/2016
3/3/2016
4/5/2016
4/6/2016
4/12/2016
4/14/2016

Trans.

BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
SELL

BUY
BUY
SELL

BUY
SELL

BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
SELL

BUY

Qnty
Price
130,400
7.95
64,600
6.96
2,450
15.00
2,450
24.65
83,650
10.32
100,850
9.24
85,300
9.41
32,200
8.96
64,300
7.46
74,050
7.30
15,900
9.09
90,400
9.54
19,400
8.43
66,200
7.99
128,600
8.18
8,900
7.59
95 ,400
7.37
171 ,550
7.09
105
15.00
105
24.65
10.32
820
9.24
990
835
9.41
365
8.96
640
7.46
865
7.30
135
9.09
9.54
935
658
7.99
1,397
8.18
165
7.51
1,010
7.37

Name
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II

Date
12/11/2014
12/11/2014
5/6/2015
5/8/2015
5/28/2015
5/29/2015
6/4/2015
6/8/2015
6/10/2015
7/7/2015
7/7/2015
8/4/2015
8/4/2015
8/5/2015
8/5/2015
8/5/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
10/30/2015
11/24/2015
12/7/2015
12/8/2015
12/9/2015
12/9/2015
12/11 /20 15
12/31/2015
Page 11 of 23

Trans.

BUY
SELL

BUY
SELL

BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL
SELL

BUY
BUY
BUY
BUY
BUY
BUY

Qnty
Price
10,810
15.00
10,810
22.53
430,000
18.45
147,000
16.44
34,581
18.80
44,111
19.03
63,289
18.62
140,900
18.01
298,900
17.37
65 ,000
13.93
25,000
13.92
103,100
13.56
220,800
13.75
30,800
14.62
24,900
14.52
96,600
14.28
100,800
14.23
25,900
14 .28
31,900
14.04
56,300
13.97
275,100
13.22
158,400
13.02
70,600
13.57
47,100
13.45
489,400
14. 13
232,600
12.08
144,800
13.33
46,500
13.25
17,700
13.95
45,200
14.02
146,000
13.79
81,200
10.99

Date
1/5/2016
2/5/2016
3/10/2016
1/6/2016
1/12/2016
1/14/2016
2/2/2016
2/4/2016
3/3/2016
4/5/2016
4/8/2016
4/14/2016
8/6/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/24/2015
11/27/2015
12/9/2015
12/11/2015
12/31/2015
1/5/2016
1/29/2016
2/2/2016
2/5/2016
3/10/2016
8/6/2015
8/10/2015

Name
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Alger Spectra Fund, a Series of The Alger Funds II
Brisson Fund
Brisson Fund
Brisson Fund
Brisson Fund
Brisson Fund
Brisson Fund
Brisson Fund
Brisson Fund
Brisson Fund
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Annuity Trust Fund for Northern California
Carpenters Pension Trust Fund for Northern California
Carpenters Pension Trust Fund for Northern California
Page 12 of 23

Trans.
BUY
SELL
SELL
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
BUY
BUY
SELL
BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL
BUY
BUY

Qnty
Price
184,700
11.05
63,900
7.01
106,400
9.09
10.36
395
780
9.45
225
8.35
265
7.01
505
7.56
420
9.50
475
8.00
525
7.84
445
7.45
2,969
13.93
2,645
14.22
403
14.04
1,501
13.95
152
13.22
], 192
13.02
1,912
13.57
1,272
13.45
4,841
12.08
12.47
96
1,238
14.02
3,107
13.82
1,867
11.00
2,516
11.06
226
7.34
1,978
6.97
4,677
7.01
2,244
9.12
5,746
13.93
5,129
14.22

Name
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Carpenters Pension Trust Fund for
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals

Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern
Northern

Date
Trans.
8/11/2015 BUY
8/12/2015 BUY
9/25/2015 SELL
9/28/2015 SELL
10/29/2015 BUY
10/29/2015 BUY
11/24/2015 SELL
11/27/2015 BUY
12/9/2015 BUY
12/11/2015 BUY
12/31/2015 BUY
1/5/2016 BUY
1/8/2016 BUY
1/29/2016 BUY
2/2/2016 SELL
2/5/2016 SELL
3/10/2016 SELL
12/11/2014 BUY
12/11/2014 SELL
6/23/2015 BUY
6/24/2015 BUY
8/4/2015 SELL
8/6/2015 BUY
8/10/2015 BUY
8/11/2015 BUY
8/12/2015 BUY
9/25/2015 SELL
9/28/2015 SELL
10/29/2015 BUY
10/29/2015 BUY
11/24/2015 SELL
12/9/2015 BUY

California
California
California
California
California
California
California
California
California
California
California
California
California
California
California
California
California

