AMTX

SEC source: 0001593968-21-001140 · primary_01.xml · derivative · entry 3

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,696

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

Expires 2029-06-05

F4 · 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 2

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,058

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

Expires 2027-01-19

F2 · price: The 1-19-2017 option grant was exercised and sold through 10b5-1 plan.

F3 · price: The 1-19-2017 option grant was exercised and sold through 10b5-1 plan sold as below

SEC source: 0001593968-21-001140 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common stock and Series B Preferred · 78,500 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: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 27

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,545

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: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 26

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,462

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 19

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,190

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 18

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,708

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 4

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,404

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 2

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,404

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: 0001593968-21-002313 · primary_01.xml · nonDerivative · entry 5

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,993

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 4

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,442

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: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 24

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,039

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: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 23

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,209

F4 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

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: 0001593968-21-001103 · primary_01.xml · nonDerivative · entry 1

BLOCK JOHN R · CIK 0001055711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,865

F1 · security: RSA with Immediate vest vesting schedule

SEC source: 0001593968-21-001105 · primary_01.xml · nonDerivative · entry 1

Beebe Lydia I · CIK 0001635208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,097

F1 · security: RSA with Immediate vest vesting schedule

SEC source: 0001593968-21-001104 · primary_01.xml · nonDerivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,152

F1 · security: RSA with Immediate vest vesting schedule

SEC source: 0001593968-21-000983 · primary_01.xml · derivative · entry 3

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,788

Underlying: Common stock and Series B Preferred · 30,500 shares

Expires 2029-01-07

SEC source: 0001593968-21-000983 · primary_01.xml · derivative · entry 2

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,681

Underlying: Common stock and Series B Preferred · 0 shares

Expires 2028-01-18

SEC source: 0001593968-21-000982 · primary_01.xml · derivative · entry 3

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,645

Underlying: Common stock and Series B Preferred · 49,439 shares

Expires 2023-05-17

SEC source: 0001593968-21-000981 · primary_01.xml · derivative · entry 5

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,361

Underlying: Common stock and Series B Preferred · 49,346 shares

Expires 2028-01-18

SEC source: 0001593968-21-000981 · primary_01.xml · derivative · entry 3

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,899

Underlying: Common stock and Series B Preferred · 29,035 shares

Expires 2027-11-16

SEC source: 0001593968-21-000981 · primary_01.xml · derivative · entry 2

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,177

Underlying: Common stock and Series B Preferred · 15,823 shares

Expires 2022-05-21

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. Amended and Restated 2007 Stock Plan to purchase 20,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $4.35 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. Amended and Restated 2007 Stock Plan to purchase 20,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $4.35 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company.

SEC source: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 25

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,411

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: 0001593968-21-002313 · primary_01.xml · nonDerivative · entry 3

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,934

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: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 29

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: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 22

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,295

F4 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

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: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 21

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,840

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: 0001593968-21-000983 · primary_01.xml · derivative · entry 4

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,581

Underlying: Common stock and Series B Preferred · 7,419 shares

Expires 2030-03-28

SEC source: 0001593968-21-000983 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,619

Underlying: Common stock and Series B Preferred · 48,319 shares

Expires 2028-01-18

SEC source: 0001593968-21-000982 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,545

Underlying: Common stock and Series B Preferred · 49,894 shares

Expires 2023-05-17

SEC source: 0001593968-21-000982 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,955

Underlying: Common stock and Series B Preferred · 29,045 shares

Expires 2027-01-19

SEC source: 0001593968-21-000981 · primary_01.xml · derivative · entry 4

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,707

Underlying: Common stock and Series B Preferred · 96,639 shares

Expires 2028-01-18

SEC source: 0001593968-21-000981 · primary_01.xml · nonDerivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 24

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,561

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.

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

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 17

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,361

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: 0001593968-21-002313 · primary_01.xml · nonDerivative · entry 2

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,204

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.

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

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: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 28

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,401

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: 0001593968-21-000958 · 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 · 36,000 shares

Expires 2026-05-21

F1 · derivative.exercise_date: 50% vest Immediately on the grant date and rest 50% vest 1/12th over the three years.

SEC source: 0001593968-21-000960 · primary_01.xml · nonDerivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Common stock acquired exercising options in 2014.

SEC source: 0001593968-21-000959 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

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

Expires 2027-01-19

SEC source: 0001593968-21-000957 · primary_01.xml · derivative · entry 1

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,000

Underlying: Common stock and Series B Preferred · 37,500 shares

Expires 2030-03-28

SEC source: 0001593968-21-002140 · primary_01.xml · nonDerivative · entry 1

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.

F2 · shares: The Reporting Person acquired 36000 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.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 54,627 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.

SEC source: 0001593968-21-002287 · primary_01.xml · nonDerivative · entry 23

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,973

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.

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

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 20

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,973

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 10

FOSTER ANDREW B · CIK 0001285221 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,554

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 20

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,446

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: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 19

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,446

F4 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

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: 0001593968-21-002313 · primary_01.xml · nonDerivative · entry 1

Gupta Sanjeev · CIK 0001460201 · Executive Vice President, MD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,497

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

SEC source: 0001593968-21-000919 · primary_01.xml · derivative · entry 1

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

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

Expires 2029-01-07

F1 · price: The 1-09-2019 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-002151 · primary_01.xml · nonDerivative · entry 6

BARTON FRANCIS P · CIK 0001236181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,452

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 sold the 10000 shares acquired on sale date through by paying cash for the option cost of the 1/8/2019 grant.