CLIR

SEC source: 0001104659-21-098383 · tm2123741d1_4.xml · derivative · entry 1

Schrecker Judith S · CIK 0001850679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2031-07-27

F1 · security: On July 28, 2021, the Issuer's board of directors approved compensation to be paid to the reporting person for her services provided to the Issuer as a non-executive director for the fiscal quarter ended March 31, 2021. As compensation for her services, the reporting person was awarded options for shares of common stock having an exercise price of $4.15. The options are fully vested as of the date of grant. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was recommended to the Issuer's board of directors by its compensation committee and issued from the Issuer's 2021 Equity Incentive Plan.

F1 · derivative.exercise_date: On July 28, 2021, the Issuer's board of directors approved compensation to be paid to the reporting person for her services provided to the Issuer as a non-executive director for the fiscal quarter ended March 31, 2021. As compensation for her services, the reporting person was awarded options for shares of common stock having an exercise price of $4.15. The options are fully vested as of the date of grant. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was recommended to the Issuer's board of directors by its compensation committee and issued from the Issuer's 2021 Equity Incentive Plan.

SEC source: 0001104659-21-007291 · tm214006d2_4.xml · derivative · entry 1

HOFFMAN Robert Thurston Sr · CIK 0001748409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-01-21

F1 · security: On January 22, 2021, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2021 to March 31, 2021. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $3.97. The options fully vest on April 1, 2021, subject to the reporting person's continued service as a non-executive director to the Issuer. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was recommended to the Issuer's board of directors by its compensation committee and issued from the Issuer's 2011 Equity Incentive Plan.

F1 · derivative.exercise_date: On January 22, 2021, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2021 to March 31, 2021. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $3.97. The options fully vest on April 1, 2021, subject to the reporting person's continued service as a non-executive director to the Issuer. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was recommended to the Issuer's board of directors by its compensation committee and issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-21-007293 · tm214006d3_4.xml · derivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,750

Underlying: Common Stock · 22,750 shares

Expires 2031-01-21

F1 · security: On January 22, 2021, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2021 to March 31, 2021. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $3.97. The options fully vest on April 1, 2021, subject to the reporting person's continued service as a non-executive director to the Issuer. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was recommended to the Issuer's board of directors by its compensation committee and issued from the Issuer's 2011 Equity Incentive Plan.

F1 · derivative.exercise_date: On January 22, 2021, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2021 to March 31, 2021. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $3.97. The options fully vest on April 1, 2021, subject to the reporting person's continued service as a non-executive director to the Issuer. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was recommended to the Issuer's board of directors by its compensation committee and issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-21-007286 · tm214006d1_4.xml · derivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,750

Underlying: Common Stock · 19,750 shares

Expires 2031-01-21

F1 · security: On January 22, 2021, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2021 to March 31, 2021. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $3.97. The options fully vest on April 1, 2021, subject to the reporting person's continued service as a non-executive director to the Issuer. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was recommended to the Issuer's board of directors by its compensation committee and issued from the Issuer's 2011 Equity Incentive Plan.

F1 · derivative.exercise_date: On January 22, 2021, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2021 to March 31, 2021. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $3.97. The options fully vest on April 1, 2021, subject to the reporting person's continued service as a non-executive director to the Issuer. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was recommended to the Issuer's board of directors by its compensation committee and issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-21-003502 · tm212905-2_4seq1.xml · nonDerivative · entry 2

Fike Brian Grant · CIK 0001706465 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,071

F2 · shares: Represents shares of ClearSign common stock withheld to satisfy the reporting person's tax withholding obligation.

SEC source: 0001104659-21-003502 · tm212905-2_4seq1.xml · nonDerivative · entry 1

Fike Brian Grant · CIK 0001706465 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,837

F1 · shares: These shares were issued by ClearSign Technologies Corporation ("ClearSign") as payment for the reporting person's annual bonus compensation approved by the Compensation Committee of the Board of Directors of ClearSign on January 10, 2021. The number of shares was determined by dividing the bonus amount by the closing price of ClearSign's common stock on January 8, 2021.

SEC source: 0001104659-21-003501 · tm212905-1_4seq1.xml · derivative · entry 1

Deller Colin James · CIK 0001766480 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,000

Underlying: Common Stock · 590,000 shares

Expires 2031-01-09

F1 · derivative.exercise_date: 80,000 shares underlying the option vested immediately upon issuance. The right to purchase the remaining option shares vests upon the achievement of certain performance goals. As each of these various performance goals is met, a portion of the award will vest and will be available for purchase from that date.

