AMTX

SEC source: 0001593968-24-001447 · primary_01.xml · nonDerivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,470

F1 · security: RSA with Immediate vest vesting schedule

SEC source: 0001593968-24-001446 · primary_01.xml · nonDerivative · entry 1

Boness Naomi Louise · CIK 0001815203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,343

F1 · security: RSA with Immediate vest vesting schedule

SEC source: 0001593968-24-001445 · primary_01.xml · nonDerivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,970

F1 · security: RSA with Immediate vest vesting schedule

SEC source: 0001593968-24-001444 · primary_01.xml · nonDerivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,466

F1 · security: RSA with Immediate vest vesting schedule

SEC source: 0001593968-24-001443 · primary_01.xml · nonDerivative · entry 1

Simon Timothy Alan · CIK 0001876838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,632

F1 · security: RSA with Immediate vest vesting schedule

SEC source: 0001593968-24-000748 · primary_01.xml · nonDerivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,001

F1 · acquired: Private sale of shares at $3.49 per share

SEC source: 0001593968-24-000132 · primary_01.xml · nonDerivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,581

F1 · security: RSA with immediate vesting

SEC source: 0001593968-24-000134 · primary_01.xml · derivative · entry 1

ROCKETT JAMES MICHAEL · CIK 0001992465 · EVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common stock and Series B Preferred · 200,000 shares

Expires 2034-01-18

F1 · derivative.exercise_date: 1/12th of the option shares vest every three months from the grant date

F2 · derivative.underlying: Option is exercisable for common stock

SEC source: 0001593968-24-000133 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 785,834

Underlying: Common stock and Series B Preferred · 200,000 shares

Expires 2034-01-18

F1 · derivative.exercise_date: 1/12th of the option shares vest every three months from the grant date

F2 · derivative.underlying: Option is exercisable for common stock

SEC source: 0001593968-24-000131 · primary_01.xml · nonDerivative · entry 1

Boness Naomi Louise · CIK 0001815203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,441

F1 · security: RSA with immediate vesting

SEC source: 0001593968-24-000130 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,194,582

Underlying: Common stock and Series B Preferred · 200,000 shares

Expires 2034-01-18

F1 · derivative.exercise_date: 1/12th of the option shares vest every three months from the grant date

F2 · derivative.underlying: Option is exercisable for common stock

SEC source: 0001593968-24-000129 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,005,000

Underlying: Common stock and Series B Preferred · 200,000 shares

Expires 2034-01-18

F1 · derivative.exercise_date: 1/12th of the option shares vest every three months from the grant date

F2 · derivative.underlying: Option is exercisable for common stock

SEC source: 0001593968-24-000128 · primary_01.xml · nonDerivative · entry 1

Simon Timothy Alan · CIK 0001876838 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,441

F1 · security: RSA with immediate vesting

SEC source: 0001593968-24-000127 · primary_01.xml · nonDerivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,338

F1 · security: RSA with immediate vesting

SEC source: 0001593968-24-000126 · primary_01.xml · nonDerivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,893

F1 · security: RSA with immediate vesting

SEC source: 0001593968-24-000125 · primary_01.xml · nonDerivative · entry 1

MCAFEE ERIC A · CIK 0001134889 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,317,136

F1 · security: RSA with immediate vesting

F2 · balance_after: Includes 535,588 shares held by the reporting person and 2,781,548 shares held by McAfee Capital LLC

SEC source: 0001593968-23-001312 · primary_01.xml · nonDerivative · entry 3

Boness Naomi Louise · CIK 0001815203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,441

F1 · security: RSA with Immediate vest vesting schedule

F4 · kind: 10,371 shares, which were acquired from the RSA grant on 1/6/2022, 8,700 were sold on 9/12/2023 in the open market.

SEC source: 0001593968-23-001312 · primary_01.xml · nonDerivative · entry 2

Boness Naomi Louise · CIK 0001815203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,141

F1 · security: RSA with Immediate vest vesting schedule

F3 · kind: 5,000 shares, which were acquired from the RSA grant on 11/18/2021, were sold on 9/12/2023 in the open market.

SEC source: 0001593968-23-001312 · primary_01.xml · nonDerivative · entry 1

Boness Naomi Louise · CIK 0001815203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,141

F1 · security: RSA with Immediate vest vesting schedule

F2 · kind: 1,300 shares, which were acquired from the RSA grant on 1/7/2021, were sold on 9/12/2023 in the open market.

SEC source: 0001593968-23-001027 · primary_01.xml · nonDerivative · entry 3

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,169

F2 · price: Price reflects weighted average sales price; actual sales prices ranged from $6.2 to $6.35. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate purchase price.

SEC source: 0001593968-23-001027 · primary_01.xml · derivative · entry 7

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock and Series B Preferred · 50,000 shares

Expires 2031-01-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001593968-23-001027 · primary_01.xml · derivative · entry 6

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock and Series B Preferred · 10,000 shares

Expires 2025-12-10

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001593968-23-001027 · primary_01.xml · nonDerivative · entry 5

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,581

F3 · shares: Represents shares withheld by the Issuer to pay the exercise price in connection with a cashless exercise of the option by the reporting person.

SEC source: 0001593968-23-001027 · primary_01.xml · nonDerivative · entry 4

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,169

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001593968-23-001027 · primary_01.xml · nonDerivative · entry 2

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,374

F1 · shares: Represents shares withheld by the Issuer to pay the exercise price in connection with a cashless exercise of the warrant by the reporting person.

