AQST

SEC source: 0001214659-21-003204 · marketforms-51914.xml · nonDerivative · entry 3

Cochran John · CIK 0001406773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,895

F1 · kind: Pro rata distributions for no consideration of shares of common stock of the Issuer by the following entities, respectively (collectively, the "Distributing Entities"): MonoLine Rx, L.P., MonoLine Rx III, L.P., MonoSol Rx Genpar, L.P., and MRX Partners, LLC. The Reporting Person under this Form 4 possesses no voting or investment control over the securities held by the Distributing Entities.

SEC source: 0001214659-21-003204 · marketforms-51914.xml · nonDerivative · entry 2

Cochran John · CIK 0001406773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,351

F1 · kind: Pro rata distributions for no consideration of shares of common stock of the Issuer by the following entities, respectively (collectively, the "Distributing Entities"): MonoLine Rx, L.P., MonoLine Rx III, L.P., MonoSol Rx Genpar, L.P., and MRX Partners, LLC. The Reporting Person under this Form 4 possesses no voting or investment control over the securities held by the Distributing Entities.

SEC source: 0001214659-21-003204 · marketforms-51914.xml · nonDerivative · entry 1

Cochran John · CIK 0001406773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,123

F1 · kind: Pro rata distributions for no consideration of shares of common stock of the Issuer by the following entities, respectively (collectively, the "Distributing Entities"): MonoLine Rx, L.P., MonoLine Rx III, L.P., MonoSol Rx Genpar, L.P., and MRX Partners, LLC. The Reporting Person under this Form 4 possesses no voting or investment control over the securities held by the Distributing Entities.

SEC source: 0001214659-21-003154 · marketforms-51884.xml · derivative · entry 1

Krop Julie · CIK 0001643127 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,500

Underlying: Common Stock · 28,500 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 11, 2022.

SEC source: 0001214659-21-003149 · marketforms-51885.xml · derivative · entry 1

Taglietti Marco · CIK 0001408870 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,500

Underlying: Common Stock · 28,500 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The option vests in three equal annual installments beginning on March 11, 2022.

SEC source: 0001214659-21-003148 · marketforms-51881.xml · derivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003150 · marketforms-51878.xml · derivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003153 · marketforms-51882.xml · derivative · entry 1

TOTH A ERNEST JR · CIK 0001280273 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003155 · marketforms-51883.xml · derivative · entry 1

Wood Theresa · CIK 0001739784 · SVP-HR and Org. Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

Underlying: Common Stock · 27,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003152 · marketforms-51880.xml · derivative · entry 1

Marshall Ken W. · CIK 0001740092 · SVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003151 · marketforms-51879.xml · derivative · entry 1

BRAENDER LORI J · CIK 0001752955 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003147 · marketforms-51876.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003146 · marketforms-51877.xml · derivative · entry 1

Boyd Peter E. · CIK 0001739816 · SVP-Bus. Process & Info. Tech.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003203 · marketforms-51911.xml · nonDerivative · entry 7

BRATTON DOUGLAS K · CIK 0001281933 · 10% owner

MonoLine Partners, L.P. · CIK 0001747211 · 10% owner

MonoLine RX, L.P. · CIK 0001410626 · 10% owner

MonoLine RX II, L.P. · CIK 0001410625 · 10% owner

MonoLine RX III, L.P. · CIK 0001747169 · 10% owner

MonoSol Rx Genpar, L.P. · CIK 0001747548 · 10% owner

MRX Partners, LLC · CIK 0001746904 · 10% owner

Bratton Capital Inc. · CIK 0001723783 · 10% owner

Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,585

F11 · kind: Gift of shares of Common Stock to charitable organization.

F12 · balance_after: Following the transactions reported on this Form 4, the Reporting Persons as listed in this Form 4 are the beneficial owners in the aggregate of 10,060,657 shares of Common Stock for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, representing a 27.8% ownership interest in the Issuer based on total shares outstanding of 36,213,969 as of March 5, 2021, such shares outstanding as reported in the Issuer's Annual Report on Form 10-K for the fiscal year ended December 31, 2020.

SEC source: 0001214659-21-001520 · marketforms-51450.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 837,000

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4 on December 16, 2020.

SEC source: 0001214659-21-001520 · marketforms-51450.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 860,460

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4 on December 16, 2020.

SEC source: 0001214659-21-001480 · marketforms-51446.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 872,000

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4 on December 16, 2020.