Page 13 of 23

Qnty
777
2,914
299
2,305
2,461
1,638
6,666
370
1,715
4,304
2,590
3,489
163
347
3,192
6,486
3,122
380
380
7,380
5,550
3,460
6,630
8,620
3,060
5,920
2,990
4,940
2,130
1,420
7,160
1,830

Price
14.04
13.95
13.22
13.02
13.57
13.45
12.08
12.47
14.02
13.82
11.00
11.06
9.44
7.34
6.97
7.01
9.12
15.00
22.53
16.53
16.35
13.56
13.93
14.24
14.04
13.96
13.22
13.02
13.57
13.45
12.08
14.02

Date
12/11/2015
12/31/2015
1/5/2016
1/8/2016
2/2/2016
2/5/2016
3/10/2016
4/29/2016
12/11/2014
12/11/2014
6/23/2015
6/24/2015
6/25/2015
8/4/2015
8/6/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/11/2015
12/31/2015
1/5/2016
1/8/2016
2/2/2016
2/5/2016
3/10/2016
8/4/2015

Name
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Foundation Hospitals
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Kaiser Permanente Group Trust
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Page 14 of 23

Trans.

BUY
BUY
BUY
BUY
SELL
SELL
SELL

BUY
BUY
SELL

BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL

BUY

Qnty
4,590
2,760
3,720
150
3,040
6,970
3,340
130
900
900
15,500
11,600
11,700
6,900
12,200
12,200
4,400
12,500
8,900
10,400
4,500
3,000
15,000
3,800
9,600
5,700
7,700
600
6,500
14,600
7,000
5,475

Price
13.82
11.00
11.06
9.44
6.97
7.01
9.09
7.90
15.00
22.53
16.53
16.35
15.95
13.56
13.93
14.24
14.04
13.96
13.22
13.02
13.57
13.45
12.08
14.02
13.82
11.00
11.06
9.44
6.97
7.01
9.12
13.75

Date
8/10/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/11/2015
2/5/2016
3/10/2016
12/11/2014
l 2/19/2014
8/6/2015
8/10/2015
8/11/2015
8/12/2015
8/25/2015
8/25/2015
8/25/2015
8/25/2015
8/25/2015
8/26/2015
8/26/2015
8/26/2015
8/26/2015
8/27/2015
8/27/2015
8/27/2015
8/28/2015

Name
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Laborer's Local 57 Industrial Pension Fund of Philadelphia, PA
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Page 15 of 23

Trans.

BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL

BUY
BUY
SELL
SELL

BUY
SELL

BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY
BUY

Qnty
675
175
215
1,435
1,270
1,085
455
295
1,550
395
995
815
730
300
300
13,115
I 1,345
4,030
7,205
985
1,084
1,074
8,751
230
2,493
10,827
313
1,989
3,938
897
6,89 1
12,959

Pdce
14.23
14.28
14.04
13.92
13.22
13.02
13.57
13.45
12.08
14.02
13.82
7.01
9.12
15.00
25.71
13.93
14.24
14.04
13.96
11.99
12.04
12.04
12.04
12.00
11.90
12.02
11.90
12.10
12.32
12.34
12.34
12.72

Name
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters
Oklahoma Firefighters

Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension
Pension

Date
Trans.
8/28/2015 BUY
8/28/2015 BUY
8/31/2015 BUY
9/1/2015 BUY
9/1/2015 BUY
9/1/2015 BUY
9/2/2015 BUY
9/2/2015 BUY
9/25/2015 SELL
9/28/2015 SELL
I 0/29/2015 BUY
10/29/2015 BUY
11/24/2015 SELL
11/24/2015 BUY
11/24/2015 BUY
11/24/2015 BUY
11/25/2015 BUY
11/30/2015 BUY
11/30/2015 BUY
11/30/2015 BUY
12/1/2015 BUY
12/1/2015 BUY
12/4/2015 BUY
12/4/2015 BUY
12/7/2015 BUY
12/9/2015 BUY
12/11/2015 BUY
12/17/2015 BUY
12/17/2015 BUY
12/17/2015 BUY
12/17/2015 BUY
12/17/2015 BUY

and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
and Retirement Fund
Page 16 of 23

Qnty

214
268
2,447
6,977
1,485
1,198
1,407
2,483
3,060
5,105
2,195
1,455
7,345
4,681
1,872
1,244
144
105
1,796
3,240
1,338
2,434
380
3,790
28
1,875
4,715
9,679
242
152
1,810
1,694

Price
12.74
12.65
12.59
12.08
12.09
12.05
12.05
12.27
13.22
13.02
13.57
13.45
12.08
12.17
12.17
12.12
12.33
12.03
11.98
12.01
12.06
12.08
12.60
12.74
12.88
14.02
13.82
12.29
12.14
12.11
12.17
12.18

