CATX

SEC source: 0001437749-21-006164 · rdgdoc.xml · derivative · entry 7

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2027-06-27

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 · security: 100,000 stock options were granted on 6/27/2017. 25% vested on 6/27/2017, 25% vested on 6/27/2018, 25% vested on 6/27/2019 and the remaining 25% vested on 6/27/2020. The shares exercised on 3/12/2021 represent the shares that vested on 6/27/2020.

F1 · shares: 100,000 stock options were granted on 6/27/2017. 25% vested on 6/27/2017, 25% vested on 6/27/2018, 25% vested on 6/27/2019 and the remaining 25% vested on 6/27/2020. The shares exercised on 3/12/2021 represent the shares that vested on 6/27/2020.

F1 · derivative.exercise_date: 100,000 stock options were granted on 6/27/2017. 25% vested on 6/27/2017, 25% vested on 6/27/2018, 25% vested on 6/27/2019 and the remaining 25% vested on 6/27/2020. The shares exercised on 3/12/2021 represent the shares that vested on 6/27/2020.

F1 · derivative.underlying_shares: 100,000 stock options were granted on 6/27/2017. 25% vested on 6/27/2017, 25% vested on 6/27/2018, 25% vested on 6/27/2019 and the remaining 25% vested on 6/27/2020. The shares exercised on 3/12/2021 represent the shares that vested on 6/27/2020.

SEC source: 0001437749-21-006164 · rdgdoc.xml · nonDerivative · entry 5

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 847,038

SEC source: 0001437749-21-006164 · rdgdoc.xml · nonDerivative · entry 4

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 823,000

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: 0001437749-21-006164 · rdgdoc.xml · nonDerivative · entry 3

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 760,500

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: 0001437749-21-006164 · rdgdoc.xml · nonDerivative · entry 2

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 698,000

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: 0001437749-21-006164 · rdgdoc.xml · nonDerivative · entry 1

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 635,500

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: 0001437749-20-024716 · rdgdoc.xml · nonDerivative · entry 1

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 610,500

SEC source: 0001437749-20-021861 · rdgdoc.xml · derivative · entry 2

Austin Mark John · CIK 0001713059 · Controller/Prin Fin&Acct Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,615

Underlying: Common Stock · 9,615 shares

Expires 2025-10-22

F2 · shares: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.exercise_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.expiration_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

SEC source: 0001437749-20-021861 · rdgdoc.xml · nonDerivative · entry 1

Austin Mark John · CIK 0001713059 · Controller/Prin Fin&Acct Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,230

F1 · shares: Purchased pursuant to public offering that closed on October 22, 2020.

F1 · price: Purchased pursuant to public offering that closed on October 22, 2020.

SEC source: 0001437749-20-021859 · rdgdoc.xml · derivative · entry 3

Krachon Michael · CIK 0001677655 · EVP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 689,422

Underlying: Common Stock · 14,422 shares

Expires 2025-10-22

F2 · shares: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.exercise_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.expiration_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

SEC source: 0001437749-20-021859 · rdgdoc.xml · nonDerivative · entry 1

Krachon Michael · CIK 0001677655 · EVP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,844

F1 · shares: Purchased pursuant to public offering that closed on October 22, 2020.

F1 · price: Purchased pursuant to public offering that closed on October 22, 2020.

SEC source: 0001437749-20-021857 · rdgdoc.xml · derivative · entry 2

Hunt Jonathan Robert · CIK 0001375410 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 483,653

Underlying: Common Stock · 33,653 shares

Expires 2025-10-22

F2 · shares: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.exercise_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.expiration_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

SEC source: 0001437749-20-021857 · rdgdoc.xml · nonDerivative · entry 1

Hunt Jonathan Robert · CIK 0001375410 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,306

F1 · shares: Purchased pursuant to public offering that closed on October 22, 2020.

F1 · price: Purchased pursuant to public offering that closed on October 22, 2020.

SEC source: 0001437749-20-021855 · rdgdoc.xml · derivative · entry 2

Cavanagh William · CIK 0001503593 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 705,506

Underlying: Common Stock · 3,846 shares

Expires 2025-10-22

F2 · shares: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.exercise_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.expiration_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

SEC source: 0001437749-20-021855 · rdgdoc.xml · nonDerivative · entry 1

Cavanagh William · CIK 0001503593 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,692

F1 · shares: Purchased pursuant to public offering that closed on October 22, 2020.

F1 · price: Purchased pursuant to public offering that closed on October 22, 2020.

SEC source: 0001437749-20-021853 · rdgdoc.xml · derivative · entry 2

McCormick Michael W · CIK 0001333527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,615

Underlying: Common Stock · 9,615 shares

Expires 2025-10-22

F2 · shares: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.exercise_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.expiration_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

SEC source: 0001437749-20-021853 · rdgdoc.xml · nonDerivative · entry 1

McCormick Michael W · CIK 0001333527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,230

F1 · shares: Purchased pursuant to public offering that closed on October 22, 2020.

F1 · price: Purchased pursuant to public offering that closed on October 22, 2020.

