CALX

SEC source: 0001406666-20-000086 · wf-form4_159778134455210.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,119

F1 · shares: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of May 15, 2020 through August 14, 2020. This transaction is exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on May 15, 2020, the first day of the purchase period.

SEC source: 0001406666-20-000081 · wf-form4_159657182539951.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 792,477

F1 · price: Shares purchased between $20.935 and $21.04 per share at a weighted average price of $20.9997. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested restricted stock units.

SEC source: 0001406666-20-000070 · wf-form4_159173325110733.xml · derivative · entry 2

EVERETT MICHAEL T · CIK 0001235467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2020-07-20

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: 1/12th of the shares subject to the option will vest and become exercisable in twelve (12) successive and equal monthly installments after July 20, 2010 ("the Vesting Commencement Date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the first anniversary of the Vesting Commencement Date.

SEC source: 0001406666-20-000070 · wf-form4_159173325110733.xml · nonDerivative · entry 1

EVERETT MICHAEL T · CIK 0001235467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,706

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: Amount of securities beneficially owned includes 12,477 unvested restricted stock units.

SEC source: 0001406666-20-000056 · wf-form4_159018790497283.xml · nonDerivative · entry 2

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,927

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of RSUs.

F4 · price: Shares sold between $12.36 and $12.67 per share at a weighted average price of $12.5352. The reporting person will provide full information regarding the number of shares sold at each purchase price upon request.

F3 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000058 · wf-form4_159052383629315.xml · derivative · entry 1

Russo Carl · CIK 0001483757 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2030-05-22

F1 · derivative.exercise_date: 25% of the shares subject to the stock option grant will vest on May 22, 2021, with the remainder vesting quarterly thereafter in substantially equal installments over the next 36 months, subject to the reporting person's service through each applicable vesting date.

SEC source: 0001406666-20-000056 · wf-form4_159018790497283.xml · nonDerivative · entry 1

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,981

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of RSUs.

F2 · price: Shares sold between $12.23 and $12.43 per share at a weighted average price of $12.34. The reporting person will provide full information regarding the number of shares sold at each purchase price upon request.

F3 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000054 · wf-form4_159001185556131.xml · nonDerivative · entry 1

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,034

F1 · kind: Represents shares sold pursuant to a Rule 10b5-1 trading plan to satisfy certain tax withholding obligations associated with annual releases of RSUs.

F2 · price: Shares sold between $12.04 and $12.49 per share at a weighted average price of $12.2688. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F3 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000052 · wf-form4_158957323141603.xml · nonDerivative · entry 1

Weening Michael · CIK 0001678385 · EVP, Field Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,374

F1 · shares: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of November 15, 2019 through May 14, 2020. This transaction is exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on November 15, 2019, the first trading day of the purchase period.

SEC source: 0001406666-20-000050 · wf-form4_158957312380411.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of November 15, 2019 through May 14, 2020. This transaction is exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on November 15, 2019, the first trading day of the purchase period.

SEC source: 0001406666-20-000045 · wf-form4_158940829817901.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,211

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000043 · wf-form4_158940612136541.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 777,477

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000042 · wf-form4_158940598848621.xml · nonDerivative · entry 1

Peters Kevin Robert · CIK 0001622622 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,028

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000040 · wf-form4_158940589315680.xml · nonDerivative · entry 1

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,885

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000038 · wf-form4_158940575021989.xml · nonDerivative · entry 1

Makagon Kira · CIK 0001586648 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,275

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000035 · wf-form4_158940557090669.xml · nonDerivative · entry 1

EVERETT MICHAEL T · CIK 0001235467 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,706

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000033 · wf-form4_158940550026089.xml · nonDerivative · entry 1

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,380

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000031 · wf-form4_158940538635722.xml · nonDerivative · entry 1

CRUSCO KATHLEEN M · CIK 0001237508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,881

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000029 · wf-form4_158940530451827.xml · nonDerivative · entry 1

BOWICK CHRISTOPHER J · CIK 0001198471 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,087

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 12,477 unvested RSUs.

