AQMS

SEC source: 0001437749-22-029954 · rdgdoc.xml · nonDerivative · entry 2

Kanen David · CIK 0001681743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KANEN WEALTH MANAGEMENT, LLC

Disclosed balance after: 117,107

F1 · price: The price reported in Column 4 is a weighted average price. The reporting person undertakes to provide to Aqua Metals, Inc., any stockholder of Aqua Metals, Inc or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: KWM does not have a pecuniary interest in the shares of Common Stock held in customer accounts managed by KWM.

SEC source: 0001437749-22-029954 · rdgdoc.xml · nonDerivative · entry 1

Kanen David · CIK 0001681743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · PHILOTIMO FUND, LP

Disclosed balance after: 351,218

F1 · price: The price reported in Column 4 is a weighted average price. The reporting person undertakes to provide to Aqua Metals, Inc., any stockholder of Aqua Metals, Inc or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001437749-22-029887 · rdgdoc.xml · nonDerivative · entry 2

Kanen David · CIK 0001681743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · KANEN WEALTH MANAGEMENT, LLC

Disclosed balance after: 108,562

F1 · balance_after: This Form 4 is filed jointly by David Kanen, Kanen Wealth Management, LLC ("KWM") and The Philotimo Fund, LP (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a group that may be deemed to collectively beneficially own approximately 0.6% of the Issuer's outstanding shares of Common Stock. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the beneficial owners of any securities of the Issuer he or it does not directly own.

F2 · balance_after: Mr.Kanen beneficially owns, pursuant to the beneficial ownership rules of Section 13(d) of the Securities Exchange Act of 1934, as amended, the shares of Common Stock listed in Column 5 of this Form 4, which represent approximately 0.6% of the Issuer's outstanding shares of Common Stock. Pursuant to such beneficial ownership rules, Mr. Kanen, as the managing member of KWM, may be deemed to beneficially own the 108,562 shares of Common Stock held in customer accounts managed by KWM as disclosed in this Form 4 and the 325,683 shares of Common Stock held by The Philotimo Fund LLC, of which KWM is the general partner. Mr. Kanen expressly disclaims such beneficial ownership except to the extent of his pecuniary interest therein. Mr. Kanen does not have a pecuniary interest under Section 16 of the Exchange Act in the shares of Common Stock held in customer accounts managed by KWM. Mr. Kanen directly owns 28,223 shares of Common Stock in personal brokerage account.

F3 · ownership.nature: KWM does not have a pecuniary interest in the shares of Common Stock held in customer accounts managed by KWM.

SEC source: 0001437749-22-029887 · rdgdoc.xml · nonDerivative · entry 1

Kanen David · CIK 0001681743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · PHILOTIMO FUND, LP

Disclosed balance after: 325,683

F1 · balance_after: This Form 4 is filed jointly by David Kanen, Kanen Wealth Management, LLC ("KWM") and The Philotimo Fund, LP (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a group that may be deemed to collectively beneficially own approximately 0.6% of the Issuer's outstanding shares of Common Stock. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the beneficial owners of any securities of the Issuer he or it does not directly own.

F2 · balance_after: Mr.Kanen beneficially owns, pursuant to the beneficial ownership rules of Section 13(d) of the Securities Exchange Act of 1934, as amended, the shares of Common Stock listed in Column 5 of this Form 4, which represent approximately 0.6% of the Issuer's outstanding shares of Common Stock. Pursuant to such beneficial ownership rules, Mr. Kanen, as the managing member of KWM, may be deemed to beneficially own the 108,562 shares of Common Stock held in customer accounts managed by KWM as disclosed in this Form 4 and the 325,683 shares of Common Stock held by The Philotimo Fund LLC, of which KWM is the general partner. Mr. Kanen expressly disclaims such beneficial ownership except to the extent of his pecuniary interest therein. Mr. Kanen does not have a pecuniary interest under Section 16 of the Exchange Act in the shares of Common Stock held in customer accounts managed by KWM. Mr. Kanen directly owns 28,223 shares of Common Stock in personal brokerage account.

SEC source: 0001437749-22-029854 · rdgdoc.xml · nonDerivative · entry 2

Kanen David · CIK 0001681743 · Director

Philotimo Fund, LP · CIK 0001688522 · Passive Investor

Kanen Wealth Management LLC · CIK 0001681614 · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · KANEN WEALTH MANAGEMENT, LLC

Disclosed balance after: 70,813

F1 · balance_after: This Form 4 is filed jointly by David Kanen, Kanen Wealth Management, LLC ("KWM") and The Philotimo Fund, LP (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a group that may be deemed to collectively beneficially own approximately 0.4% of the Issuer's outstanding shares of Common Stock. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the beneficial owners of any securities of the Issuer he or it does not directly own.