Date
Trans.
12/18/2015 BUY
12/18/2015 BUY
12/18/2015 BUY
12/21/2015 BUY
12/21/2015 BUY
12/21/2015 BUY
12/31/2015 BUY
1/5/2016 BUY
2/2/2016 SELL
2/3/2016 BUY
2/3/2016 BUY
2/4/2016 BUY
2/5/2016 SELL
2/24/2016 BUY
2/24/2016 BUY
2/24/2016 BUY
2/25/2016 BUY
2/26/2016 BUY
3/10/2016 SELL
6/23/2015 BUY
6/25/2015 BUY
8/4/2015 SELL
8/10/2015 BUY
8/10/2015 BUY
8/11/2015 BUY
8/12/2015 BUY
9/25/2015 SELL
9/28/2015 SELL
10/29/2015 BUY
10/29/2015 BUY
11/24/2015 SELL
12/9/2015 BUY

Name
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Oklahoma Firefighters Pension and Retirement Fund
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Page 17 of 23

Qnty
925
5,956
2,290
142
2,964
2,015
2,830
3,820
3,110
99
6,367
79
7,135
243
1,319
8,106
2,675
304
3,405
1,710
2,580
1,460
2,030
520
640
1,380
560
1,110
470
320
1,590
390

Price
11.49
11.53
11.58
11.45
11.45
11.44
11.00
11.06
6.97
7.15
7.37
7.77
7.01
8.21
8.23
8.22
8.14
8.25
9.12
16.53
15.80
13.77
14.23
14.28
14.04
13.92
13.22
13.02
13.57
13.45
12.08
14.02

Date
12/11/2015
2/5/2016
3/10/2016
8/6/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/23/2015
11/24/2015
12/9/2015
12/11/2015
12/31/2015
12/31/2015
1/5/2016
2/2/2016
2/5/2016
3/10/2016
8/6/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015

Name
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Philadelphia Gas Works Pension Plan
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Purdue Research Foundation
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Steelworkers Pension Trust
Page 18 of 23

Trans.

BUY
SELL
SELL

BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL
SELL

BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL

BUY
BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL

BUY

Qnty
990
910
710
6,680
5,250
2,000
3,710
1,095
2,670
1,145
755
650
3,675
940
2,355
1,415
200
1,915
1,790
3,565
1,700
3,595
2,585
665
815
1,755
515
1,435
620
410
2,070
530

Price
13.82
7.01
9.12
13.93
14.24
14.05
13.95
13.22
13.02
13.57
13.45
12.35
12.08
14.02
13.82
11.00
10.99
11.06
6.97
7.01
9.12
13.93
14.23
14.28
14.04
13.92
13.22
13.02
13.57
13.45
12.08
14.02

Name
Steelworkers Pension Trust
Steelworkers Pension Trust
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
Teamsters Pension Trnst Fund of Philadelphia and
Teamsters Pension Trust Fund of Philadelphia and
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.
The Kern Family Foundation, Inc.

Date
12/11/2015
2/5/2016
12/11/2014
12/11/2014
8/6/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/11/2015
12/31/2015
1/5/2016
2/2/2016
2/5/2016
3/10/2016
12/11/2014
12/11/2014
8/6/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/24/2015

Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity
Vicinity

Page 19 of 23

Trans.

BUY
SELL

BUY
SELL

BUY
BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL

BUY
BUY
BUY
BUY
SELL
SELL
SELL

BUY
SELL

BUY
BUY
BUY
BUY
SELL
SELL

BUY
BUY
SELL

Qnty
1,325
1,015
115
115
4,215
3,035
785
960
2,045
600
1,690
730
480
2,425
620
1,555
935
1,255
1,025
2,360
1,115
100
100
3,500
3,150
450
1,800
250
1,400
600
450
2,000

Price
13.82
7.01
15.00
22.53
13.93
14.23
14.28
14.04
13.92
13.22
13.02
13.57
13.45
12.08
14.02
13.82
11.00
11.06
6.97
7.01
9.12
15.00
22.53
13.93
14.22
14.04
13.95
13.22
13.02
13.57
13.45
12.08

Name
The Kern Family Foundation,
The Kern Family Foundation,
The Kern Family Foundation,
The Kern Family Foundation,
The Kern Family Foundation,
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation

Date
12/3/2015
12/9/2015
12/11/2015
2/5/2016
3/10/2016
5/4/2015
5/5/2015
5/7/2015
5/8/2015
5/12/2015
5/26/2015
5/29/2015
6/29/2015
7/1/2015
8/3/2015
8/6/2015
8/11/2015
8/21/2015
8/21/2015
8/25/2015
8/27/2015
9/17/2015
9/18/2015
9/21/2015
10/1/2015
10/1/2015
10/9/2015
10/20/2015
10/27/2015
11/4/2015
11/5/2015
12/2/2015

Inc.
Inc.
Inc.
Inc.
Inc.

