CANN

SEC source: 0001415889-20-003037 · form4-12282020_041207.xml · derivative · entry 2

Williams Carl J · CIK 0001295097 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,715

Underlying: Common stock · 35,715 shares

Expires 2025-12-23

F2 · price: In connection with the SPA, the Reporting Person also received Warrants to purchase the number of shares of the Issuer's Common Stock equal to 20% of the principal amount of the Note divided by the exercise price of $0.56.

SEC source: 0001415889-20-003037 · form4-12282020_041207.xml · derivative · entry 1

Williams Carl J · CIK 0001295097 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,923

Underlying: Common stock · 76,923 shares

Expires 2023-12-23

F1 · derivative.exercise_price: Pursuant to a Securities Purchase Agreement ("SPA") entered into on December 23, 2020 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Note") accrues interest at a rate of 10% per annum. The Reporting Person purchased a Note in the principal amount of $100,000 and has the option to convert up to 50% of the outstanding unpaid principal and accrued interest of the Note into the Issuer's Common Stock at a variable price of 80% of the market price but no less than $0.65 per share and no more than $1.00 per share.

F1 · price: Pursuant to a Securities Purchase Agreement ("SPA") entered into on December 23, 2020 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Note") accrues interest at a rate of 10% per annum. The Reporting Person purchased a Note in the principal amount of $100,000 and has the option to convert up to 50% of the outstanding unpaid principal and accrued interest of the Note into the Issuer's Common Stock at a variable price of 80% of the market price but no less than $0.65 per share and no more than $1.00 per share.

SEC source: 0001415889-20-002905 · form4-12152020_051202.xml · derivative · entry 2

HERSHEY ADAM · CIK 0001440975 · Director · 10% owner

Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

Hershey Management IV, LLC · CIK 0001814077 · 10% owner

Shore Ventures III, LP · CIK 0001721551 · 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: 1,087,333

Underlying: Common stock · 1,087,333 shares

Expires 2025-12-11

F3 · ownership.nature: Represents warrants to purchase shares of the common stock of the Issuer, that were acquired by Shore Ventures on December 11, 2020 pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures and the Issuer. Such shares of common stock and warrants are held directly by Shore Ventures. Hershey Management IV, LLC is the general partner of Shore Ventures. Adam Hershey is the sole managing member of Hershey Management IV, LLC. As the general partner of Shore Ventures, Hershey Management IV, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by Shore Ventures. Each of Hershey Management IV, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by Shore Ventures except to the extent of its pecuniary interest therein.

SEC source: 0001415889-20-002905 · form4-12152020_051202.xml · derivative · entry 1

HERSHEY ADAM · CIK 0001440975 · Director · 10% owner

Hershey Strategic Capital, LP · CIK 0001465476 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

Hershey Management IV, LLC · CIK 0001814077 · 10% owner

Shore Ventures III, LP · CIK 0001721551 · 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: 543,667

Underlying: Common stock · 543,667 shares

Expires 2025-12-11

F1 · ownership.nature: Represents warrants to purchase shares of the common stock of the Issuer, that were acquired by Hershey Strategic Capital, LP ("HSC LP") on December 11, 2020 pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures III, LP ("Shore Ventures") and the Issuer. Such warrants are held directly by HSC LP. Hershey Management I, LLC is the investment advisor of HSC LP. Hershey Strategic Capital GP, LLC is the general partner of HSC LP. (continue with footnote 2)

F2 · ownership.nature: Adam Hershey is the sole managing member of both Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. As the investment advisor of HSC LP, Hershey Management I, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by HSC LP. Each of Hershey Management I, LLC, Hershey Strategic Capital GP, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by HSC LP except to the extent of its pecuniary interest therein.

SEC source: 0001104659-20-136363 · a4a.xml · derivative · entry 2

HERSHEY ADAM · CIK 0001440975 · Director · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

Hershey Strategic Capital, LP · CIK 0001465476 · Affiliated Entity

Hershey Management IV, LLC · CIK 0001814077 · Affiliated Entity

Shore Ventures III, LP · CIK 0001721551 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · Affiliated Entity

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,087,333

Underlying: Common Stock · 1,087,333 shares

Expires 2025-12-11

F3 · ownership.nature: Represents warrants to purchase shares of the common stock of the Issuer, that were acquired by Shore Ventures on December 11, 2020 pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures and the Issuer. Such shares of common stock and warrants are held directly by Shore Ventures. Hershey Management IV, LLC is the general partner of Shore Ventures. Adam Hershey is the sole managing member of Hershey Management IV, LLC. As the general partner of Shore Ventures, Hershey Management IV, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by Shore Ventures. Each of Hershey Management IV, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by Shore Ventures except to the extent of its pecuniary interest therein.