SEC source: 0001593968-23-001027 · primary_01.xml · nonDerivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,161

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001593968-23-000102 · primary_01.xml · nonDerivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,161

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 11,070 RS awards on 1/5/2023 with immediate vesting period.

F3 · balance_after: As of the filing date of this Form 4, the reporting person owned 40,161 shares of the Issuers common stock.

SEC source: 0001593968-23-000105 · primary_01.xml · nonDerivative · entry 1

MCAFEE ERIC A · CIK 0001134889 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,017,136

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 180,000 RS awards on 1/5/2023 with immediate vesting period.

F3 · balance_after: As of the filing date of this Form 4, the reporting person owned 3,017,136 shares of the Issuers common stock.

SEC source: 0001593968-23-000104 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common stock and Series B Preferred · 137,500 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

SEC source: 0001593968-23-000104 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common stock and Series B Preferred · 12,500 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

SEC source: 0001593968-23-000103 · primary_01.xml · nonDerivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,441

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 13,570 RS awards on 1/5/2023 with immediate vesting period.

F3 · balance_after: As of the filing date of this Form 4, the reporting person owned 152,441 shares of the Issuers common stock.

SEC source: 0001593968-23-000101 · primary_01.xml · nonDerivative · entry 1

Simon Timothy Alan · CIK 0001876838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,441

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 11,070 RS awards on 1/5/2023 with immediate vesting period.

F3 · balance_after: As of the filing date of this Form 4, the reporting person owned 32,441 shares of the Issuers common stock.

SEC source: 0001593968-23-000100 · primary_01.xml · nonDerivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,522

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 17,070 RS awards on 1/5/2023 with immediate vesting period.

F3 · balance_after: As of the filing date of this Form 4, the reporting person owned 163,522 shares of the Issuers common stock.

SEC source: 0001593968-23-000099 · primary_01.xml · nonDerivative · entry 1

Boness Naomi Louise · CIK 0001815203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,441

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 11,070 RS awards on 1/5/2023 with immediate vesting period.

F3 · balance_after: As of the filing date of this Form 4, the reporting person owned 31,441 shares of the Issuers common stock.

SEC source: 0001593968-23-000098 · primary_01.xml · derivative · entry 2

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common stock and Series B Preferred · 137,500 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

SEC source: 0001593968-23-000098 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common stock and Series B Preferred · 12,500 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

SEC source: 0001593968-23-000097 · primary_01.xml · derivative · entry 2

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common stock and Series B Preferred · 137,500 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

SEC source: 0001593968-23-000097 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common stock and Series B Preferred · 12,500 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

SEC source: 0001593968-22-001368 · primary_01.xml · nonDerivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,091

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 5,000 RS awards on 8/18/2022 with immediate vesting period.

SEC source: 0001593968-22-001372 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock and Series B Preferred · 50,000 shares

Expires 2032-08-18

F1 · shares: The Reporting person was granted 50,000 options on 8/18/2022 with three year vesting period.

SEC source: 0001593968-22-001370 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock and Series B Preferred · 50,000 shares

Expires 2032-08-18

F1 · shares: The Reporting person was granted 50,000 options on 8/18/2022 with three year vesting period.

SEC source: 0001593968-22-001371 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock and Series B Preferred · 50,000 shares

Expires 2032-08-18

F1 · shares: The Reporting person was granted 50,000 options on 8/18/2022 with three year vesting period.

SEC source: 0001593968-22-001369 · primary_01.xml · nonDerivative · entry 1

Simon Timothy Alan · CIK 0001876838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,371

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 5,000 RS awards on 8/18/2022 with immediate vesting period.

SEC source: 0001593968-22-001367 · primary_01.xml · nonDerivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,871

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 6,000 RS awards on 8/18/2022 with immediate vesting period.

SEC source: 0001593968-22-001366 · primary_01.xml · nonDerivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,452

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 8,000 RS awards on 8/18/2022 with immediate vesting period.

SEC source: 0001593968-22-001365 · primary_01.xml · nonDerivative · entry 1

Boness Naomi Louise · CIK 0001815203 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,371

F1 · security: RSA with Immediate vest vesting schedule

F2 · price: The Reporting person was granted 5,000 RS awards on 8/18/2022 with immediate vesting period.

SEC source: 0001593968-22-000748 · primary_01.xml · derivative · entry 6

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock and Series B Preferred · 35,000 shares

Expires 2027-01-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: 35,000 shares, which were acquired by exercising the NQ options granted on 1/19/2017.

SEC source: 0001593968-22-000748 · primary_01.xml · nonDerivative · entry 5

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,091

F5 · kind: 10,371 shares, which were acquired from the RSA grant on 1/6/2022, were sold on 3/14/2022 in the open market.

F6 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 24,091 shares of the Issuers common stock.

SEC source: 0001593968-22-000748 · primary_01.xml · nonDerivative · entry 4

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,462

F4 · kind: 18,865 shares, which were acquired from the RSA grant on 4/8/2021, were sold on 3/14/2022 in the open market.

SEC source: 0001593968-22-000748 · primary_01.xml · nonDerivative · entry 3

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,327

F3 · kind: 1,300 shares, which were acquired from the RSA grant on 1/7/2021, were sold on 3/14/2022 in the open market.