CAPR

SEC source: 0001415889-24-000652 · form4-01042024_050110.xml · derivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 29,250 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2024, with the last month vesting on December 31, 2024, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000650 · form4-01042024_050106.xml · derivative · entry 2

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,633

Underlying: Common Stock · 9,633 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant.

SEC source: 0001415889-24-000650 · form4-01042024_050106.xml · derivative · entry 1

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2024, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000649 · form4-01042024_050104.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,140

Underlying: Common Stock · 7,140 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant.

SEC source: 0001415889-24-000649 · form4-01042024_050104.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2024, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-000648 · form4-01042024_050101.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,692

Underlying: Common Stock · 9,692 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant.

SEC source: 0001415889-24-000648 · form4-01042024_050101.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2024, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-014485 · form4-10242023_091001.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,381

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-23-014199 · form4-10132023_051051.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,536

SEC source: 0001415889-23-014099 · form4-10122023_091001.xml · nonDerivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,856

SEC source: 0001415889-23-014082 · form4-10112023_091002.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,126

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.75 to $2.85, inclusive. The reporting person undertakes to provide to Capricor Therapeutics, Inc., any security holder of Capricor Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001415889-23-014050 · form4-10102023_091001.xml · nonDerivative · entry 1

Auwaerter Paul Gisbert · CIK 0001982730 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001415889-23-014031 · form4-10062023_091001.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,043

SEC source: 0001415889-23-013031 · form4-09062023_100950.xml · derivative · entry 1

Kelliher Mike · CIK 0001987188 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,000 shares

Expires 2033-09-01

F1 · derivative.exercise_date: The shares vest 25% on the first anniversary of the first day of the month following the Grant Date, with the remainder to vest at the rate of 1/36 per month thereafter. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-012326 · form4-08162023_050801.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,748 shares

Expires 2023-08-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: This option was granted on August 21, 2013 and was previously reported as covering 207,485 shares at an exercise price of $0.30 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

F3 · derivative.underlying_shares: This option was granted on August 21, 2013 and was previously reported as covering 207,485 shares at an exercise price of $0.30 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-23-012326 · form4-08162023_050801.xml · nonDerivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,269

F2 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on August 14, 2023 of $6.61. The options would otherwise expire on August 21, 2023, pursuant to their terms.

F2 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on August 14, 2023 of $6.61. The options would otherwise expire on August 21, 2023, pursuant to their terms.

SEC source: 0001415889-23-012326 · form4-08162023_050801.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,633

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: This amount has been adjusted to correct an administrative error in the Form 4 filed by the reporting person on February 23, 2023, which inadvertently overstated the amount of common stock beneficially owned by 20,391 shares.

SEC source: 0001415889-23-011420 · form4-07242023_090735.xml · derivative · entry 1

Gotwals Philip J · CIK 0001982655 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,000 shares

Expires 2033-07-21

F1 · derivative.exercise_date: The shares vest 25% on the first anniversary of the first day of the month following the Grant Date, with the remainder to vest at the rate of 1/36 per month thereafter. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-011086 · form4-07132023_080727.xml · derivative · entry 1

Auwaerter Paul Gisbert · CIK 0001982730 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,000 shares

Expires 2033-07-11

F1 · derivative.exercise_date: The shares vest 25% on the first anniversary of the first day of the month following the Grant Date, with the remainder to vest at the rate of 1/36 per month thereafter. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-008130 · form4-05162023_070501.xml · derivative · entry 2

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires 2023-05-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Half of the shares of Common Stock acquired upon exercise of this option were delivered to the Reporting Person's ex-spouse pursuant to a domestic relations order, which transaction is exempt from Section 16 pursuant to Rule 16a-12 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse.

F3 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001415889-23-008130 · form4-05162023_070501.xml · nonDerivative · entry 1

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 198,604

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Half of the shares of Common Stock acquired upon exercise of this option were delivered to the Reporting Person's ex-spouse pursuant to a domestic relations order, which transaction is exempt from Section 16 pursuant to Rule 16a-12 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse.

F2 · balance_after: This figure reflects the acquisition of 132,060 shares of Common Stock from the Reporting Person's ex-spouse pursuant to a domestic relations order, which acquisition is exempt from Section 16 pursuant to Rule 16a-12 under the Exchange Act. The Reporting Person no longer reports as beneficially owned any securities owned by her ex-spouse.

SEC source: 0001931345-23-000003 · primary_doc.xml · nonDerivative · entry 1

Avat Xavier · CIK 0001931345 · Former CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001415889-23-006365 · form4-04072023_050408.xml · derivative · entry 4

Avat Xavier · CIK 0001931345 · FORMER CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 84,791 shares

Expires 2023-07-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The shares vested 1/48th of the first day of each month, commencing June 1, 2022.