F2 · balance_after: Mr.Kanen beneficially owns, pursuant to the beneficial ownership rules of Section 13(d) of the Securities Exchange Act of 1934, as amended, the shares of Common Stock listed in Column 5 of this Form 4, which represent approximately 0.4% of the Issuer's outstanding shares of Common Stock. Pursuant to such beneficial ownership rules, Mr. Kanen, as the managing member of KWM, may be deemed to beneficially own the 70,813 shares of Common Stock held in customer accounts managed by KWM as disclosed in this Form 4 and the 212,437 shares of Common Stock held by The Philotimo Fund LLC, of which KWM is the general partner. Mr. Kanen expressly disclaims such beneficial ownership except to the extent of his pecuniary interest therein. Mr. Kanen does not have a pecuniary interest under Section 16 of the Exchange Act in the shares of Common Stock held in customer accounts managed by KWM. Mr. Kanen directly owns 28,223 shares of Common Stock in personal brokerage account.

F3 · ownership.nature: KWM does not have a pecuniary interest in the shares of Common Stock held in customer accounts managed by KWM.

SEC source: 0001437749-22-029854 · rdgdoc.xml · nonDerivative · entry 1

Kanen David · CIK 0001681743 · Director

Philotimo Fund, LP · CIK 0001688522 · Passive Investor

Kanen Wealth Management LLC · CIK 0001681614 · Passive Investor

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · PHILOTIMO FUND, LP

Disclosed balance after: 212,437

F1 · balance_after: This Form 4 is filed jointly by David Kanen, Kanen Wealth Management, LLC ("KWM") and The Philotimo Fund, LP (collectively, the "Reporting Persons"). Each of the Reporting Persons may be deemed to be a member of a group that may be deemed to collectively beneficially own approximately 0.4% of the Issuer's outstanding shares of Common Stock. The filing of this Form 4 shall not be deemed an admission that the Reporting Persons are, for purposes of Section 13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), the beneficial owners of any securities of the Issuer he or it does not directly own.

F2 · balance_after: Mr.Kanen beneficially owns, pursuant to the beneficial ownership rules of Section 13(d) of the Securities Exchange Act of 1934, as amended, the shares of Common Stock listed in Column 5 of this Form 4, which represent approximately 0.4% of the Issuer's outstanding shares of Common Stock. Pursuant to such beneficial ownership rules, Mr. Kanen, as the managing member of KWM, may be deemed to beneficially own the 70,813 shares of Common Stock held in customer accounts managed by KWM as disclosed in this Form 4 and the 212,437 shares of Common Stock held by The Philotimo Fund LLC, of which KWM is the general partner. Mr. Kanen expressly disclaims such beneficial ownership except to the extent of his pecuniary interest therein. Mr. Kanen does not have a pecuniary interest under Section 16 of the Exchange Act in the shares of Common Stock held in customer accounts managed by KWM. Mr. Kanen directly owns 28,223 shares of Common Stock in personal brokerage account.

SEC source: 0001437749-22-029852 · rdgdoc.xml · nonDerivative · entry 1

DIVITO VINCENT L · CIK 0001237330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,408

F1 · balance_after: Includes 39,063 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

SEC source: 0001437749-22-029853 · rdgdoc.xml · nonDerivative · entry 1

Zhang Peifang · CIK 0001708005 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,095

F1 · balance_after: Includes 26,042 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

SEC source: 0001437749-22-029784 · rdgdoc.xml · nonDerivative · entry 1

Taecker Benjamin S. · CIK 0001879186 · Chief Eng and Opr Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 733,745

F1 · kind: The reporting person is reporting the acquisition of shares of the issuer's common stock pursuant to the Aqua Metals, Inc. 2022 Employee Stock Purchase Plan.

F2 · balance_after: Includes 644,246 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

SEC source: 0001437749-22-029786 · rdgdoc.xml · nonDerivative · entry 1

Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,157,806

F1 · kind: The reporting person is reporting the acquisition of shares of the issuer's common stock pursuant to the Aqua Metals, Inc. 2022 Employee Stock Purchase Plan.