SEC source: 0001406666-20-000027 · wf-form4_158862332445424.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 765,000

F1 · price: Shares purchased between $11.81 and $12.2811 per share at a weighted average price of $12.1136. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

SEC source: 0001406666-20-000020 · wf-form4_158292743180348.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 623,907

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001406666-20-000015 · wf-form4_158215199701533.xml · nonDerivative · entry 2

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 235,000

F3 · price: Shares purchased between $10.19 and $10.22 per share at a weighted average price of $10.2019. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F4 · balance_after: Shares held by No Mas Ninos, L.P. The reporting person is a general partner of No Mas Ninos, L.P. and may be deemed to have shared voting and investment power over the shares held by the partnership.

SEC source: 0001406666-20-000015 · wf-form4_158215199701533.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 735,000

F1 · price: Shares purchased between $10.19 and $10.22 per share at a weighted average price of $10.2016. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-20-000013 · wf-form4_158172124618095.xml · derivative · entry 1

Weening Michael · CIK 0001678385 · EVP, Field Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,274,000

Underlying: Common Stock · 90,000 shares

Expires 2029-02-14

F1 · derivative.exercise_date: On February 14, 2019, the reporting person was awarded a performance-based nonqualified stock option grant covering 300,000 shares of common stock. On February 13, 2020, the Compensation Committee of Calix, Inc. determined that the performance criteria governing 30% of the grant had been achieved, resulting in a nonqualified stock option award of 90,000 shares of common stock for the reporting person. The nonqualified stock option award shall vest: (i) as to 25% of the shares of common stock subject to the stock option award, on February 13, 2020; and (ii) as to the remaining 75% of the shares of common stock subject to the stock option award, quarterly in equal installments over 36 months from February 13, 2020.

F2 · balance_after: Amount of derivative securities beneficially owned includes 788,500 unvested nonqualified stock option awards.

SEC source: 0001406666-20-000011 · wf-form4_158172117248126.xml · derivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,000

Underlying: Common Stock · 72,000 shares

Expires 2029-02-14

F1 · derivative.exercise_date: On February 14, 2019, the reporting person was awarded a performance-based nonqualified stock option grant covering 240,000 shares of common stock. On February 13, 2020, the Compensation Committee of Calix, Inc. determined that the performance criteria governing 30% of the grant had been achieved, resulting in a nonqualified stock option award of 72,000 shares of common stock for the reporting person. The nonqualified stock option award shall vest: (i) as to 25% of the shares of common stock subject to the stock option award, on February 13, 2020; and (ii) as to the remaining 75% of the shares of common stock subject to the stock option award, quarterly in equal installments over 36 months from February 13, 2020.

F2 · balance_after: Amount of derivative securities beneficially owned includes 430,250 unvested nonqualified stock option awards.

SEC source: 0001406666-20-000006 · wf-form4_158136889665207.xml · nonDerivative · entry 1

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,903

F1 · price: Shares purchased between $9.22 and $9.30 per share at a weighted average price of $9.2592. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

SEC source: 0001406666-19-000134 · wf-form4_157740962797639.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 725,000

F1 · kind: Represents a bona fide gift by reporting person.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-19-000132 · wf-form4_157534132442618.xml · derivative · entry 2

Weening Michael · CIK 0001678385 · EVP, Field Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2029-11-27

F1 · derivative.exercise_date: 25% of the shares subject to the stock option grant will vest on November 27, 2020, with the remainder vesting quarterly thereafter in substantially equal installments over the next 36 months, subject to the reporting person's continued employment with Calix through the applicable vesting dates.

SEC source: 0001406666-19-000131 · wf-form4_157534128319697.xml · derivative · entry 2

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-11-27

F1 · derivative.exercise_date: 25% of the shares subject to the stock option grant will vest on November 27, 2020, with the remainder vesting quarterly thereafter in substantially equal installments over the next 36 months, subject to the reporting person's continued employment with Calix through the applicable vesting dates.

SEC source: 0001406666-19-000122 · wf-form4_157385208527060.xml · nonDerivative · entry 1

Weening Michael · CIK 0001678385 · EVP, Field Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,374

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of May 15, 2019 through November 14, 2019. This transaction is exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on May 15, 2019, the first day of the purchase period.

SEC source: 0001406666-19-000124 · wf-form4_157385215161228.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,000

F1 · kind: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of May 15, 2019 through November 14, 2019. This transaction is exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on May 15, 2019, the first day of the purchase period.