SEC source: 0001437749-20-021851 · rdgdoc.xml · derivative · entry 3

Hoffmann Alan · CIK 0001664107 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,615

Underlying: Common Stock · 9,615 shares

Expires 2025-10-22

F2 · shares: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.exercise_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.expiration_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

SEC source: 0001437749-20-021851 · rdgdoc.xml · nonDerivative · entry 1

Hoffmann Alan · CIK 0001664107 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,230

F1 · shares: Purchased pursuant to public offering that closed on October 22, 2020.

F1 · price: Purchased pursuant to public offering that closed on October 22, 2020.

SEC source: 0001437749-20-021846 · rdgdoc.xml · derivative · entry 3

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 611,538

Underlying: Common Stock · 24,038 shares

Expires 2025-10-22

F2 · shares: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.exercise_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.expiration_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

SEC source: 0001437749-20-021846 · rdgdoc.xml · nonDerivative · entry 1

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,076

F1 · shares: Purchased pursuant to public offering that closed on October 22, 2020.

F1 · price: Purchased pursuant to public offering that closed on October 22, 2020.

SEC source: 0001437749-20-021849 · rdgdoc.xml · derivative · entry 2

Vitale Philip J · CIK 0001597792 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Philip James Vitale Rev Living Trust Dtd 11/6/07

Disclosed balance after: 155,000

Underlying: Common Stock · 10,000 shares

Expires 2025-10-22

F2 · shares: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.exercise_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

F2 · derivative.expiration_date: Purchased pursuant to public offering that closed on October 22, 2020. Each share of common stock purchased included one-half of a warrant. Each whole warrant is exercisable to purchase one share of common stock at an exercise price of $0.57 per share. Each warrant is immediately exercisable, and will expire October 22, 2025.

SEC source: 0001437749-20-021849 · rdgdoc.xml · nonDerivative · entry 1

Vitale Philip J · CIK 0001597792 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Philip James Vitale Rev Living Trust Dtd 11/6/07

Disclosed balance after: 130,000

F1 · shares: Purchased pursuant to public offering that closed on October 22, 2020.

F1 · price: Purchased pursuant to public offering that closed on October 22, 2020.

SEC source: 0001437749-20-013880 · rdgdoc.xml · derivative · entry 1

Krachon Michael · CIK 0001677655 · EVP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 675,000

Underlying: Common Stock · 150,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-013878 · rdgdoc.xml · derivative · entry 1

Austin Mark John · CIK 0001713059 · Controller/Prin Fin&Acct Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-013876 · rdgdoc.xml · derivative · entry 1

Streeter Jennifer · CIK 0001709780 · COO & VP of HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 150,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-013872 · rdgdoc.xml · derivative · entry 1

Cline Krista · CIK 0001758039 · Dir. of Operations, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,500

Underlying: Common Stock · 30,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-013874 · rdgdoc.xml · derivative · entry 1

Cavanagh William · CIK 0001503593 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 701,660

Underlying: Common Stock · 150,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-013870 · rdgdoc.xml · derivative · entry 1

Hunt Jonathan Robert · CIK 0001375410 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 150,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-013868 · rdgdoc.xml · derivative · entry 1

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 587,500

Underlying: Common Stock · 250,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-015202 · rdgdoc.xml · derivative · entry 1

McCormick Michael W · CIK 0001333527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-015199 · rdgdoc.xml · derivative · entry 1

Hoffmann Alan · CIK 0001664107 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-015197 · rdgdoc.xml · derivative · entry 1

Vitale Philip J · CIK 0001597792 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-23

F1 · derivative.exercise_date: 25% vested as of 6/23/2020, and the remaining 75% will vest over the next three (3) years, commencing on 6/23/2021, until fully vested.

SEC source: 0001437749-20-001806 · rdgdoc.xml · derivative · entry 6

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,500

Underlying: Common Stock · 62,500 shares

Expires 2029-06-18

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 · security: 250,000 stock options were granted on 6/18/2019. 25% vested on 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested. The shares exercised on 2/3/2020 represent the shares that vested on 6/18/2019.

F4 · shares: 250,000 stock options were granted on 6/18/2019. 25% vested on 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested. The shares exercised on 2/3/2020 represent the shares that vested on 6/18/2019.

F4 · derivative.exercise_date: 250,000 stock options were granted on 6/18/2019. 25% vested on 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested. The shares exercised on 2/3/2020 represent the shares that vested on 6/18/2019.

F4 · derivative.underlying_shares: 250,000 stock options were granted on 6/18/2019. 25% vested on 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested. The shares exercised on 2/3/2020 represent the shares that vested on 6/18/2019.

SEC source: 0001437749-20-001806 · rdgdoc.xml · derivative · entry 5

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2028-06-13

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.

F3 · security: 250,000 stock options were granted on 6/13/2018. 25% vested on 12/13/2018, 25% vested on 6/13/2019, and the remaining 50% will vest over the next two (2) years, commencing on 6/13/2020, until fully vested. The shares exercised on 2/3/2020 represent the shares that vested on 12/13/2018 and 6/13/2019.

