CAPR

SEC source: 0001104659-21-001581 · tm211849-1_4seq1.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

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: 0001104659-20-109138 · tm2031826-1_4.xml · derivative · entry 3

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,299 shares

Expires 2020-09-25

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 previously reported as covering 82,994 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.

F4 · derivative.exercise_date: 4,409 of the shares of common stock subject to this option vested immediately. 778 of the shares of common stock subject to this option vested on each of October 31, 2010, January 31, 2011, April 30, 2011, July 31, 2011, and October 31, 2011.

F3 · derivative.underlying_shares: This option was previously reported as covering 82,994 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.

SEC source: 0001104659-20-109138 · tm2031826-1_4.xml · nonDerivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,603

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 · date: On September 24, 2020, the Reporting Person exercised stock options for 8,299 shares of Common Stock. The exercise price of $3.70 per share and the exercise was subject to the terms and conditions of a Stock Option Award which was granted on September 25, 2010 under the Issuer's 2006 Stock Option Plan.

SEC source: 0001104659-20-087909 · tm2025987d1_4.xml · derivative · entry 4

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 41,497 shares

Expires 2020-09-01

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 previously reported as covering 414,971 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.

F5 · derivative.exercise_date: 25% of the shares of common stock subject to this option vested immediately. 20% of the remaining shares of common stock subject to this option vested on each of September 1, 2011, September 1, 2012, September 1, 2013, January 1, 2014, and January 1, 2015.

F4 · derivative.underlying_shares: This option was previously reported as covering 414,971 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.

SEC source: 0001104659-20-087909 · tm2025987d1_4.xml · nonDerivative · entry 2

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,715

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 July 27, 2020 of $9.81. The options would otherwise expire on September 1, 2020, 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 July 27, 2020 of $9.81. The options would otherwise expire on September 1, 2020, pursuant to their terms.

F1 · ownership.direct: 920 shares of the Issuer's common stock are held by the Reporting Person in joint tenancy with her spouse.

SEC source: 0001104659-20-087909 · tm2025987d1_4.xml · nonDerivative · entry 1

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,367

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 · ownership.direct: 920 shares of the Issuer's common stock are held by the Reporting Person in joint tenancy with her spouse.

SEC source: 0001104659-20-071426 · tm2022128-8_4.xml · derivative · entry 1

Marban Linda · CIK 0001593084 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,449

Underlying: Common Stock · 368,449 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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: 0001104659-20-071423 · tm2022128-7_4.xml · derivative · entry 1

Manzo Louis · CIK 0001593100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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: 0001104659-20-071421 · tm2022128-6_4.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,908

Underlying: Common Stock · 104,908 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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: 0001104659-20-071420 · tm2022128-5_4.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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: 0001104659-20-071419 · tm2022128-4_4.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,935

Underlying: Common Stock · 280,935 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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: 0001104659-20-071417 · tm2022128-3_4.xml · derivative · entry 1

COLLIER EARL M JR · CIK 0001201254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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: 0001104659-20-071415 · tm2022128-2_4.xml · derivative · entry 1

Musket David B · CIK 0001310611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,000

Underlying: Common Stock · 109,000 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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: 0001104659-20-071413 · tm2022128-1_4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,003

Underlying: Common Stock · 120,003 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. 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: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 12

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

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 11

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 10

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing July 1, 2016, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 9

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2017, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 8

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,500 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2018, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 7

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 4,666 of the shares were vested on the date of grant. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 6

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,932

Underlying: Common Stock · 18,932 shares

Expires 2022-11-13

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 5

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 4

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing July 1, 2016, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 3

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2017, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 2

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 3,500 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2018, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022103 · tm208086d6_4.xml · derivative · entry 1

Krasney Karen · CIK 0001593086 · EVP, GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 4,666 of the shares were vested on the date of grant. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 14

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

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 13

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 2023-03-06

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 12

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 11

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 10

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,606 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: 856 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The remaining 1,750 shares will vest 1/12th on the first day of each month, commencing February 1, 2017, with the last month vesting on December 31, 2017. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 9

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,800 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: 1,050 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 1,750 shares will vest 1/12th on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 8

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,250 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 3,000 of the shares were vested on the date of grant. The remaining 2,250 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 7

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,455

Underlying: Common Stock · 15,455 shares

Expires 2022-04-27

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 6

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,401

Underlying: Common Stock · 1,401 shares

Expires 2023-03-06

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 5

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750

Underlying: Common Stock · 750 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 4

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 3

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,606

Underlying: Common Stock · 2,606 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: 856 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The remaining 1,750 shares will vest 1/12th on the first day of each month, commencing February 1, 2017, with the last month vesting on December 31, 2017. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 2

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,800

Underlying: Common Stock · 2,800 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: 1,050 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 1,750 shares will vest 1/12th on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022102 · tm208086d5_4.xml · derivative · entry 1

DUNBAR GEORGE W JR · CIK 0001194712 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,250

Underlying: Common Stock · 5,250 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 3,000 of the shares were vested on the date of grant. The remaining 2,250 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 16

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

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

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

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 15

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,027 shares

Expires 2023-03-06

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

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

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 14

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,748 shares

Expires 2023-08-21

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

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

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 13

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

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

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 12

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,937 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

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

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 11

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

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

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 10

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: 3,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 2,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 9

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,750 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 8,000 of the shares were vested on the date of grant. The remaining 15,750 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, 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 Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 8

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,543

Underlying: Common Stock · 154,543 shares

Expires 2022-04-27

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

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

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 7

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,027

Underlying: Common Stock · 14,027 shares

Expires 2023-03-06

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

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