SEC source: 0001406666-19-000120 · wf-form4_157298796473639.xml · nonDerivative · entry 2

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,408

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-19-000120 · wf-form4_157298796473639.xml · nonDerivative · entry 1

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,208

F1 · price: Shares sold between $7.60 and $7.62 per share at a weighted average price of $7.6109. The reporting person will provide full information regarding the number of shares sold at each purchase price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-19-000118 · wf-form4_157255439700672.xml · nonDerivative · entry 1

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,408

F1 · price: Shares sold between $7.74 and $7.79 per share at a weighted average price of $7.7534. The reporting person will provide full information regarding the number of shares sold at each sale price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-19-000116 · wf-form4_157246664864587.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 225,000

F1 · price: Shares purchased between $7.95 and $8.00 per share at a weighted average price of $7.9693. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F2 · balance_after: Shares held by No Mas Ninos, L.P. The reporting person is a general partner of No Mas Ninos, L.P. and may be deemed to have shared voting and investment power over the shares held by the partnership.

SEC source: 0001406666-19-000102 · wf-form4_156694472208568.xml · nonDerivative · entry 3

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,423,907

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is the managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001406666-19-000102 · wf-form4_156694472208568.xml · nonDerivative · entry 2

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,407,628

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is the managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001406666-19-000104 · wf-form4_156702389897392.xml · nonDerivative · entry 1

Matthews Michael · CIK 0001507710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,408

F1 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-19-000102 · wf-form4_156694472208568.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,393,282

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is the managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001406666-19-000099 · wf-form4_156635046273593.xml · nonDerivative · entry 3

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse IRA

Disclosed balance after: 3,900

F5 · price: Shares purchased between $5.7800 and $5.7900 per share at a weighted average price of $5.7890. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

SEC source: 0001406666-19-000099 · wf-form4_156635046273593.xml · nonDerivative · entry 2

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,000

F3 · price: Shares purchased between $5.7100 and $5.7380 per share at a weighted average price of $5.7262. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F4 · ownership.nature: Shares purchased by Mount Madonna Ranch LLC. The reporting person is the manager of Mount Madonna Ranch LLC.

SEC source: 0001406666-19-000099 · wf-form4_156635046273593.xml · nonDerivative · entry 1

DENUCCIO KEVIN A · CIK 0001227891 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,403

F1 · price: Shares purchased between $5.77 and $5.7900 per share at a weighted average price of $5.7866. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-19-000097 · wf-form4_156520931294755.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

F1 · price: Shares purchased between $5.9342 and $5.9950 per share at a weighted average price of $5.9636. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-19-000095 · wf-form4_156469066201443.xml · nonDerivative · entry 1

SINDELAR CORY · CIK 0001226868 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,000

F1 · price: Shares purchased between $6.20 and $6.24 per share at a weighted average price of $6.216. The reporting person will provide full information regarding the number of shares purchased at each purchase price upon request.

SEC source: 0001406666-19-000093 · wf-form4_156451759636151.xml · nonDerivative · entry 1

LISTWIN DONALD J · CIK 0001211436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 733,648

F1 · balance_after: Amount of securities beneficially owned includes 21,148 unvested restricted stock units.

SEC source: 0001406666-19-000086 · wf-form4_155959224638985.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,363,782

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is the managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001406666-19-000084 · wf-form4_155934271923337.xml · nonDerivative · entry 1

PLANTS J DANIEL · CIK 0001626681 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Owned by Voce Capital Management LLC

Disclosed balance after: 1,361,182

F1 · ownership.nature: Shares held by Voce Capital Management LLC. Mr. Plants is the managing member of Voce Capital Management LLC and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001406666-19-000077 · wf-form4_155864295763959.xml · nonDerivative · entry 1

Peters Kevin Robert · CIK 0001622622 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,551

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

SEC source: 0001406666-19-000074 · wf-form4_155864287246848.xml · nonDerivative · entry 1

Makagon Kira · CIK 0001586648 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,798

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.

SEC source: 0001406666-19-000079 · wf-form4_155864301867854.xml · nonDerivative · entry 1

CRUSCO KATHLEEN M · CIK 0001237508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,404

F1 · shares: Represents an automatic annual grant of restricted stock units ("RSUs") that will vest in full one day prior to the issuer's next annual stockholder meeting. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Amount of securities beneficially owned includes 21,148 unvested RSUs.