ATEC

SEC source: 0001179110-18-003276 · edgar.xml · nonDerivative · entry 1

Allen Jonathan · CIK 0001700477 · EVP, Commerical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

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

SEC source: 0001179110-17-015933 · edgar.xml · nonDerivative · entry 1

Blackford Quentin S. · CIK 0001612451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442,478

F1 · kind: Purchase made pursuant to that certain Securities Purchase Agreement, dated October 2, 2017, by and between the Company and Reporting Person, as disclosed by the Company on SEC Current Report on Form 8-K, filed October 2, 2017.

F1 · price: Purchase made pursuant to that certain Securities Purchase Agreement, dated October 2, 2017, by and between the Company and Reporting Person, as disclosed by the Company on SEC Current Report on Form 8-K, filed October 2, 2017.

SEC source: 0001179110-17-015935 · edgar.xml · nonDerivative · entry 1

Miles Patrick · CIK 0001289409 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,327,434

F1 · kind: Purchase made pursuant to that certain Securities Purchase Agreement, dated October 2, 2017, by and between the Company and Reporting Person, as disclosed by the Company on SEC Current Report on Form 8-K, filed October 2, 2017.

F1 · price: Purchase made pursuant to that certain Securities Purchase Agreement, dated October 2, 2017, by and between the Company and Reporting Person, as disclosed by the Company on SEC Current Report on Form 8-K, filed October 2, 2017.

SEC source: 0001179110-17-013566 · edgar.xml · derivative · entry 6

Berkowitz Mortimer III · CIK 0001364333 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held By Porcupine Investment Partners, LLC

Disclosed balance after: 0

Underlying: Common Stock · 200,000 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.

F3 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F3 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-17-013566 · edgar.xml · derivative · entry 5

Berkowitz Mortimer III · CIK 0001364333 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 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.

F3 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F3 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-17-013566 · edgar.xml · nonDerivative · entry 2

Berkowitz Mortimer III · CIK 0001364333 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held By Porcupine Investment Partners, LLC

Disclosed balance after: 200,000

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

SEC source: 0001179110-17-013566 · edgar.xml · nonDerivative · entry 1

Berkowitz Mortimer III · CIK 0001364333 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,933

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 · balance_after: Includes shares owned by Reporting Person and shares owned by Reporting Person's spouse.

SEC source: 0001179110-17-013269 · edgar.xml · derivative · entry 2

Rich Terry · CIK 0001544482 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 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 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-17-013269 · edgar.xml · nonDerivative · entry 1

Rich Terry · CIK 0001544482 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 457,958

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

SEC source: 0001179110-17-013075 · edgar.xml · nonDerivative · entry 1

Miles Patrick · CIK 0001289409 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

F1 · security: The RSUs will vest in equal annual installments on each of the first three anniversaries of October 2, 2017

SEC source: 0001179110-17-012239 · edgar.xml · derivative · entry 2

Rydin Jeffrey P · CIK 0001345767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 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 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-17-012239 · edgar.xml · nonDerivative · entry 1

Rydin Jeffrey P · CIK 0001345767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,434

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

SEC source: 0001179110-17-011861 · edgar.xml · nonDerivative · entry 1

Rich Terry · CIK 0001544482 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,958

SEC source: 0001179110-17-011803 · edgar.xml · derivative · entry 2

Plunkett Michael Joseph · CIK 0001492279 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 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.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-17-011803 · edgar.xml · nonDerivative · entry 1

Plunkett Michael Joseph · CIK 0001492279 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,127

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 · balance_after: Includes 4,166 shares acquired on May 15, 2017, under the Issuer's 2007 Employee Stock Purchase Plan.

SEC source: 0001179110-17-011801 · edgar.xml · derivative · entry 2

Snider Brian · CIK 0001702383 · EVP, Strat. Mktg & Prod. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 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 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-17-011801 · edgar.xml · nonDerivative · entry 1

Snider Brian · CIK 0001702383 · EVP, Strat. Mktg & Prod. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

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

SEC source: 0001179110-17-011620 · edgar.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by IRA

Disclosed balance after: 34,000

F1 · balance_after: Reporting Person's Form 4 filing dated August 16, 2017, for purchase of 4,000 shares of common stock, incorrectly specified the Ownership Form of those shares as "Direct." The correct Ownership Form of those shares should have been labeled "Indirect," with the Nature of the Beneficial Ownership being identified as "by IRA." For purposes of Item 5 of this Form 4, those 4,000 shares of common stock purchased on August 16 have been moved from "Direct" to "Indirect" as the correct Ownership Form.