F2 · balance_after: Includes 2,848,747 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

SEC source: 0001437749-22-029785 · rdgdoc.xml · nonDerivative · entry 1

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,681,979

F1 · kind: The reporting person is reporting the acquisition of shares of the issuer's common stock pursuant to the Aqua Metals, Inc. 2022 Employee Stock Purchase Plan

F2 · balance_after: Includes 1,167,725 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

SEC source: 0001437749-22-029783 · rdgdoc.xml · nonDerivative · entry 1

McMurtry David · CIK 0001941149 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,927

F1 · kind: The reporting person is reporting the acquisition of shares of the issuer's common stock pursuant to the Aqua Metals, Inc. 2022 Employee Stock Purchase Plan.

F2 · balance_after: Includes 311,155 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

SEC source: 0001437749-22-029268 · rdgdoc.xml · nonDerivative · entry 1

SMITH EDWARD J · CIK 0001216591 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,095

F1 · balance_after: Includes 26,042 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable.

SEC source: 0001437749-22-029097 · rdgdoc.xml · nonDerivative · entry 1

Taecker Benjamin S. · CIK 0001879186 · Chief Eng and Opr Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 717,973

F1 · shares: Represents 352,882 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2022 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-22-029100 · rdgdoc.xml · nonDerivative · entry 1

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,658,320

F1 · shares: Represents 582,256 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2022 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-22-029099 · rdgdoc.xml · nonDerivative · entry 1

McMurtry David · CIK 0001941149 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,155

F1 · shares: Represents 192,108 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2022 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-22-029098 · rdgdoc.xml · nonDerivative · entry 1

Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,057,806

F1 · kind: Represents 1,270,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2022 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-22-023684 · rdgdoc.xml · nonDerivative · entry 1

Kanen David · CIK 0001681743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,223

F1 · shares: Shares issued in lieu of cash for Q3 2022 board compensation.

SEC source: 0001437749-22-016924 · rdgdoc.xml · nonDerivative · entry 1

Taecker Benjamin S. · CIK 0001879186 · Chief Eng and Opr Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,091

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-016926 · rdgdoc.xml · nonDerivative · entry 1

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,141,064

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-016925 · rdgdoc.xml · nonDerivative · entry 1

Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,787,217

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-016926 · rdgdoc.xml · nonDerivative · entry 2

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,076,064

F2 · kind: Represents the number of shares sold by the Reporting Person under a 10b5-1 plan

SEC source: 0001437749-22-010853 · rdgdoc.xml · nonDerivative · entry 1

DIVITO VINCENT L · CIK 0001237330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,408

F1 · shares: Represents 78,125 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in four equal quarterly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-22-010852 · rdgdoc.xml · nonDerivative · entry 1

SMITH EDWARD J · CIK 0001216591 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,095

F1 · shares: Represents 52,084 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in four equal quarterly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-22-010851 · rdgdoc.xml · nonDerivative · entry 1

Zhang Peifang · CIK 0001708005 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,095

F1 · shares: Represents 52,084 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in four equal quarterly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-22-007300 · rdgdoc.xml · nonDerivative · entry 1

Taecker Benjamin S. · CIK 0001879186 · Chief Eng and Opr Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,647

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-007301 · rdgdoc.xml · nonDerivative · entry 1

Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,070,975

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-007299 · rdgdoc.xml · nonDerivative · entry 1

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,314,581

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-007299 · rdgdoc.xml · nonDerivative · entry 2

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,249,581

F2 · kind: Represents the number of shares sold by the Reporting Person under a 10b5-1 plan

SEC source: 0001437749-22-000560 · rdgdoc.xml · nonDerivative · entry 1

Taecker Benjamin S. · CIK 0001879186 · Chief Eng and Opr Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 428,078

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-000562 · rdgdoc.xml · nonDerivative · entry 1

Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,171,580

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-000561 · rdgdoc.xml · nonDerivative · entry 1

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,400,052

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-22-000561 · rdgdoc.xml · nonDerivative · entry 2

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,334,552

F2 · kind: Represents the number of shares sold by the Reporting Person under a 10b5-1 plan

SEC source: 0001437749-21-028666 · rdgdoc.xml · nonDerivative · entry 1

Taecker Benjamin S. · CIK 0001879186 · Chief Eng and Opr Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 463,754

F1 · shares: Represents 200,648 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2021 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-21-028668 · rdgdoc.xml · nonDerivative · entry 1

Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,296,054

F1 · shares: Represents 722,334 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2021 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-21-028667 · rdgdoc.xml · nonDerivative · entry 1

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,487,115

F1 · shares: Represents 331,070 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in six equal semi-annual installments over a three year period, subject to the Reporting Person's continuation of service with the Company. These RSUs have been granted under the Company's 2021 Long Term Incentive Program as non-cash stock awards. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

