BEEM

SEC source: 0001209191-22-052918 · doc4.xml · nonDerivative · entry 2

Townsend Battery Partners, LLC · CIK 0001593506 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Townsend AC, LLC

Disclosed balance after: 1,048,665

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.55 to $13.67, inclusive.

F2 · ownership.nature: Townsend Battery Partners, LLC is a member of EPS Holding, LLC, a Delaware limited liability company ("EPS"), which is the Sole Member of TES Co-Investor, LLC ("Co-Investor"). EPS and Co-Investor are the Members and EPS is the Manager of Townsend Energy Solutions, LLC, a Delaware limited liability company ("Energy Solutions"). Energy Solutions is the sole member of TBP Investments, LLC, a Delaware limited liability company, which, along with Dennis Townsend and Townsend Ventures, LLC, a Delaware limited liability company, is a Member of Townsend AC, LLC.

SEC source: 0001209191-22-052918 · doc4.xml · nonDerivative · entry 1

Townsend Battery Partners, LLC · CIK 0001593506 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Townsend AC, LLC

Disclosed balance after: 1,049,390

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.55 to $13.54, inclusive. The reporting person undertakes to provide to Beam Global, any security holder of Beam Global, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (3), and (4) to this Form 4.

F2 · ownership.nature: Townsend Battery Partners, LLC is a member of EPS Holding, LLC, a Delaware limited liability company ("EPS"), which is the Sole Member of TES Co-Investor, LLC ("Co-Investor"). EPS and Co-Investor are the Members and EPS is the Manager of Townsend Energy Solutions, LLC, a Delaware limited liability company ("Energy Solutions"). Energy Solutions is the sole member of TBP Investments, LLC, a Delaware limited liability company, which, along with Dennis Townsend and Townsend Ventures, LLC, a Delaware limited liability company, is a Member of Townsend AC, LLC.

SEC source: 0001203320-22-000005 · primary_doc.xml · nonDerivative · entry 1

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,434

F1 · shares: The Company granted Mr. Davidson a restricted stock award of 5,500 shares of common stock which vests over one year in four equal installments on the last day of the next four calendar quarters following the grant, so long as Mr. Davidson is continuing to provide services to the Company.

SEC source: 0001203320-22-000004 · primary_doc.xml · nonDerivative · entry 1

Floyd Nancy C · CIK 0001522601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,992

F1 · shares: The Company granted Ms. Floyd a restricted stock award of 5,500 shares of common stock which vests over one year in four equal installments on the last day of the next four calendar quarters following the grant, so long as Ms. Floyd is continuing to provide services to the Company.

SEC source: 0001203320-22-000003 · primary_doc.xml · nonDerivative · entry 1

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,895

F1 · shares: The Company granted Mr. Posawatz a restricted stock award of 7,700 shares of common stock which vests over one year in four equal installments on the last day of the next four calendar quarters following the grant, so long as Mr. Posawatz is continuing to provide services to the Company.

SEC source: 0001203320-22-000002 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,422.2626

F1 · kind: The Sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The shares were sold to satisfy the withholding and tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $22.15 to $22.59. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-22-000001 · primary_doc.xml · nonDerivative · entry 2

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,922.2626

F2 · kind: The Sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The shares were sold to satisfy the withholding and tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $18.78 to $19.25. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-22-000001 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,222.2626

F1 · shares: Effective on January 3, 2022, Mr. Wheatley was granted a restricted stock award of 7,436 shares of the Company's common stock which vests as follows: For 3,718 restricted shares, one-fourth will vest quarterly beginning on March 31, 2022. For the remaining 3,718 restricted shares, one-twelfth will vest quarterly beginning on March 31, 2022.

SEC source: 0001203320-21-000013 · primary_doc.xml · nonDerivative · entry 2

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,786.2626

F1 · kind: The Sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The shares were sold to satisfy the withholding and tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000013 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,806.2626

F1 · kind: The Sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The shares were sold to satisfy the withholding and tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $25.75 to $26.71. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-21-000015 · primary_doc.xml · nonDerivative · entry 1

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,195

F1 · shares: The Company granted Mr. Posawatz a restricted stock award of 4,000 shares of common stock which vests over one year in four equal installments on the last day of the next four calendar quarters following the grant, so long as Mr. Posawatz is continuing to provide services to the Company.

SEC source: 0001203320-21-000014 · primary_doc.xml · nonDerivative · entry 1

Floyd Nancy C · CIK 0001522601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,492

F1 · shares: The Company granted Ms. Floyd a restricted stock award of 2,900 shares of common stock which vest over one year in four equal installments on the last day of the next four calendar quarters following the grant, so long as Ms. Floyd is continuing to provide services to the Company.

