AMTX

SEC source: 0001593968-21-002284 · primary_01.xml · nonDerivative · entry 8

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

SEC source: 0001593968-21-002284 · primary_01.xml · nonDerivative · entry 7

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,334

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

SEC source: 0001593968-21-002284 · primary_01.xml · nonDerivative · entry 6

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

SEC source: 0001593968-21-002284 · primary_01.xml · nonDerivative · entry 5

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,334

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

SEC source: 0001593968-21-002284 · primary_01.xml · nonDerivative · entry 4

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,167

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: 0001593968-21-002284 · primary_01.xml · nonDerivative · entry 3

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,167

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: 0001593968-21-002284 · primary_01.xml · nonDerivative · entry 2

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,833

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: 0001593968-21-002284 · primary_01.xml · nonDerivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,833

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: 0001593968-21-002140 · primary_01.xml · nonDerivative · entry 4

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,116

SEC source: 0001593968-21-002138 · primary_01.xml · derivative · entry 13

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock and Series B Preferred · 24,800 shares

Expires 2030-03-28

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: 0001593968-21-002138 · primary_01.xml · derivative · entry 11

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock and Series B Preferred · 100,000 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.

SEC source: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 10

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143

SEC source: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 9

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,014

SEC source: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 8

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,892

SEC source: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 7

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,643

SEC source: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 6

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,692

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: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 2

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,892

SEC source: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,014

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: 0001593968-21-002139 · primary_01.xml · nonDerivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: The Reporting Person beneficially owned 8,548 shares of the Company as of 9/14/2021 from previous exercise of option grant acquisitions.

SEC source: 0001593968-21-002138 · primary_01.xml · derivative · entry 12

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2023-05-17

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: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 5

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,889

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: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 4

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,014

SEC source: 0001593968-21-002138 · primary_01.xml · nonDerivative · entry 3

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,014

F1 · balance_after: The Reporting Person beneficially owned 10,889 shares of the Company before 9/15/2021 issuance. 2,125 shares were held from the 9/15/2021 issuance. As of the date of this filing, the Reporting Person beneficially owned 13,014 shares of the Company.

SEC source: 0000738214-21-000002 · primary_doc.xml · derivative · entry 4

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Expires 2029-01-07

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: 0000738214-21-000002 · primary_doc.xml · derivative · entry 3

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Expires 2028-01-18

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: 0000738214-21-000002 · primary_doc.xml · nonDerivative · entry 2

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

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 · shares: Option Grant 1/8/2019 for 50,000 shares was exercised at $0.70 per share and acquired 50,000 common stock of the Company.

SEC source: 0000738214-21-000002 · primary_doc.xml · nonDerivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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.

F1 · shares: Option Grant 1/18/2018 for 50,000 shares was exercised at $0.70 per share and acquired 50,000 common stock of the Company.

SEC source: 0001593968-21-001637 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,731

Underlying: Common stock and Series B Preferred · 61,165 shares

Expires 2026-05-21

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

SEC source: 0001593968-21-002313 · primary_01.xml · nonDerivative · entry 7

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,889

F3 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F2 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F4 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 0 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the June 16, 2021 option exercise in which the Reporting Person sold all but 10,889 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 143 shares of the Issuers common stock.

SEC source: 0001593968-21-002313 · primary_01.xml · nonDerivative · entry 6

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,158

F1 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

F4 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 0 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the June 16, 2021 option exercise in which the Reporting Person sold all but 10,889 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 143 shares of the Issuers common stock.

SEC source: 0001593968-21-001455 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock and Series B Preferred · 15,023 shares

Expires 2027-11-16

SEC source: 0001593968-21-002140 · primary_01.xml · nonDerivative · entry 3

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,627

F1 · kind: 1.These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F5 · shares: The Reporting Person acquired 15023 shares of the Company by exercising option grant and cash payment of exercise cost and sold the same shares in the open market on the same day.

SEC source: 0001593968-21-001448 · primary_01.xml · derivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,023

Underlying: Common stock and Series B Preferred · 20,000 shares

Expires 2027-11-16

SEC source: 0001593968-21-002140 · primary_01.xml · nonDerivative · entry 2

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,627

F1 · kind: 1.These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F4 · shares: The Reporting Person acquired 4977 shares of the Company by exercising option grant and cash payment of exercise cost and sold the same shares in the open market on the same day.

