X0306 4 2015-09-14 0 0001484565 Capnia, Inc. CAPN 0001180469 MARIO ERNEST 3 TWIN DOLPHIN DRIVE, SUITE 160 REDWOOD CITY CA 94065 1 0 1 0 Common Stock 2015-09-14 4 P 0 15000 2.28 A 1589831 D Includes 10,416 shares that were held directly by Ernest Mario 2008 Annuity Trust III. The shares were assigned directly to the Reporting Person as part of a liquidating distribution of the trust. In prior reports, the Reporting Person reported beneficial ownership of 10,416 shares. Includes 10,416 shares that were held directly by Mildred Mario 2008 Annuity Trust III. The shares were assigned directly to the Reporting Person as part of a liquidating distribution of the trust. In prior reports, the Reporting Person reported beneficial ownership of 10,416 shares. /s/ David O'Toole, attorney in fact 2015-09-14