SEC source: 0001214659-21-000034 · marketforms-50806.xml · nonDerivative · entry 4

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for William Kendall Conner

Disclosed balance after: 1,000

F3 · kind: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild William Kendall Conner, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F3 · shares: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild William Kendall Conner, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0001214659-21-000034 · marketforms-50806.xml · nonDerivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 637,149

F3 · kind: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild William Kendall Conner, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F3 · shares: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild William Kendall Conner, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0001214659-21-000034 · marketforms-50806.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · Custodian of UTMA account for Colin Kendall

Disclosed balance after: 1,000

F1 · kind: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Colin Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F1 · shares: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Colin Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0001214659-21-000034 · marketforms-50806.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 638,149

F1 · kind: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Colin Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F1 · shares: On December 30, 2020, the reporting person gifted these shares to a Uniform Gift to Minors Act custodial account for the benefit of the reporting person's grandchild Colin Kendall, for no consideration and for which the reporting person is the custodian. The reporting person may be deemed to have acquired indirect beneficial ownership of such shares upon gifting them to the custodial account. The reporting person disclaims beneficial ownership of the shares held by his grandchild.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

SEC source: 0001214659-20-007366 · marketforms-49485.xml · nonDerivative · entry 1

Maxwell John T. · CIK 0001739025 · SVP-Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,614

F1 · kind: The sale reported on this Form 4 was effective pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person on March 16, 2020.

SEC source: 0001214659-20-006105 · marketforms-49165.xml · derivative · entry 3

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 333 shares

Expires not disclosed

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

SEC source: 0001214659-20-006105 · marketforms-49165.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 912,792

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001214659-20-006105 · marketforms-49165.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 912,886

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001214659-20-006104 · marketforms-49164.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 333 shares

Expires not disclosed

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

SEC source: 0001214659-20-006104 · marketforms-49164.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 639,149

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001214659-20-006104 · marketforms-49164.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 639,297

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001214659-20-005757 · marketforms-49053.xml · derivative · entry 2

COSTA SANTO J · CIK 0001013419 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 16, 2021, subject to Mr. Costa's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-20-005758 · marketforms-49054.xml · derivative · entry 1

Lurker Nancy · CIK 0001450485 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 16, 2021, subject to Ms. Lurker's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-20-005755 · marketforms-49052.xml · derivative · entry 2

Cochran John · CIK 0001406773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 16, 2021, subject to Mr. Cochran's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-20-005756 · marketforms-49050.xml · derivative · entry 8

BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-06-16

F9 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 16, 2021, subject to Mr. Bratton's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-20-005776 · marketforms-49051.xml · derivative · entry 2

BROWN GREGORY B · CIK 0001373585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 16, 2021, subject to Mr. Brown's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-20-005759 · marketforms-49055.xml · derivative · entry 2

Scibetta James S · CIK 0001383242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 16, 2021, subject to Mr. Scibetta's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-20-005427 · marketforms-48972.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 638,964

F1 · kind: The sale reported on this Form 4 was effective pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person on May 18, 2020 in order to satisfy the tax obligations of the reporting person resulting from the (i) conversion of the reporting person's then existing performance-based equity interests in the Company to shares of common stock of the Company in connection with the Company's Initial Public Offering in 2018, and (ii) vesting of shares of restricted stock issued to the reporting person by the Company pursuant to the reporting person's employment agreement with the Company.

SEC source: 0001214659-20-005339 · marketforms-48951.xml · derivative · entry 3

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

SEC source: 0001214659-20-005339 · marketforms-48951.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 912,553

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001214659-20-005339 · marketforms-48951.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 916,685

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001214659-20-005338 · marketforms-48933.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

SEC source: 0001214659-20-005338 · marketforms-48933.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 688,964

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001214659-20-005338 · marketforms-48933.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 695,456

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001214659-20-004314 · marketforms-48764.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 902,113

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4 on March 16, 2020.

SEC source: 0001214659-20-003962 · marketforms-48653.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,022,113

F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan.

SEC source: 0001214659-20-004018 · marketforms-48670.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 942,113

F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan.

SEC source: 0001214659-20-004018 · marketforms-48670.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982,113

F1 · kind: Shares were sold pursuant to a Rule 10b5-1 Stock Trading Plan.

SEC source: 0001214659-20-003145 · marketforms-48495.xml · derivative · entry 3

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333

Underlying: Common Stock · 329 shares

Expires not disclosed

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

SEC source: 0001214659-20-003145 · marketforms-48495.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,062,113

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001214659-20-003145 · marketforms-48495.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,062,210

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001214659-20-003146 · marketforms-48494.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333

Underlying: Common Stock · 329 shares

Expires not disclosed

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

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.expiration_date: There are no expiration dates on RSUs.

SEC source: 0001214659-20-003146 · marketforms-48494.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,884

F2 · kind: These shares were retained by the Company in order to meet the tax withholding obligations of the award-holder in connection with the vesting of an installment of the restricted stock award. The amount retained by the Company was not in excess of the amount of the tax liability.