SEC source: 0001593968-21-001165 · primary_01.xml · derivative · entry 3

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,664

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

Expires 2031-01-07

F4 · price: The 1-7-2021 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-001165 · primary_01.xml · derivative · entry 2

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,480

Underlying: Common stock and Series B Preferred · 9,870 shares

Expires 2026-05-21

F2 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

SEC source: 0001593968-21-001165 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,684

Underlying: Common stock and Series B Preferred · 20,000 shares

Expires 2022-05-21

F1 · price: The 5/21/2015 grant exercised and sold through executing the 10b5-1 plan.

F2 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F3 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. Ammended and Restated 2007 Stock Plan to purchase 20,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $4.35 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.

F3 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Ammended and Restated 2007 Stock Plan to purchase 20,000 shares of the Company's Common Stock ("Option Shares") at and Exercise Price of $4.35 per share, and subject to the terms of the Stock Option Agreement between Reporting Person and the Company.

SEC source: 0001593968-21-001164 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,810

Underlying: Common stock and Series B Preferred · 24,911 shares

Expires 2030-01-09

F1 · price: The 1-9-2020 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 29

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,548

F4 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F3 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F2 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 5,235 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, April 19, April 22, 2021 option exercises in which the Reporting Person sold all but 176,3134,3 shares respectively received upon exercise, the above total beneficially owned 8,548 shares were sold on 9/15/2021 and filed on Form 4 appropriately. As of the date of this filing, the Reporting Person did not own any beneficial shares of the Issuers common stock.

SEC source: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 21

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,718

F1 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

F2 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 5,235 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, April 19, April 22, 2021 option exercises in which the Reporting Person sold all but 176,3134,3 shares respectively received upon exercise, the above total beneficially owned 8,548 shares were sold on 9/15/2021 and filed on Form 4 appropriately. As of the date of this filing, the Reporting Person did not own any beneficial shares of the Issuers common stock.

SEC source: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 3

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,382

F1 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

F2 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 5,235 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, April 19, April 22, 2021 option exercises in which the Reporting Person sold all but 176,3134,3 shares respectively received upon exercise, the above total beneficially owned 8,548 shares were sold on 9/15/2021 and filed on Form 4 appropriately. As of the date of this filing, the Reporting Person did not own any beneficial shares of the Issuers common stock.

SEC source: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,862

F1 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

F2 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 5,235 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, April 19, April 22, 2021 option exercises in which the Reporting Person sold all but 176,3134,3 shares respectively received upon exercise, the above total beneficially owned 8,548 shares were sold on 9/15/2021 and filed on Form 4 appropriately. As of the date of this filing, the Reporting Person did not own any beneficial shares of the Issuers common stock.

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 25

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,940

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-001140 · primary_01.xml · derivative · entry 6

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,134

Underlying: Common stock and Series B Preferred · 13,134 shares

Expires 2025-12-10

F6 · price: The shares were exercised from warrant grant 12/10/2015 and sold through executing the 10b5-1 plan.

SEC source: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 28

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,545

F4 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F3 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F2 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 5,235 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, April 19, April 22, 2021 option exercises in which the Reporting Person sold all but 176,3134,3 shares respectively received upon exercise, the above total beneficially owned 8,548 shares were sold on 9/15/2021 and filed on Form 4 appropriately. As of the date of this filing, the Reporting Person did not own any beneficial shares of the Issuers common stock.

SEC source: 0001593968-21-001142 · primary_01.xml · derivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,551

Underlying: Common stock and Series B Preferred · 37,700 shares

Expires 2030-03-28

F1 · price: The 3-28-2020 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-001141 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,909

Underlying: Common stock and Series B Preferred · 40,002 shares

Expires 2030-01-09

F2 · price: The 1-9-2020 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-001141 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,921

Underlying: Common stock and Series B Preferred · 37,916 shares

Expires 2029-06-05

F1 · price: The 6-06-2019 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-001140 · primary_01.xml · derivative · entry 5

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,134

Underlying: Common stock and Series B Preferred · 20,000 shares

Expires 2025-12-10

F6 · price: The shares were exercised from warrant grant 12/10/2015 and sold through executing the 10b5-1 plan.

SEC source: 0001593968-21-001140 · primary_01.xml · derivative · entry 4

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,221

Underlying: Common stock and Series B Preferred · 41,666 shares

Expires 2030-01-09

F5 · price: The 1-9-2020 option grant was exercised and sold through 10b5-1 plan.