F3 · shares: 250,000 stock options were granted on 6/13/2018. 25% vested on 12/13/2018, 25% vested on 6/13/2019, and the remaining 50% will vest over the next two (2) years, commencing on 6/13/2020, until fully vested. The shares exercised on 2/3/2020 represent the shares that vested on 12/13/2018 and 6/13/2019.

F3 · derivative.exercise_date: 250,000 stock options were granted on 6/13/2018. 25% vested on 12/13/2018, 25% vested on 6/13/2019, and the remaining 50% will vest over the next two (2) years, commencing on 6/13/2020, until fully vested. The shares exercised on 2/3/2020 represent the shares that vested on 12/13/2018 and 6/13/2019.

F3 · derivative.underlying_shares: 250,000 stock options were granted on 6/13/2018. 25% vested on 12/13/2018, 25% vested on 6/13/2019, and the remaining 50% will vest over the next two (2) years, commencing on 6/13/2020, until fully vested. The shares exercised on 2/3/2020 represent the shares that vested on 12/13/2018 and 6/13/2019.

SEC source: 0001437749-20-001806 · rdgdoc.xml · derivative · entry 4

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 75,000 shares

Expires 2027-06-27

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 · security: 100,000 stock options were granted on 6/27/2017. 25% vested on 6/27/2017, 25% vested on 6/27/2018, 25% vested on 6/27/2019 and the remaining 25% will vest on 6/27/2020. The shares exercised on 2/3/2020 represent the shares that vested on 6/27/2017, 6/27/2018 and 6/27/2019.

F2 · shares: 100,000 stock options were granted on 6/27/2017. 25% vested on 6/27/2017, 25% vested on 6/27/2018, 25% vested on 6/27/2019 and the remaining 25% will vest on 6/27/2020. The shares exercised on 2/3/2020 represent the shares that vested on 6/27/2017, 6/27/2018 and 6/27/2019.

F2 · derivative.exercise_date: 100,000 stock options were granted on 6/27/2017. 25% vested on 6/27/2017, 25% vested on 6/27/2018, 25% vested on 6/27/2019 and the remaining 25% will vest on 6/27/2020. The shares exercised on 2/3/2020 represent the shares that vested on 6/27/2017, 6/27/2018 and 6/27/2019.

F2 · derivative.underlying_shares: 100,000 stock options were granted on 6/27/2017. 25% vested on 6/27/2017, 25% vested on 6/27/2018, 25% vested on 6/27/2019 and the remaining 25% will vest on 6/27/2020. The shares exercised on 2/3/2020 represent the shares that vested on 6/27/2017, 6/27/2018 and 6/27/2019.

SEC source: 0001437749-20-001806 · rdgdoc.xml · nonDerivative · entry 3

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 542,500

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: 0001437749-20-001806 · rdgdoc.xml · nonDerivative · entry 2

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 480,000

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: 0001437749-20-001806 · rdgdoc.xml · nonDerivative · entry 1

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods Family Living Trust

Disclosed balance after: 355,000

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: On January 27, 2020, 280,000 shares were transferred to the Woods Family Living Trust. These shares were previously reported on Form 4 filed November 19, 2019.

SEC source: 0001437749-19-023360 · rdgdoc.xml · nonDerivative · entry 1

Krachon Michael · CIK 0001677655 · VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Indirect · These shares are beneficially owned in an IRA for the benefit of the Reporting Person.

Disclosed balance after: 50,000

SEC source: 0001437749-19-023222 · rdgdoc.xml · nonDerivative · entry 2

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,000

SEC source: 0001437749-19-023220 · rdgdoc.xml · nonDerivative · entry 1

Cavanagh William · CIK 0001503593 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001437749-19-023222 · rdgdoc.xml · nonDerivative · entry 1

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,000

SEC source: 0001437749-19-012548 · rdgdoc.xml · derivative · entry 1

Vitale Philip J · CIK 0001597792 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 30,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: 25% vested as of 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested.

SEC source: 0001437749-19-012559 · rdgdoc.xml · derivative · entry 1

Krachon Michael · CIK 0001677655 · VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,000

Underlying: Common Stock · 150,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: 25% vested as of 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested.

SEC source: 0001437749-19-012557 · rdgdoc.xml · derivative · entry 1

Streeter Jennifer · CIK 0001709780 · VP of Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 150,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: 25% vested as of 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested.

SEC source: 0001437749-19-012554 · rdgdoc.xml · derivative · entry 1

Austin Mark John · CIK 0001713059 · Controller/Prin Fin&Acct Offic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: 25% vested as of 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested.

SEC source: 0001437749-19-012552 · rdgdoc.xml · derivative · entry 1

Woods Lori A · CIK 0001393007 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 250,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: 25% vested as of 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested.

SEC source: 0001437749-19-012550 · rdgdoc.xml · derivative · entry 1

McCormick Michael W · CIK 0001333527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 30,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: 25% vested as of 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested.

SEC source: 0001437749-19-012543 · rdgdoc.xml · derivative · entry 1

Hoffmann Alan · CIK 0001664107 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 30,000 shares

Expires 2029-06-18

F1 · derivative.exercise_date: 25% vested as of 6/18/2019, and the remaining 75% will vest over the next three (3) years, commencing on 6/18/2020, until fully vested.