SOPHROSYNE CAPITAL LLC Information

156 EAST 36TH STREET, NEW YORK, New York, 10016, (212) 444-2500

Report Date: 12/31/2013

Position Statistics

Total Positions 85
New Positions 19
Increased Positions 30
Decreased Positions 54
Positions with Activity 84
Sold Out Positions 20
Total Mkt Value (in $ millions) 110

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 0.39%
Capital Goods 3.4%
Conglomerates 0%
Consumer Cyclical
Consumer/Non-Cyclical 0.93%
Energy 0.25%
Financial 5.77%
Healthcare 50.86%
Services 2.33%
Technology 27.06%
Transportation 0.44%
Utilities 0.7%

85 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ONCOLYTICS BIOTECH INC COM 354 354 New 222,900
SMITH MICRO SOFTWARE INC COM 350 -2,348 (87.03) 195,433
RENTECH INC COM 324 -69 (17.57) 145,957
OPEXA THERAPEUTICS INC COM NEW 298 298 New 200,000
PHARMATHENE INC COM 275 275 New 193,986
LIMONEIRA CO COM 266 -489 (64.81) 11,892
PICO HLDGS INC COM NEW 237 134 130.95 9,700
ADAMIS PHARMACEUTICALS CORP COM NEW 236 236 New 42,000
ITRON INC COM 207 207 New 5,800
GASLOG LTD SHS 199 -70 (26.04) 7,100
AVG TECHNOLOGIES N V SHS 194 194 New 10,000
AEROVIRONMENT INC COM 189 -5,958 (96.93) 5,200
SAFE BULKERS INC COM 171 -98 (36.41) 19,561
XYLEM INC COM 169 169 New 4,800
LEHIGH GAS PARTNERS LP UT LTD PTN INT 149 14 10 5,500
SCHLUMBERGER LTD COM 130 130 New 1,300
CALAVO GROWERS INC COM 123 123 New 3,800
CANADIAN PAC RY LTD COM 119 -94 (44.25) 800
ADECOAGRO S A COM 107 -21 (16.08) 12,000
TRI POINTE HOMES INC COM 106 106 New 6,700