CAPR

SEC source: 0001415889-23-000593 · form4-01052023_080132.xml · derivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · 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: 0001415889-23-000591 · form4-01052023_080115.xml · derivative · entry 1

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 135,000 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 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: 0001415889-23-000590 · form4-01052023_080107.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,878

Underlying: Common Stock · 11,878 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.

SEC source: 0001415889-23-000590 · form4-01052023_080107.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 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 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: 0001415889-23-000589 · form4-01052023_080101.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 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 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: 0001415889-23-000634 · form4a-01062023_050101.xml · derivative · entry 1

Sabar Karimah Es · CIK 0001873796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,560

Underlying: Common Stock · 3,560 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 3, 2023, the date of the grant.

SEC source: 0001415889-22-011079 · form4-11042022_091102.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,932 shares

Expires 2022-11-13

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 November 13, 2012 and was previously reported as covering 189,320 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 1/36th on the first day of each month commencing December 1, 2012.

F1 · derivative.underlying_shares: This option was granted on November 13, 2012 and was previously reported as covering 189,320 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: 0001415889-22-011079 · form4-11042022_091102.xml · nonDerivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,047

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: 0001415889-22-007544 · form4-07072022_020749.xml · nonDerivative · entry 2

Avat Xavier · CIK 0001931345 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

SEC source: 0001415889-22-007219 · form4-07012022_090701.xml · derivative · entry 6

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,645 shares

Expires 2026-06-02

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.

F5 · derivative.exercise_price: This option was granted on June 2, 2016 and was previously reported as covering 46,458 shares at an exercise price of $3.12 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.

F6 · derivative.exercise_date: 2,250 shares vested immediately on June 2, 2016. The remaining shares vested on December 31, 2016.

F5 · derivative.underlying_shares: This option was granted on June 2, 2016 and was previously reported as covering 46,458 shares at an exercise price of $3.12 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: 0001415889-22-007219 · form4-07012022_090701.xml · derivative · entry 5

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,750 shares

Expires 2025-03-03

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.

F4 · derivative.exercise_price: This option was granted on March 3, 2015 and was previously reported as covering 47,500 shares at an exercise price of $5.78 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.underlying_shares: This option was granted on March 3, 2015 and was previously reported as covering 47,500 shares at an exercise price of $5.78 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: 0001415889-22-007219 · form4-07012022_090701.xml · derivative · entry 4

Musket David B · CIK 0001310611 · 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.

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 of common stock vested immediately, with the remainder vesting 1/36th of the first day of each month, 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: 0001415889-22-007219 · form4-07012022_090701.xml · nonDerivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,543

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: 0001415889-22-007219 · form4-07012022_090701.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,747

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.76 to $3.80, 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 sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001415889-22-007544 · form4-07072022_020749.xml · nonDerivative · entry 1

Avat Xavier · CIK 0001931345 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001415889-22-007064 · form4-06292022_090601.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,962

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to partially cover tax obligations in connection to stock holdings.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.41 to $4.46, 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 sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001415889-22-005749 · form4-05262022_060515.xml · derivative · entry 1

Avat Xavier · CIK 0001931345 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,000

Underlying: Common Stock · 370,000 shares

Expires 2032-05-23

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing June 1, 2022, 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: 0001415889-22-003580 · form4-04012022_050408.xml · derivative · entry 4

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,449 shares

Expires 2022-04-27

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.

F4 · derivative.exercise_price: This option was granted on April 27, 2012 and was previously reported as covering 124,491 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.

F5 · derivative.exercise_date: The shares vested immediately.

F4 · derivative.underlying_shares: This option was granted on April 27, 2012 and was previously reported as covering 124,491 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: 0001415889-22-003580 · form4-04012022_050408.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,455 shares

Expires 2022-04-27

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 April 27, 2012 and was previously reported as covering 154,555 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: The shares vested 1/48th of the first day of each month, commencing May 1, 2012.

F2 · derivative.underlying_shares: This option was granted on April 27, 2012 and was previously reported as covering 154,555 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: 0001415889-22-003580 · form4-04012022_050408.xml · nonDerivative · entry 2

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,595

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 March 31, 2022 of $3.43. The options would otherwise expire on April 27, 2022, 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 March 31, 2022 of $3.43. The options would otherwise expire on April 27, 2022, pursuant to their terms.

SEC source: 0001415889-22-003580 · form4-04012022_050408.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,904

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: 0001415889-22-003514 · form4-03312022_050302.xml · derivative · entry 3

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,455 shares

Expires 2022-04-27

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 April 27, 2012 and was previously reported as covering 154,555 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: The shares vested 1/48th of the first day of each month, commencing May 1, 2012.

