ANIX

SEC source: 0001493152-20-017605 · ownership.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,000

SEC source: 0001493152-20-017705 · ownership.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,020,326

SEC source: 0001513162-20-000175 · primary_doc.xml · derivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-13

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning August 31, 2020.

SEC source: 0001513162-20-000174 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-13

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning August 31, 2020.

SEC source: 0001513162-20-000171 · primary_doc.xml · derivative · entry 1

Cavalier David · CIK 0001289783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-13

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning August 31, 2020.

SEC source: 0001513162-20-000172 · primary_doc.xml · derivative · entry 1

Gottschalk Emily · CIK 0001791108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-13

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning August 31, 2020.

SEC source: 0001513162-20-000170 · primary_doc.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-13

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning August 31, 2020.

SEC source: 0001513162-20-000127 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 980,326

SEC source: 0001513162-20-000124 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 955,826

SEC source: 0001513162-20-000123 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,000

SEC source: 0001513162-20-000092 · primary_doc.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,829

F1 · kind: The reporting person purchased the shares of common stock reported hereunder pursuant to the Anixa Biosciences, Inc. Employee Stock Purchase Plan (the Plan) which satisfies the requirements of Section 423 of the Internal Revenue Code. The reporting persons purchase of the shares of common stock is exempt from Section 16(b) under Rule 16b-3(c) and is exempt from the reporting requirements of Section 16 by virtue of Rule 16a-3(f)(1)(i)(B), however the reporting person has elected to voluntarily report the acquisition of the shares.

F2 · price: In accordance with the Plan, the shares were purchased based on 85% of the closing price of Anixa Biosciences, Inc. common stock on April 30, 2020.

SEC source: 0001513162-20-000054 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 924,743

SEC source: 0001513162-20-000048 · primary_doc.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,000

SEC source: 0001513162-20-000047 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,000

SEC source: 0001513162-20-000042 · primary_doc.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

SEC source: 0001513162-20-000022 · primary_doc.xml · nonDerivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

SEC source: 0001513162-20-000019 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 918,944

SEC source: 0001513162-20-000015 · primary_doc.xml · nonDerivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,000

SEC source: 0001513162-20-000018 · primary_doc.xml · nonDerivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 913,944

SEC source: 0001513162-19-000250 · primary_doc.xml · derivative · entry 1

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 520,000

Underlying: Common Stock · 520,000 shares

Expires 2019-12-12

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in thirty-six (36) equal monthly installments beginning December 31, 2019.

SEC source: 0001513162-19-000249 · primary_doc.xml · derivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2019-12-12

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in thirty-six (36) equal monthly installments beginning December 31, 2019.

SEC source: 0001513162-19-000230 · primary_doc.xml · nonDerivative · entry 1

Catelani Michael · CIK 0001689394 · COO & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,962

F1 · kind: The reporting person purchased the shares of common stock reported hereunder pursuant to the Anixa Biosciences, Inc. Employee Stock Purchase Plan (the "Plan") which satisfies the requirements of Section 423 of the Internal Revenue Service Code. The reporting person's purchase of the shares of common stock is exempt from Section 16(b) under Rule 16b-3(c) and is exempt from the reporting requirements of Section 16 by virtue of Rule 16a-3(f)(1)(i)(B), however the reporting person has elected to voluntarily report the acquisition of the shares.

F2 · price: In accordance with the Plan, the shares were purchased based on 85% of the closing price of Anixa Biosciences, Inc. common stock on October 31, 2019.

SEC source: 0001513162-19-000227 · primary_doc.xml · derivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2029-10-23

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning November 30, 2019.

SEC source: 0001513162-19-000226 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2029-10-23

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning November 30, 2019.

SEC source: 0001513162-19-000225 · primary_doc.xml · derivative · entry 1

Gottschalk Emily · CIK 0001791108 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2029-10-23

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning November 30, 2019.

SEC source: 0001513162-19-000224 · primary_doc.xml · derivative · entry 1

Cavalier David · CIK 0001289783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2029-10-23

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning November 30, 2019.