Page 20 of 23

Trans.
SELL

BUY
BUY
SELL
SELL

BUY
BUY
SELL
SELL
SELL

BUY
BUY
BUY
BUY
SELL

BUY
BUY
BUY
BUY
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL
SELL

BUY

Qnty
950
450
1,050
900
800
2,175
675
70
130
50
350
900
715
1,000
360
5,040
2,875
720
1,075
315
365
685
195
1,095
200
1,160
895
810
85
160
265
560

Price
12.75
14.02
13.82
7.01
9.12
18.19
17.83
17.10
16.30
17.04
18.49
19.24
14.48
14.74
14.32
13.83
14.01
12.28
12.17
12.07
12.35
13.51
13.54
13.68
13.11
13.10
14.71
14.17
13.45
14.64
14.11
12.48

Name
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
The Lutheran Foundation
UFCW Local 1262 and Employers
UFCW Local 1262 and Employers
UFCW Local 1262 and Employers
UFCW Local 1262 and Employers
UFCW Local 1262 and Employers
UFCW Local 1262 and Employers

Date
12/3/2015
12/14/2015
12/21/2015
1/4/2016
1/5/2016
1/7/2016
1/11/2016
1/11/2016
1/12/2016
1/29/2016
2/1/2016
2/2/2016
2/5/2016
2/8/2016
2/22/2016
3/1/2016
3/18/2016
3/21/2016
4/5/2016
4/6/2016
4/12/2016
4/15/2016
4/19/2016
4/22/2016
5/3/2016
5/5/2016
8/6/2015
8/10/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015

Pension Fund
Pension Fund
Pension Fund
Pension Fund
Pension Fund
Pension Fund
Page 21 of 23

Trans.
BUY
SELL
BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
BUY
SELL
SELL
BUY
SELL
SELL
BUY
BUY
BUY
BUY
SELL
BUY
BUY
SELL
BUY
SELL
BUY
BUY
BUY
BUY
BUY
SELL

Qnty
1,345
1,030
1,415
560
520
965
1,175
1,945
370
40
1,090
200
630
1,215
700
490
1,350
215
1,565
3,045
600
3,910
2,805
760
2,685
290
4,840
3,485
900
1,105
2,360
665

Price
12.75
12.97
11.45
10.97
11.06
9.40
9.27
9.32
9.40
7.34
7.46
7.00
7.01
6.65
9.06
8.62
8.77
8.70
7.99
8.18
7.37
7.35
8.04
7.63
7.18
6.84
13.93
14.23
14.28
14.04
13.92
13.22

Name
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
UFCW Local 1262 and Employers Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Waterfront Employers - ILA Pension Fund
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems

Date
9/28/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/9/2015
12/11/2015
12/31/2015
12/31/2015
1/5/2016
1/8/2016
2/2/2016
2/5/2016
3/10/2016
8/6/2015
8/10/2015
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/11/2015
1/8/2016
2/5/2016
3/10/2016
12/11/2014
12/11/2014
8/6/2015
8/10/2015
Page 22 of 23

Trans.
SELL
BUY
BUY
SELL
SELL
BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL
BUY
BUY
BUY
BUY
SELL
SELL
BUY
BUY
SELL
BUY
BUY
BUY
SELL
SELL
BUY
SELL
BUY
BUY

Qnty
1,945
835
550
2,795
545
665
1,665
1,000
140
1,355
45
1,725
2,430
1,165
2,170
1,930
300
1,095
120
870
375
245
1,250
320
800
20
630
575
300
300
9,500
8,450

Price
13.02
13.57
13.45
12.08
13.78
14.02
13.82
11.00
11.00
11.06
9.44
6.97
7.01
9.12
13.93
14.22
14.04
13.95
13.22
13.02
13.57
13.45
12.08
14.02
13.82
9.44
7.01
9.12
15.00
22.53
13.93
14.22

Name
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems
Wichita Retirement Systems

Date
8/11/2015
8/12/2015
9/25/2015
9/28/2015
10/29/2015
10/29/2015
11/24/2015
12/9/2015
12/11/2015
12/31/2015
12/31/2015
1/5/2016
1/8/2016
2/2/2016
2/5/2016
3/10/2016

Page 23 of 23

Trans.

BUY
BUY
SELL
SELL

BUY
BUY
SELL

BUY
BUY
BUY
BUY
BUY
BUY
SELL
SELL
SELL

Qnty
1,300
4,800
600
3,800
1,600
1,100
5,450
1,400
3,500
2,150
350
2,800
250
2,900
5,300
2,500

Price
14.04
13.95
13.22
13 .02
13.57
13.45
12.08
14.02
13.82
11.00
11.00
11.06
9.46
6.97
7.01
9.12

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