SEC source: 0001179110-17-011547 · edgar.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

SEC source: 0001179110-17-011549 · edgar.xml · nonDerivative · entry 1

Snider Brian · CIK 0001702383 · EVP, Strat. Mktg & Prod. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,000

SEC source: 0001179110-17-011553 · edgar.xml · nonDerivative · entry 1

Rich Terry · CIK 0001544482 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,458

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.684 to $1.687, inclusive. The reporting person undertakes to provide to Alphatec Holdings, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001179110-17-010751 · edgar.xml · derivative · entry 1

Plunkett Michael Joseph · CIK 0001492279 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,000

Underlying: Common Stock · 193,000 shares

Expires 2027-07-26

F1 · derivative.exercise_date: The option vests over four years with 25% vesting on the first anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter; provided, however, that no portion of the option shall be exercisable at any time unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $3.00 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $3.00 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate.

SEC source: 0001179110-17-010752 · edgar.xml · derivative · entry 1

Black Jeffrey G. · CIK 0001449439 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,000

Underlying: Common Stock · 193,000 shares

Expires 2027-07-26

F1 · derivative.exercise_date: The option vests over four years with 25% vesting on the first anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter; provided, however, that no portion of the option shall be exercisable at any time unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $3.00 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $3.00 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate.

SEC source: 0001179110-17-010755 · edgar.xml · derivative · entry 1

Snider Brian · CIK 0001702383 · EVP, Strat. Mktg & Prod. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,000

Underlying: Common Stock · 193,000 shares

Expires 2027-07-26

F1 · derivative.exercise_date: The option vests over four years with 25% vesting on the first anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter; provided, however, that no portion of the option shall be exercisable at any time unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $3.00 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $3.00 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate.

SEC source: 0001179110-17-010754 · edgar.xml · derivative · entry 1

Allen Jonathan · CIK 0001700477 · EVP, Commerical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,000

Underlying: Common Stock · 193,000 shares

Expires 2027-07-26

F1 · derivative.exercise_date: The option vests over four years with 25% vesting on the first anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter; provided, however, that no portion of the option shall be exercisable at any time unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $3.00 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $3.00 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate.

SEC source: 0001179110-17-010753 · edgar.xml · derivative · entry 1

Hunsaker Craig E · CIK 0001509282 · EVP, People & Culture and GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,000

Underlying: Common Stock · 193,000 shares

Expires 2027-07-26

F1 · derivative.exercise_date: The option vests over four years with 25% vesting on the first anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter; provided, however, that no portion of the option shall be exercisable at any time unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $3.00 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $3.00 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate.

SEC source: 0001179110-17-010750 · edgar.xml · derivative · entry 1

Rich Terry · CIK 0001544482 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 386,000

Underlying: Common Stock · 386,000 shares

Expires 2027-07-26

F1 · derivative.exercise_date: The option vests over four years with 25% vesting on the first anniversary of the grant date and the remaining 75% vesting in 36 installments every month for the three years thereafter; provided, however, that no portion of the option shall be exercisable at any time unless and until the publicly-traded stock price for the securities underlying the option reaches a 30-day average trading price equal to or above $3.00 per share. Should the publicly-traded stock price for the securities underlying the option reach a 30-day average trading price at or above $3.00 per share, this pricing condition on the exercise of the option shall be satisfied, and shall terminate.

SEC source: 0001179110-17-010369 · edgar.xml · derivative · entry 3

Black Jeffrey G. · CIK 0001449439 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by IRA

Disclosed balance after: 0

Underlying: Common Stock · 25,000 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 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-17-010369 · edgar.xml · nonDerivative · entry 2

Black Jeffrey G. · CIK 0001449439 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by IRA

Disclosed balance after: 25,000

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

SEC source: 0001179110-17-009514 · edgar.xml · derivative · entry 3

Hunsaker Craig E · CIK 0001509282 · EVP, People & Culture and GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 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.

F3 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F3 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-17-009514 · edgar.xml · nonDerivative · entry 1

Hunsaker Craig E · CIK 0001509282 · EVP, People & Culture and GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,388

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 · balance_after: Includes 4,166 shares acquired on May 15, 2017, under the Issuer's 2007 Employee Stock Purchase Plan.

SEC source: 0001179110-17-009514 · edgar.xml · derivative · entry 2

Hunsaker Craig E · CIK 0001509282 · EVP, People & Culture and GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,576

Underlying: Common Stock · 33,576 shares

Expires 2027-06-15

F2 · derivative.exercise_date: The option grant was approved by a committee of the Issuer's Board of Directors on February 21, 2017, subject to shareholder approval of an amendment to the Issuer's 2016 Equity Incentive Plan to increase the maximum number of shares that may be granted to any one participant during a one-year period to 500,000. The Issuer's shareholders approved the amendment on June 15, 2017. The option vests in 36 monthly installments beginning March 21, 2017, except that all vesting attributable to periods prior to June 15, 2017 is deemed to have occurred on June 15, 2017.