F3 · derivative.expiration_date: The option expires 90 days following the termination of Mr. Avat's employment with the Company. Mr. Avat's employment terminated on April 7, 2023. While the box indicating that Mr. Avat is no longer subject to Section 16 has been checked, Mr. Avat remains subject to Section 16 through such date.

SEC source: 0001415889-23-006365 · form4-04072023_050408.xml · nonDerivative · entry 3

Avat Xavier · CIK 0001931345 · FORMER CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,772

F1 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on April 5, 2023 of $4.19.

F1 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on April 5, 2023 of $4.19.

SEC source: 0001415889-23-006365 · form4-04072023_050408.xml · nonDerivative · entry 2

Avat Xavier · CIK 0001931345 · FORMER CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,791

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-23-006365 · form4-04072023_050408.xml · nonDerivative · entry 1

Avat Xavier · CIK 0001931345 · FORMER CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001415889-23-003084 · form4-02232023_090208.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,401 shares

Expires 2023-04-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F3 · derivative.exercise_date: 25% of the shares vested immediately, with the remainder vesting monthly over 36 months commencing May 1, 2013.

F2 · derivative.underlying_shares: This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-23-003084 · form4-02232023_090208.xml · nonDerivative · entry 2

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,147

F1 · date: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

F1 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

SEC source: 0001415889-23-003084 · form4-02232023_090208.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,599

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-23-003083 · form4-02232023_090201.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,027 shares

Expires 2023-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: This option was granted on February 22, 2013 and was previously reported as covering 140,270 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F3 · derivative.exercise_date: 25% of the shares vested immediately, with the remainder vesting monthly over 25 months commencing May 1, 2013.

F2 · derivative.underlying_shares: This option was granted on February 22, 2013 and was previously reported as covering 140,270 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-23-003083 · form4-02232023_090201.xml · nonDerivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,276

F1 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

F1 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

SEC source: 0001415889-23-003083 · form4-02232023_090201.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-23-002649 · form4-02152023_080201.xml · derivative · entry 2

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,401 shares

Expires 2023-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: 25% of the shares vested immediately, with the remainder vesting monthly over 25 months commencing May 1, 2013.

F1 · derivative.underlying_shares: This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-23-002649 · form4-02152023_080201.xml · nonDerivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,856

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-23-002650 · form4-02152023_080208.xml · derivative · entry 2

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,401 shares

Expires 2023-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: 25% of the shares vested immediately, with the remainder vesting monthly over 25 months commencing May 1, 2013.

F1 · derivative.underlying_shares: This option was granted on February 22, 2013 and was previously reported as covering 14,015 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-23-002650 · form4-02152023_080208.xml · nonDerivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,556

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001415889-23-000597 · form4-01052023_080158.xml · derivative · entry 2

Sabar Karimah Es · CIK 0001873796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2033-01-03

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-23-000597 · form4-01052023_080158.xml · derivative · entry 1

Sabar Karimah Es · CIK 0001873796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,770

Underlying: Common Stock · 37,770 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2023, with the last month vesting on December 31, 2023, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-000595 · form4-01052023_080148.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2033-01-03

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-23-000595 · form4-01052023_080148.xml · derivative · entry 2

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,120

Underlying: Common Stock · 7,120 shares

Expires 2033-01-03

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-23-000595 · form4-01052023_080148.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,770

Underlying: Common Stock · 37,770 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2023, with the last month vesting on December 31, 2023, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-000596 · form4-01052023_080154.xml · derivative · entry 3

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2033-01-03

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-23-000596 · form4-01052023_080154.xml · derivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,620

Underlying: Common Stock · 16,620 shares

Expires 2033-01-03

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-23-000596 · form4-01052023_080154.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,770

Underlying: Common Stock · 37,770 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2023, with the last month vesting on December 31, 2023, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-000594 · form4-01052023_080140.xml · derivative · entry 3

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2033-01-03

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-23-000594 · form4-01052023_080140.xml · derivative · entry 2

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,310

Underlying: Common Stock · 8,310 shares

Expires 2033-01-03

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board committee service.

SEC source: 0001415889-23-000594 · form4-01052023_080140.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,770

Underlying: Common Stock · 37,770 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2023, with the last month vesting on December 31, 2023, until the stock option becomes fully vested and exercisable. The award pertains to annual board service. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-000592 · form4-01052023_080124.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Stock · 185,000 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2023, until the stock option becomes fully vested and exercisable. The award pertains to annual board service as Executive Chairman. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-000593 · form4-01052023_080132.xml · derivative · entry 3

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2033-01-03

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board service.

SEC source: 0001415889-23-000593 · form4-01052023_080132.xml · derivative · entry 2

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,870

Underlying: Common Stock · 11,870 shares

Expires 2033-01-03

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant. The award pertains to annual board committee service.