BCDA

SEC source: 0001437749-19-017334 · rdgdoc.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,186

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 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017337 · rdgdoc.xml · derivative · entry 7

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,594 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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

F4 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

SEC source: 0001437749-19-017337 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,594

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: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F2 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017333 · rdgdoc.xml · derivative · entry 2

Quertermous Thomas · CIK 0001647524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,594 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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

F4 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

SEC source: 0001437749-19-017333 · rdgdoc.xml · nonDerivative · entry 1

Quertermous Thomas · CIK 0001647524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,681

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: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F2 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017328 · rdgdoc.xml · derivative · entry 2

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,594 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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

F4 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

SEC source: 0001437749-19-017328 · rdgdoc.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,961

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: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F2 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017330 · rdgdoc.xml · derivative · entry 4

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567

Underlying: Common Stock · 3,594 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

F6 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

SEC source: 0001437749-19-017330 · rdgdoc.xml · nonDerivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,303

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 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017326 · rdgdoc.xml · derivative · entry 4

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567

Underlying: Common Stock · 3,594 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

F6 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

SEC source: 0001437749-19-017326 · rdgdoc.xml · nonDerivative · entry 2

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,748

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 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017324 · rdgdoc.xml · derivative · entry 4

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567

Underlying: Common Stock · 3,594 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

F6 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

SEC source: 0001437749-19-017324 · rdgdoc.xml · nonDerivative · entry 2

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,748

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 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-015681 · rdgdoc.xml · derivative · entry 7

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 25,000 shares

Expires 2020-06-05

F1 · derivative.exercise_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-19-016064 · rdgdoc.xml · derivative · entry 5

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,250 shares

Expires 2020-01-05

F1 · derivative.exercise_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

SEC source: 0001437749-19-016067 · rdgdoc.xml · derivative · entry 2

McClung David · CIK 0001686155 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,250 shares

Expires 2020-01-05

F1 · derivative.exercise_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

SEC source: 0001437749-19-016066 · rdgdoc.xml · derivative · entry 2

Duckers Eric · CIK 0001686154 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 3,125 shares

Expires 2020-01-05

F1 · derivative.exercise_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

SEC source: 0001437749-19-016065 · rdgdoc.xml · derivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 25,000 shares

Expires 2020-01-05

F1 · derivative.exercise_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

SEC source: 0001437749-19-013101 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,827

F1 · price: This transaction was executed in multiple trades at prices ranging from $7.99 to $9.50 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-012849 · rdgdoc.xml · nonDerivative · entry 3

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,227

SEC source: 0001437749-19-012849 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,127

F1 · price: This transaction was executed in multiple trades at prices ranging from $10.00 to $11.95 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-012849 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,627

SEC source: 0001437749-19-012461 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,527

SEC source: 0001437749-19-012312 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,227

F2 · price: This transaction was executed in multiple trades at prices ranging from $11.00 to $12.16 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-012312 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,827

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.225 to $10.05 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-012007 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,428

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.25 to $11.16 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-012007 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,128

SEC source: 0001437749-19-011642 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,028

SEC source: 0001437749-19-011642 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,928

F1 · price: This transaction was executed in multiple trades at prices ranging from $11.00 to $12.00 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-011512 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 745,142

SEC source: 0001437749-19-011512 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 745,042

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.005 to $1.015 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-011064 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 743,142

SEC source: 0001437749-19-010527 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 742,942

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.15 to $1.20 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-010527 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 741,842

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.085 to $1.17 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-008608 · rdgdoc.xml · nonDerivative · entry 2

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 740,842

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.98 to $1.06 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-008608 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 734,842

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.13 to $1.23 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001437749-19-002788 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 729,842

SEC source: 0001437749-19-017334 · rdgdoc.xml · derivative · entry 6

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,161

Underlying: Common Stock · 567 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

F5 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-19-017334 · rdgdoc.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,592

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: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017330 · rdgdoc.xml · derivative · entry 3

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,161

Underlying: Common Stock · 567 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

F5 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-19-017330 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,709

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: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017326 · rdgdoc.xml · derivative · entry 3

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,161

Underlying: Common Stock · 567 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

F5 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-19-017326 · rdgdoc.xml · nonDerivative · entry 1

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,154

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: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-017324 · rdgdoc.xml · derivative · entry 3

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,161

Underlying: Common Stock · 567 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

F5 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-19-017324 · rdgdoc.xml · nonDerivative · entry 1

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,154

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: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-18-022649 · rdgdoc.xml · derivative · entry 2

FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby Frost Gamma Investments Trust, of which the Reporting Person is trustee, purchased 2,000,000 shares of Common Stock of the Issuer and a warrant to purchase 1,000,000 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder.

SEC source: 0001437749-18-022649 · rdgdoc.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,875,318

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby Frost Gamma Investments Trust, of which the Reporting Person is trustee, purchased 2,000,000 shares of Common Stock of the Issuer and a warrant to purchase 1,000,000 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2 · balance_after: On November 2, 2017, the Issuer effected a 1-12 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F3 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder.

SEC source: 0001437749-18-022658 · rdgdoc.xml · derivative · entry 7

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 833,333

Underlying: Common Stock · 833,333 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-18-022658 · rdgdoc.xml · derivative · entry 6

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 833,333

Underlying: Common Stock · 833,333 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-022658 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,076,346

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.