SEC source: 0001203320-21-000016 · primary_doc.xml · nonDerivative · entry 1

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,934

F1 · shares: The Company granted Mr. Davidson a restricted stock award of 2,900 shares of common stock which vests over one year in four equal installments on the last day of the next four calendar quarters beginning on 12/31/21, so long as Mr. Davidson is continuing to provide services to the Company.

SEC source: 0001203320-21-000012 · primary_doc.xml · derivative · entry 3

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,000

Underlying: Common Stock · 86,400 shares

Expires 2021-08-09

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: 0001203320-21-000012 · primary_doc.xml · nonDerivative · entry 2

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,186.2626

F1 · kind: Represents shares withheld by Issuer for cashless exercise of expiring stock options solely to cover exercise price and required withholding taxes.

SEC source: 0001203320-21-000012 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,186.2626

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: 0001203320-21-000011 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,551.2626

F1 · kind: The Sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The shares were sold to satisfy the withholding and tax obligations relating to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000010 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Reporting person as custodian for the benefit of his minor child

Disclosed balance after: 41,051.2626

F1 · ownership.nature: Shares purchased by reporting person as a birthday gift for his son.

SEC source: 0001203320-21-000009 · primary_doc.xml · nonDerivative · entry 5

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,195

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000009 · primary_doc.xml · nonDerivative · entry 4

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,943

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000009 · primary_doc.xml · nonDerivative · entry 3

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,043

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000009 · primary_doc.xml · nonDerivative · entry 2

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,143

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000009 · primary_doc.xml · nonDerivative · entry 1

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,243

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000008 · primary_doc.xml · nonDerivative · entry 2

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,034

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person

F3 · price: This transaction was executed in multiple trades at prices ranging from $36.02 to $36.575. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-21-000008 · primary_doc.xml · nonDerivative · entry 1

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,749

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person

F2 · price: This transaction was executed in multiple trades at prices ranging from $35.02 to $36.00. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-21-000007 · primary_doc.xml · nonDerivative · entry 2

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,034

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000007 · primary_doc.xml · nonDerivative · entry 1

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,634

F1 · kind: The shares were sold to satisfy tax obligations related to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

SEC source: 0001203320-21-000006 · primary_doc.xml · nonDerivative · entry 1

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,557

F1 · shares: The Company granted Mr. Posawatz a restricted stock award of 2,246 shares of common stock of which 1,021 will vest on June 30, 2021 and 1,225 will vest on September 30, 2021, so long as Mr. Posawatz is continuing to provide services to the Company

SEC source: 0001203320-21-000005 · primary_doc.xml · nonDerivative · entry 1

Floyd Nancy C · CIK 0001522601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,592

F1 · shares: The Company granted Ms. Floyd a restricted stock award of 5,592 shares of common stock of which 2,542 shares will vest on June 30, 2021 and 3,050 shares will vest on September 30, 2021, so long as Ms. Floyd is continuing to provide services to the Company.

SEC source: 0001203320-21-000003 · primary_doc.xml · nonDerivative · entry 2

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,038

F1 · kind: The Sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The shares were sold to satisfy the withholding and tax obligations relating to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $40.16 to $40.35. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-21-000003 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,638

F1 · kind: The Sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The shares were sold to satisfy the withholding and tax obligations relating to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $39.13 to $40.10. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-21-000002 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,288

F1 · shares: Effective on April 1, 2021, Mr. Wheatley was granted a restricted stock award of 2,806 shares of the Company's common stock which vests as follows: For 1,403 restricted shares, one-third will vest quarterly beginning on June 30, 2021. For the remaining 1,403 restricted shares, one-eleventh will vest quarterly beginning on June 30, 2021.

SEC source: 0001203320-21-000001 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,482

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. The shares were sold to satisfy the withholding and tax obligations relating to the issuance of shares upon the vesting of restricted stock previously granted to the reporting person.

F1 · price: This transaction was executed in multiple trades at prices ranging from $61.28 to $62.25. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-20-000008 · primary_doc.xml · nonDerivative · entry 1

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,034

SEC source: 0001203320-20-000007 · primary_doc.xml · nonDerivative · entry 3

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,034

SEC source: 0001203320-20-000007 · primary_doc.xml · nonDerivative · entry 2

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,050

SEC source: 0001203320-20-000007 · primary_doc.xml · nonDerivative · entry 1

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,192

F1 · shares: This transaction was executed in multiple trades at prices ranging from $21.00 to $21.65. The price reported reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001203320-20-000006 · primary_doc.xml · nonDerivative · entry 1

SCHWEITZER ROBERT C · CIK 0001254385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,600

F1 · shares: The Company granted Mr. Schweitzer a restricted stock award of 17,100 shares of common stock which vest over one year in four equal installments on the last day of the next four calendar quarters following the grant, so long as Mr. Schweitzer is continuing to provide services to the Company.