SEC source: 0001437749-21-016437 · rdgdoc.xml · nonDerivative · entry 1

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 482,249

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-21-016436 · rdgdoc.xml · nonDerivative · entry 1

Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,483,354

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-21-010923 · rdgdoc.xml · derivative · entry 1

Yosufzai S. Shariq · CIK 0001739726 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,516

Underlying: Common Shares · 26,133 shares

Expires not disclosed

F1 · shares: Represents 26,133 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F1 · derivative.exercise_date: Represents 26,133 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F1 · derivative.expiration_date: Represents 26,133 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F2 · balance_after: Includes 31,516 RSUs.

SEC source: 0001437749-21-010922 · rdgdoc.xml · derivative · entry 1

DIVITO VINCENT L · CIK 0001237330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,674

Underlying: Common Shares · 20,906 shares

Expires not disclosed

F1 · shares: Represents 20,906 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F1 · derivative.exercise_date: Represents 20,906 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F1 · derivative.expiration_date: Represents 20,906 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F2 · balance_after: Includes 54,179 options and 24,495 RSUs.

SEC source: 0001437749-21-010920 · rdgdoc.xml · derivative · entry 1

SMITH EDWARD J · CIK 0001216591 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,011

Underlying: Common Shares · 17,422 shares

Expires not disclosed

F1 · shares: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F1 · derivative.exercise_date: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F1 · derivative.expiration_date: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F2 · balance_after: Includes 21,011 RSUs.

SEC source: 0001437749-21-010919 · rdgdoc.xml · derivative · entry 1

Zhang Peifang · CIK 0001708005 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,011

Underlying: Common Shares · 17,422 shares

Expires not disclosed

F1 · shares: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F1 · derivative.exercise_date: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F1 · derivative.expiration_date: Represents 17,422 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. The RSUs will vest and be settled in twelve equal monthly installments over a one year period. Each RSU shall entitle its holder to receive one Common Stock of the issuer.

F2 · balance_after: Includes 21,011 RSUs.

SEC source: 0001437749-21-008263 · rdgdoc.xml · derivative · entry 1

Yosufzai S. Shariq · CIK 0001739726 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,383

Underlying: Common Shares · 5,383 shares

Expires not disclosed

F1 · shares: Represents 5,383 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F1 · derivative.exercise_date: Represents 5,383 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F1 · derivative.expiration_date: Represents 5,383 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

SEC source: 0001437749-21-008264 · rdgdoc.xml · derivative · entry 1

DIVITO VINCENT L · CIK 0001237330 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,768

Underlying: Common Shares · 3,589 shares

Expires not disclosed

F1 · shares: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F1 · derivative.exercise_date: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F1 · derivative.expiration_date: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F2 · balance_after: Includes 54,179 options and 3,589 RSUs.

SEC source: 0001437749-21-008265 · rdgdoc.xml · derivative · entry 1

SMITH EDWARD J · CIK 0001216591 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,589

Underlying: Common Shares · 3,589 shares

Expires not disclosed

F1 · shares: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F1 · derivative.exercise_date: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F1 · derivative.expiration_date: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

SEC source: 0001437749-21-008266 · rdgdoc.xml · derivative · entry 1

Zhang Peifang · CIK 0001708005 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,589

Underlying: Common Shares · 3,589 shares

Expires not disclosed

F1 · shares: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F1 · derivative.exercise_date: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

F1 · derivative.expiration_date: Represents 3,589 shares underlying restricted stock units ("RSUs") that are not yet vested and deliverable. All RSUs shall be settled in common shares only and will vest and be delivered on June 30, 2021.

SEC source: 0001437749-21-007336 · rdgdoc.xml · nonDerivative · entry 1

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,115

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-21-007335 · rdgdoc.xml · nonDerivative · entry 1

Cotton Stephen · CIK 0001649322 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,215,213

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the issuance of stock units. Sell was conducted by the Reporting Person in connection to reimburse the company to cover the company's tax withholding requirement triggered by the issuance of the shares.

SEC source: 0001437749-21-004870 · rdgdoc.xml · derivative · entry 6

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 852,908

Underlying: Common Stock · 46,725 shares

Expires 2021-07-04

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.

F3 · kind: These stock options were scheduled to expire in July 2021.

F2 · balance_after: Includes 100,000 options and 752,908 RSUs.

SEC source: 0001437749-21-004870 · rdgdoc.xml · nonDerivative · entry 4

Merrill Judd · CIK 0001652660 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,841