F2 · derivative.expiration_date: The option grant was approved by a committee of the Issuer's Board of Directors on February 21, 2017, subject to shareholder approval of an amendment to the Issuer's 2016 Equity Incentive Plan to increase the maximum number of shares that may be granted to any one participant during a one-year period to 500,000. The Issuer's shareholders approved the amendment on June 15, 2017. The option vests in 36 monthly installments beginning March 21, 2017, except that all vesting attributable to periods prior to June 15, 2017 is deemed to have occurred on June 15, 2017.

SEC source: 0001179110-17-009621 · edgar.xml · derivative · entry 2

Mowry David H · CIK 0001414301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,090

Underlying: Common Stock · 28,090 shares

Expires 2027-04-25

F2 · derivative.exercise_date: The option vests 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments.

SEC source: 0001179110-17-009621 · edgar.xml · nonDerivative · entry 1

Mowry David H · CIK 0001414301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,939

F1 · shares: The shares vest in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001179110-17-009626 · edgar.xml · derivative · entry 2

CROSS LESLIE H · CIK 0001248189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,090

Underlying: Common Stock · 28,090 shares

Expires 2027-04-25

F2 · derivative.exercise_date: The option vests 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments.

SEC source: 0001179110-17-009626 · edgar.xml · nonDerivative · entry 1

CROSS LESLIE H · CIK 0001248189 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,382

F1 · shares: The shares vest in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001179110-17-009624 · edgar.xml · derivative · entry 2

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,090

Underlying: Common Stock · 28,090 shares

Expires 2027-04-25

F2 · derivative.exercise_date: The option vests 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments.

SEC source: 0001179110-17-009624 · edgar.xml · nonDerivative · entry 1

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,941

F1 · shares: The shares vest in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001179110-17-009617 · edgar.xml · derivative · entry 2

Oneil Stephen · CIK 0001364564 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,090

Underlying: Common Stock · 28,090 shares

Expires 2027-04-25

F2 · derivative.exercise_date: The option vests 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments.

SEC source: 0001179110-17-009617 · edgar.xml · nonDerivative · entry 1

Oneil Stephen · CIK 0001364564 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,006

F1 · shares: The shares vest in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001179110-17-009613 · edgar.xml · derivative · entry 3

Molson R Ian · CIK 0001364553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,090

Underlying: Common Stock · 28,090 shares

Expires 2027-04-25

F3 · derivative.exercise_date: The option vests 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments.

SEC source: 0001179110-17-009613 · edgar.xml · nonDerivative · entry 1

Molson R Ian · CIK 0001364553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,834

F1 · shares: The shares vest in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0000899243-17-009011 · doc4.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

F1 · security: The restricted stock units ("RSUs") vest annually within 25% vesting on the anniversary of the grant date, and 25% vesting each anniversary thereafter.

F2 · shares: Each RSU represents a contingent right to receive one share of the issuer's common stock.

SEC source: 0000899243-17-009013 · doc4.xml · nonDerivative · entry 1

Snider Brian · CIK 0001702383 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

F1 · security: The restricted stock units ("RSUs") vest annually within 25% vesting on the anniversary of the grant date, and 25% vesting each anniversary thereafter.

F2 · shares: Each RSU represents a contingent right to receive one share of the issuer's common stock.

SEC source: 0000899243-17-009010 · doc4.xml · derivative · entry 2

Plunkett Michael Joseph · CIK 0001492279 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained.

SEC source: 0000899243-17-009010 · doc4.xml · derivative · entry 1

Plunkett Michael Joseph · CIK 0001492279 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150

Underlying: Common Stock · 75,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained.

SEC source: 0000899243-17-009011 · doc4.xml · derivative · entry 3

Black Jeffrey G. · CIK 0001449439 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by IRA

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F4 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained.

F4 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained.

SEC source: 0000899243-17-009011 · doc4.xml · derivative · entry 2

Black Jeffrey G. · CIK 0001449439 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · by IRA

Disclosed balance after: 50

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F3 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained.

F3 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained.

SEC source: 0000899243-17-009021 · doc4.xml · derivative · entry 2

Rich Terry · CIK 0001544482 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following that date that shareholder approval is obtained.

SEC source: 0000899243-17-009021 · doc4.xml · derivative · entry 1

Rich Terry · CIK 0001544482 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the issuer's common stock following that date that shareholder approval is obtained.