SEC source: 0001203320-20-000005 · primary_doc.xml · nonDerivative · entry 1

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,311

F1 · shares: The Company granted Mr. Posawatz a restricted stock award of 12,200 shares of common stock which vest over one year in four equal installments on the last day of the next four calendar quarters following the grant, so long as Mr. Posawatz is continuing to provide services to the Company.

SEC source: 0001203320-20-000004 · primary_doc.xml · nonDerivative · entry 1

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,034

F1 · shares: The Company granted Mr. Davidson a restricted stock award of 12,200 shares of common stock which vest over one year in four equal installments on the last day of the next four calendar quarters following the grant, so long as Mr. Davidson is continuing to provide services to the Company.

SEC source: 0001203320-20-000003 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,532

F1 · shares: Effective on June 17, 2020, Mr. Wheatley was granted a restricted stock award of 20,408 shares of the Company's common stock which vests as follows: For 10,204 restricted shares, one-fourth will vest quarterly beginning on June 30, 2020. For the remaining 10,204 restricted shares, one-twelfth will vest quarterly beginning on June 30, 2020.

SEC source: 0001203320-19-000008 · primary_doc.xml · nonDerivative · entry 2

SCHWEITZER ROBERT C · CIK 0001254385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

F3 · shares: The Company granted Mr. Schweitzer a restricted stock award of 17,500 shares of common stock which vest over one year in four equal installments at the end of each quarter starting on December 31, 2019 so long as Mr. Schweitzer is continuing to provide services to the Company.

SEC source: 0001203320-19-000008 · primary_doc.xml · nonDerivative · entry 1

SCHWEITZER ROBERT C · CIK 0001254385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Reflects the 50 for 1 reverse split that became effective on April 15, 2019.

F2 · shares: Envision Solar International, Inc. (the "Company") granted Mr. Schweitzer a restricted stock award of 30,000 shares on 12/31/2016. The Company and Mr. Schweitzer agreed to terminate 20,000 of these shares of restricted common stock that remain unvested as of October 1, 2019.

SEC source: 0001203320-19-000010 · primary_doc.xml · nonDerivative · entry 3

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,111

F3 · shares: The Company granted Mr. Posawatz a restricted stock award of 12,500 shares of common stock which vest over one year in four equal installments at the end of each quarter starting on December 31, 2019 so long as Mr. Posawatz is continuing to provide services to the Company.

SEC source: 0001203320-19-000010 · primary_doc.xml · nonDerivative · entry 2

Posawatz Anthony L · CIK 0001789879 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,611

F2 · shares: The Company and Mr. Posawatz agreed to terminate 2,500 shares of restricted common stock that remain unvested as of October 1, 2019.

SEC source: 0001203320-19-000011 · primary_doc.xml · nonDerivative · entry 1

WHEATLEY DESMOND C · CIK 0001528078 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,124

F1 · shares: Effective October 1, 2019, Mr. Wheatley was granted a restricted stock award of 25,124 shares of the Company's common stock which vest as follows: For 12,562 restricted shares, one-half will vest on October 1, 2019 and the remaining one-half will vest in two equal installments on December 31, 2019 and March 31, 2020. For the remaining 12,562 restricted shares, one-sixth of these shares will vest on October 1, 2019 and the remaining shares will vest quarterly thereafter at the end of each quarter beginning December 31, 2019 through March 31, 2022.

SEC source: 0001203320-19-000007 · primary_doc.xml · nonDerivative · entry 3

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

F4 · shares: The Company granted Mr. Davidson a restricted stock award of 12,500 shares of common stock which vest over one year in four equal installments at the end of each quarter starting on December 31, 2019 so long as Mr. Davidson is continuing to provide services to the Company.

SEC source: 0001203320-19-000007 · primary_doc.xml · nonDerivative · entry 2

DAVIDSON PETER WARNER · CIK 0001763927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F3 · shares: The Company and Mr. Davidson agreed to terminate 2,500 shares of restricted common stock that remain unvested as of October 1, 2019.

SEC source: 0001203320-19-000002 · primary_doc.xml · derivative · entry 1

MCDERMOTT KATHERINE H · CIK 0001203320 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,104

Underlying: Common Stock · 49,104 shares

Expires 2019-07-23

F1 · derivative.exercise_date: The option vests and becomes exercisable in 48 equal monthly installments with the first vesting date beginning on August 31, 2019.

SEC source: 0001203320-19-000004 · primary_doc.xml · derivative · entry 1

MCDERMOTT KATHERINE H · CIK 0001203320 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,104

Underlying: Common Stock · 49,104 shares

Expires 2029-07-23

F1 · derivative.exercise_price: The exercise price of derivative security was changed from $5.56 to $5.78.

F2 · derivative.exercise_date: The option vests and becomes exercisable in 48 equal monthly installments with the first vesting date beginning on August 31, 2019.

F3 · derivative.expiration_date: The expiration date was changed from 7/23/2019 to 7/23/2029.