SEC source: 0001104659-20-136363 · a4a.xml · derivative · entry 1

HERSHEY ADAM · CIK 0001440975 · Director · 10% owner

HERSHEY MANAGEMENT I, LLC. · CIK 0001494208 · 10% owner

Hershey Strategic Capital, LP · CIK 0001465476 · Affiliated Entity

Hershey Management IV, LLC · CIK 0001814077 · Affiliated Entity

Shore Ventures III, LP · CIK 0001721551 · 10% owner

HERSHEY STRATEGIC CAPITAL GP, LLC · CIK 0001613737 · Affiliated Entity

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 543,667

Underlying: Common Stock · 543,667 shares

Expires 2025-12-11

F1 · ownership.nature: Represents warrants to purchase shares of the common stock of the Issuer, that were acquired by Hershey Strategic Capital, LP ("HSC LP") on December 11, 2020 pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures III, LP ("Shore Ventures") and the Issuer. Such warrants are held directly by HSC LP. Hershey Management I, LLC is the investment advisor of HSC LP. Hershey Strategic Capital GP, LLC is the general partner of HSC LP. (continue with footnote 2)

F2 · ownership.nature: Adam Hershey is the sole managing member of both Hershey Management I, LLC and Hershey Strategic Capital GP, LLC. As the investment advisor of HSC LP, Hershey Management I, LLC, which is controlled by Mr. Hershey, has the voting and dispositive power with respect to all of the securities of the Issuer owned by HSC LP. Each of Hershey Management I, LLC, Hershey Strategic Capital GP, LLC and Adam Hershey disclaims beneficial ownership in the securities of the Issuer held directly by HSC LP except to the extent of its pecuniary interest therein.

SEC source: 0001415889-20-002924 · form4-12152020_061235.xml · derivative · entry 1

Travia Richard C. · CIK 0001830896 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common stock · 37,500 shares

Expires 2025-10-28

F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2014 Equity Incentive Plan as amended.

F1 · derivative.exercise_date: All of the options vests on the one year anniversary of the grant date.

SEC source: 0001415889-20-002923 · form4-12152020_061240.xml · derivative · entry 1

Williams Carl J · CIK 0001295097 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock · Not disclosed shares

Expires 2025-10-28

F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2014 Equity Incentive Plan as amended.

F1 · derivative.exercise_date: All of the options vests on the one year anniversary of the grant date.

SEC source: 0001415889-20-002922 · form4-12152020_061242.xml · derivative · entry 1

Jones Diane · CIK 0001831947 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common stock · 300,000 shares

Expires 2027-09-13

F2 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2014 Equity Incentive Plan as amended.

F1 · derivative.exercise_date: One quarter (1/4) of the options vest on each anniversary of the grant date.

SEC source: 0001104659-20-117736 · a4.xml · derivative · entry 4

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2027-04-22

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117736 · a4.xml · derivative · entry 3

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2025-04-22

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117736 · a4.xml · derivative · entry 2

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2027-01-21

F1 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F1 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F1 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117736 · a4.xml · derivative · entry 1

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2025-01-21

F1 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F1 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F1 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 30

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-10-02

F15 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

F15 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

F15 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 29

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2024-10-02

F15 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

F15 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

F15 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 28

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-07-29

F14 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on July 29, 2019 and provides vesting over a one year period.

F14 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on July 29, 2019 and provides vesting over a one year period.

F14 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on July 29, 2019 and provides vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 27

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2024-07-29

F14 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on July 29, 2019 and provides vesting over a one year period.

F14 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on July 29, 2019 and provides vesting over a one year period.

F14 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on July 29, 2019 and provides vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 26

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2026-06-04

F13 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 4, 2019 and provides for 50% of the options to vest immediately and 50% vesting over a one year period.

F13 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 4, 2019 and provides for 50% of the options to vest immediately and 50% vesting over a one year period.

F13 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 4, 2019 and provides for 50% of the options to vest immediately and 50% vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 25

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2024-06-04

F13 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 4, 2019 and provides for 50% of the options to vest immediately and 50% vesting over a one year period.

F13 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 4, 2019 and provides for 50% of the options to vest immediately and 50% vesting over a one year period.

F13 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 4, 2019 and provides for 50% of the options to vest immediately and 50% vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 24

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2026-04-24

F12 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 24, 2019 and provides for vesting over a one year period.

F12 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 24, 2019 and provides for vesting over a one year period.

F12 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 24, 2019 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 23

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2024-04-24

F12 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 24, 2019 and provides for vesting over a one year period.

