CANN

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 3

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2024-08-09

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.

SEC source: 0001104659-20-117729 · a4.xml · derivative · entry 2

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2027-09-11

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 1

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2027-09-11

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

SEC source: 0001104659-20-117722 · a4.xml · derivative · entry 30

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 29

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 28

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 27

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 26

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 25

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 24

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 23

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 22

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 21

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 20

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 19

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 18

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 17

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 16

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 15

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 14

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 13

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 12

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 11

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 10

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 9

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 8

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 7

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 6

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 5

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 4

Green Mark D. · CIK 0001696699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2024-01-27

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 January 27, 2017 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 January 27, 2017 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 January 27, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117722 · a4.xml · derivative · entry 3

Green Mark D. · CIK 0001696699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2022-01-27

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 January 27, 2017 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 January 27, 2017 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 January 27, 2017 and provides for vesting over a one year period.

SEC source: 0001104659-20-117722 · a4.xml · derivative · entry 2

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117722 · a4.xml · derivative · entry 1

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117725 · a4.xml · derivative · entry 4

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117725 · a4.xml · derivative · entry 3

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117725 · a4.xml · derivative · entry 2

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-117725 · a4.xml · derivative · entry 1

Green Mark D. · CIK 0001696699 · 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: 0001104659-20-088525 · tm2026110-2_4.xml · derivative · entry 4

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: 1,158,047

Underlying: Common stock · 1,158,047 shares

Expires 2025-05-29

F3 · ownership.nature: Represents shares of the common stock of the Issuer, and warrants to purchase shares of the common stock of the Issuer, that were acquired by Shore Ventures on July 28, 2020 at a third closing effected 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: 0001104659-20-088525 · tm2026110-2_4.xml · derivative · entry 3

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: 376,600

Underlying: Common stock · 376,600 shares

Expires 2025-05-29

F1 · ownership.nature: Represents shares of the common stock of the Issuer, and warrants to purchase shares of the common stock of the Issuer, that were acquired by Hershey Strategic Capital, LP ("HSC LP") on July 28, 2020 at a third closing effected pursuant to a Subscription Agreement dated as of May 29, 2020 among HSC LP, Shore Ventures III, LP ("Shore Ventures") and the Issuer. Such shares of common stock and 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: 0001104659-20-088525 · tm2026110-2_4.xml · nonDerivative · 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: 5,021,340

F3 · ownership.nature: Represents shares of the common stock of the Issuer, and warrants to purchase shares of the common stock of the Issuer, that were acquired by Shore Ventures on July 28, 2020 at a third closing effected 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: 0001104659-20-088525 · tm2026110-2_4.xml · nonDerivative · 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 (1) and

Disclosed balance after: 2,510,670

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: 0001387131-20-004215 · ownership.xml · derivative · entry 1

Bast Jessica · CIK 0001804987 · PFO and PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,880

Underlying: Common Stock · 34,880 shares

Expires 2025-04-22

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.

SEC source: 0001387131-20-004211 · ownership.xml · derivative · entry 1

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-04-22

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.

SEC source: 0001387131-20-004209 · ownership.xml · derivative · entry 1

GUTTERMAN STEVEN D. · CIK 0001430007 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2025-04-22

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.

SEC source: 0001387131-20-004207 · ownership.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 2025-04-22

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.

SEC source: 0001387131-20-004205 · ownership.xml · derivative · entry 1

Green Mark D. · CIK 0001696699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-04-22

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.

SEC source: 0001387131-20-004203 · ownership.xml · derivative · entry 1

FEINSOD MICHAEL · CIK 0001187011 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2025-04-22

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.

SEC source: 0001387131-20-000415 · ownership.xml · derivative · entry 1

Green Mark D. · CIK 0001696699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-01-21

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.

SEC source: 0001387131-20-000413 · ownership.xml · derivative · entry 1

FEINSOD MICHAEL · CIK 0001187011 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2025-01-21

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.

SEC source: 0001387131-20-000411 · ownership.xml · derivative · entry 1

Oster Seth · CIK 0001785383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2025-01-21

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

F1 · derivative.exercise_date: 100% of the options vest over a one-year period.