F2 · derivative.underlying_shares: This option was granted on April 27, 2012 and was previously reported as covering 154,555 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: 0001415889-22-003514 · form4-03312022_050302.xml · nonDerivative · entry 2

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,155

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 March 29, 2022 of $3.41. The options would otherwise expire on April 27, 2022, 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 March 29, 2022 of $3.41. The options would otherwise expire on April 27, 2022, pursuant to their terms.

SEC source: 0001415889-22-003514 · form4-03312022_050302.xml · nonDerivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,455

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: 0001415889-22-002812 · form4-03092022_070302.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 · 15,455 shares

Expires 2022-04-27

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 April 27, 2012 and was previously reported as covering 154,555 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 1/36th of the first day of each month commencing June 1, 2012.

F1 · derivative.underlying_shares: This option was granted on April 27, 2012 and was previously reported as covering 154,555 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: 0001415889-22-002812 · form4-03092022_070302.xml · nonDerivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,455

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: 0001415889-22-000283 · form4-01042022_090148.xml · derivative · entry 1

Sabar Karimah Es · CIK 0001873796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,690

Underlying: Common Stock · 7,690 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-22-000284 · form4-01042022_090154.xml · derivative · entry 4

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,250

Underlying: Common Stock · 252,250 shares

Expires 2032-01-03

F3 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-22-000284 · form4-01042022_090154.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 154,543 shares

Expires 2022-04-27

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: This option was granted on April 27, 2012 and was previously reported as covering 1,545,435 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: 0001415889-22-000284 · form4-01042022_090154.xml · nonDerivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,382

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 January 3, 2022 of $3.18. The options would otherwise expire on April 27, 2022, 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 January 3, 2022 of $3.18. The options would otherwise expire on April 27, 2022, pursuant to their terms.

SEC source: 0001415889-22-000284 · form4-01042022_090154.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,934

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: 0001415889-22-000281 · form4-01042022_090140.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,080

Underlying: Common Stock · 84,080 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-22-000280 · form4-01042022_090134.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,590

Underlying: Common Stock · 83,590 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-22-000278 · form4-01042022_090129.xml · derivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,060

Underlying: Common Stock · 63,060 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-22-000277 · form4-01042022_090123.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,060

Underlying: Common Stock · 63,060 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-22-000274 · form4-01042022_090105.xml · derivative · entry 1

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377,830

Underlying: Common Stock · 377,830 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-22-000276 · form4-01042022_090117.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,980

Underlying: Common Stock · 166,980 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-22-000275 · form4-01042022_090112.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,080

Underlying: Common Stock · 84,080 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, 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: 0001415889-21-006268 · form4-12292021_091205.xml · derivative · entry 5

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

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: 0001415889-21-006268 · form4-12292021_091205.xml · derivative · entry 4

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,455 shares

Expires 2022-04-27

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 April 27, 2012 and was previously reported as covering 154,555 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: The shares vested 1/48th of the first day of each month, commencing May 1, 2012.

F1 · derivative.underlying_shares: This option was granted on April 27, 2012 and was previously reported as covering 154,555 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: 0001415889-21-006268 · form4-12292021_091205.xml · nonDerivative · entry 2

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,737

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: 0001415889-21-006268 · form4-12292021_091205.xml · nonDerivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,346

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: 0001104659-21-096408 · tm2123420-1_4seq1.xml · derivative · entry 1

Sabar Karimah Es · CIK 0001873796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,000 shares

Expires 2031-07-23

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: 0001104659-21-001595 · tm211849-8_4seq1.xml · derivative · entry 1

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 458,693

Underlying: Common Stock · 458,693 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, 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: 0001104659-21-001593 · tm211849-7_4seq1.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,066

Underlying: Common Stock · 72,066 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, 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: 0001104659-21-001586 · tm211849-4_4seq1.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,160

Underlying: Common Stock · 211,160 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, 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: 0001104659-21-001588 · tm211849-5_4seq1.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,388

Underlying: Common Stock · 71,388 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, 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: 0001104659-21-001590 · tm211849-6_4seq1.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,693

Underlying: Common Stock · 95,693 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, 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: 0001104659-21-001584 · tm211849-3_4seq1.xml · derivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,951

Underlying: Common Stock · 71,951 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, 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: 0001104659-21-001583 · tm211849-2_4seq1.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,126

Underlying: Common Stock · 96,126 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, 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.