F12 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 24, 2019 and provides for vesting over a one year period.

F12 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 24, 2019 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 22

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2026-01-21

F11 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2019 and provides for vesting over a one year period.

F11 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2019 and provides for vesting over a one year period.

F11 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2019 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 21

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2024-01-21

F11 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2019 and provides for vesting over a one year period.

F11 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2019 and provides for vesting over a one year period.

F11 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2019 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 20

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-10-12

F10 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 12, 2018 and provides for vesting over a one year period.

F10 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 12, 2018 and provides for vesting over a one year period.

F10 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 12, 2018 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 19

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2023-10-12

F10 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 12, 2018 and provides for vesting over a one year period.

F10 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 12, 2018 and provides for vesting over a one year period.

F10 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 12, 2018 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 18

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-09-20

F9 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 20, 2018 and provides for vesting over a one year period.

F9 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 20, 2018 and provides for vesting over a one year period.

F9 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 20, 2018 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 17

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2023-09-20

F9 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 20, 2018 and provides for vesting over a one year period.

F9 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 20, 2018 and provides for vesting over a one year period.

F9 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 20, 2018 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 16

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-06-27

F8 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 27, 2018 and provides for vesting over a one year period.

F8 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 27, 2018 and provides for vesting over a one year period.

F8 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 27, 2018 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 15

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2023-06-27

F8 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 27, 2018 and provides for vesting over a one year period.

F8 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 27, 2018 and provides for vesting over a one year period.

F8 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 27, 2018 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 14

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-03-30

F7 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 30, 2018 and provides for vesting over a one year period.

F7 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 30, 2018 and provides for vesting over a one year period.

F7 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 30, 2018 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 13

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2023-03-30

F7 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 30, 2018 and provides for vesting over a one year period.

F7 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 30, 2018 and provides for vesting over a one year period.

F7 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 30, 2018 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 12

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2024-12-21

F6 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 21, 2017 and provides for vesting over a one year period.

F6 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 21, 2017 and provides for vesting over a one year period.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 21, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 11

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2022-12-21

F6 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 21, 2017 and provides for vesting over a one year period.

F6 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 21, 2017 and provides for vesting over a one year period.

F6 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 21, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 10

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2024-09-26

F5 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 26, 2017 and provides for vesting over a one year period.

F5 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 26, 2017 and provides for vesting over a one year period.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 26, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 9

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2022-09-26

F5 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 26, 2017 and provides for vesting over a one year period.

F5 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 26, 2017 and provides for vesting over a one year period.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on September 26, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 8

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2024-06-20

F4 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 20, 2017 and provides for vesting over a one year period.

F4 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 20, 2017 and provides for vesting over a one year period.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 20, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 7

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2022-06-20

F4 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 20, 2017 and provides for vesting over a one year period.

F4 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 20, 2017 and provides for vesting over a one year period.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on June 20, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 6

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2024-03-31

F3 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 31, 2017 and provides for vesting over a one year period.

F3 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 31, 2017 and provides for vesting over a one year period.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 31, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 5

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2022-03-31

F3 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 31, 2017 and provides for vesting over a one year period.

F3 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 31, 2017 and provides for vesting over a one year period.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on March 31, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 4

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2023-12-30

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 30, 2016 and provides for vesting over a one year period.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 30, 2016 and provides for vesting over a one year period.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 30, 2016 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 3

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2021-12-30

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 30, 2016 and provides for vesting over a one year period.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 30, 2016 and provides for vesting over a one year period.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on December 30, 2016 and provides for vesting over a one year period.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 2

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2027-09-11

F1 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2014 Equity Incentive Plan.

SEC source: 0001104659-20-117734 · a4.xml · derivative · entry 1

Boockvar Peter · CIK 0001434040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2027-09-11

F1 · price: The reporting person obtained the listed securities pursuant to the Issuer's 2014 Equity Incentive Plan.

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 10

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2027-04-22

F5 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F5 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 9

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2025-04-22

F5 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F5 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F5 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on April 22, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 8

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2027-01-21

F4 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F4 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 7

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2025-01-21

F4 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F4 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

F4 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on January 21, 2020 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 6

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-10-02

F3 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

F3 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 5

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2024-10-02

F3 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

F3 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on October 2, 2019 and provides vesting over a one year period. The new option is immediately exercisable.

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 4

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2026-08-09

F2 · kind: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on August 9, 2019 and provides vesting over a one year period.

F2 · price: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on August 9, 2019 and provides vesting over a one year period.

F2 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of replacement option. The option was originally granted on August 9, 2019 and provides vesting over a one year period.