SEC source: 0001513162-19-000223 · primary_doc.xml · derivative · entry 1

Baskies Arnold M · CIK 0001683567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2029-10-23

F1 · security: Right-To-Buy, granted under the Anixa Biosciences, Inc. 2018 Share Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable in twelve (12) equal monthly installments beginning November 30, 2019.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 16

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2026-01-14

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F9 · derivative.exercise_date: The option was originally granted on February 18, 2016 and vested in four (4) equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 15

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,000 shares

Expires 2026-01-14

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F9 · derivative.exercise_date: The option was originally granted on February 18, 2016 and vested in four (4) equal installments on each of March 31, 2016, June 30, 2016, September 30, 2016 and December 31, 2016.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 14

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2025-01-02

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F8 · derivative.exercise_date: The option was originally granted on January 2, 2015 and vested in four (4) equal installments on each of March 31, 2015, June 30, 2015, September 30, 2015 and December 31, 2015.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 13

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,000 shares

Expires 2025-01-02

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F8 · derivative.exercise_date: The option was originally granted on January 2, 2015 and vested in four (4) equal installments on each of March 31, 2015, June 30, 2015, September 30, 2015 and December 31, 2015.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 12

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2023-12-31

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F7 · derivative.exercise_date: The option was originally granted on January 2, 2014 and vested in four (4) equal installments on each of March 31, 2014, June 30, 2014, September 30, 2014 and December 31, 2014.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 11

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,000 shares

Expires 2023-12-31

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F7 · derivative.exercise_date: The option was originally granted on January 2, 2014 and vested in four (4) equal installments on each of March 31, 2014, June 30, 2014, September 30, 2014 and December 31, 2014.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 10

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2023-11-08

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F6 · derivative.exercise_date: The option was originally granted on November 8, 2013 and vested in 36 consecutive monthly installments beginning on December 31, 2013.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 9

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires 2023-11-08

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F6 · derivative.exercise_date: The option was originally granted on November 8, 2013 and vested in 36 consecutive monthly installments beginning on December 31, 2013.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 8

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2027-07-17

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F5 · derivative.exercise_date: The option was originally granted on July 17, 2017 and vests and become exercisable in two equal installments on each September 30, 2017 and December 31, 2017.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 7

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2027-07-17

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F5 · derivative.exercise_date: The option was originally granted on July 17, 2017 and vests and become exercisable in two equal installments on each September 30, 2017 and December 31, 2017.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 6

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2022-12-31

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F4 · derivative.exercise_date: The option was originally granted on March 28, 2013 and vested in in four (4) equal installments on each March 31, 2013, June 30, 2013, September 30, 2013 and December 31, 2013.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 5

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,000 shares

Expires 2022-12-31

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F4 · derivative.exercise_date: The option was originally granted on March 28, 2013 and vested in in four (4) equal installments on each March 31, 2013, June 30, 2013, September 30, 2013 and December 31, 2013.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 4

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2023-02-15

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on February 15, 2013 and vested as follows: one third immediately and two thirds annually beginning on February 15, 2014.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 3

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2023-02-15

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on February 15, 2013 and vested as follows: one third immediately and two thirds annually beginning on February 15, 2014.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 2

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2022-09-19

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on September 19, 2012 and vested as follows: one third immediately and two thirds annually beginning on September 19, 2013.

SEC source: 0001513162-19-000214 · primary_doc.xml · derivative · entry 1

Titterton Lewis H jr · CIK 0001499254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2022-09-19

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on September 19, 2012 and vested as follows: one third immediately and two thirds annually beginning on September 19, 2013.

SEC source: 0001513162-19-000213 · primary_doc.xml · derivative · entry 4

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-01-03

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-19-000213 · primary_doc.xml · derivative · entry 3

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2027-01-03

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F3 · derivative.exercise_date: The option was originally granted on January 3, 2017 and vests and become exercisable in four (4) equal installments on each March 31, 2017, June 30, 2017, September 30, 2017 and December 31, 2017.

SEC source: 0001513162-19-000213 · primary_doc.xml · derivative · entry 2

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2026-08-23

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-19-000213 · primary_doc.xml · derivative · entry 1

MONAHAN JOHN J · CIK 0001257825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2026-08-23

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F2 · derivative.exercise_date: The option was originally granted on August 23, 2016 and vested 50% on September 30, 2016 and 50% on December 31, 2016.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 10

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2026-02-18

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F5 · derivative.exercise_date: The option was originally granted on February 18, 2016 and vested in 36 consecutive monthly installments beginning on March 31, 2016.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 9

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2026-02-18

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F5 · derivative.exercise_date: The option was originally granted on February 18, 2016 and vested in 36 consecutive monthly installments beginning on March 31, 2016.

SEC source: 0001513162-19-000212 · primary_doc.xml · derivative · entry 8

KUMAR AMIT · CIK 0001191905 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2023-11-08

F1 · kind: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F1 · price: These transactions involved an amendment of outstanding stock options due to a settlement pursuant to which these options that had been repriced on September 6, 2017 to $0.67, would have their exercise price changed to the exercise price immediately prior to that repricing, resulting in the deemed cancellation of the "old" options and the grant of replacement options. All of the other terms of the options remain the same, including without limitation, the number of shares underlying the options, the vesting periods of the options, and the expiration dates of the options.

F4 · derivative.exercise_date: The option was originally granted on November 8, 2013 and vested in 36 consecutive monthly installments beginning on December 31, 2013.