SEC source: 0001104659-21-001006 · tm211590-1_4seq1.xml · derivative · entry 1

Fike Brian Grant · CIK 0001706465 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-01-02

F1 · derivative.exercise_date: The right to purchase the option shares vests upon the achievement of certain performance goals during the fiscal year ending December 31, 2021. As each of these various performance goals is met, a portion of the award will vest and will be available for purchase from that date.

SEC source: 0001104659-20-128451 · tm2036637d2_4.xml · derivative · entry 1

HOFFMAN Robert Thurston Sr · CIK 0001748409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-11-18

F1 · security: On November 19, 2020 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from October 1, 2020 to December 31, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $2.38. The total numbers of option shares awarded was based on the services provided by the director. These services include board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan

SEC source: 0001104659-20-128455 · tm2036637d3_4.xml · derivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,750

Underlying: Common Stock · 22,750 shares

Expires 2020-11-18

F1 · security: On November 19, 2020 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from October 1, 2020 to December 31, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $2.38. The total numbers of option shares awarded was based on the services provided by the director. These services include board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-128449 · tm2036637d1_4.xml · derivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,750

Underlying: Common Stock · 19,750 shares

Expires 2020-11-18

F1 · security: On November 19, 2020 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from October 1, 2020 to December 31, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $2.38. The total numbers of option shares awarded was based on the services provided by the director. These services include board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-098675 · tm2029421d2_4.xml · nonDerivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,249

SEC source: 0001104659-20-098674 · tm2029421d1_4.xml · nonDerivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Pate Capital Partners LP

Disclosed balance after: 105,000

SEC source: 0001104659-20-097273 · tm2029083-1_4.xml · derivative · entry 1

HOFFMAN Robert Thurston Sr · CIK 0001748409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-08-17

F1 · security: On August 18, 2020 the Issuer's Board of Directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from July 1, 2020 to September 30, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $2.30. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-097278 · tm2029083-3_4.xml · derivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,750

Underlying: Common Stock · 19,750 shares

Expires 2030-08-17

F1 · security: On August 18, 2020 the Issuer's Board of Directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from July 1, 2020 to September 30, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $2.30. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-097274 · tm2029083-2_4.xml · derivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,750

Underlying: Common Stock · 22,750 shares

Expires 2030-08-17

F1 · security: On August 18, 2020 the Issuer's Board of Directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from July 1, 2020 to September 30, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $2.30. The total numbers of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-064275 · tm2020299d1_4.xml · derivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2030-05-18

F1 · security: On May 18, 2020 the Compensation Committee of the Issuer's board of directors, in accordance with a compensation policy approved by the board of directors, approved compensation to be paid to the Issuer's non-executive directors for services provided and to be provided to the Issuer during the period from April 1, 2020 to June 30, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $0.54. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-064278 · tm2020299d2_4.xml · derivative · entry 1

HOFFMAN Robert Thurston Sr · CIK 0001748409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-05-18

F1 · security: On May 18, 2020 the Compensation Committee of the Issuer's board of directors, in accordance with a compensation policy approved by the board of directors, approved compensation to be paid to the Issuer's non-executive directors for services provided and to be provided to the Issuer during the period from April 1, 2020 to June 30, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $0.54. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-064282 · tm2020299d4_4.xml · derivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,750

Underlying: Common Stock · 19,750 shares

Expires 2030-05-18

F1 · security: On May 18, 2020 the Compensation Committee of the Issuer's board of directors, in accordance with a compensation policy approved by the board of directors, approved compensation to be paid to the Issuer's non-executive directors for services provided and to be provided to the Issuer during the period from April 1, 2020 to June 30, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $0.54. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-064281 · tm2020299d3_4.xml · derivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,750

Underlying: Common Stock · 22,750 shares

Expires 2030-05-18

F1 · security: On May 18, 2020 the Compensation Committee of the Issuer's board of directors, in accordance with a compensation policy approved by the board of directors, approved compensation to be paid to the Issuer's non-executive directors for services provided and to be provided to the Issuer during the period from April 1, 2020 to June 30, 2020. The reporting person is a non-executive director. As compensation for their services, each non- executive director was awarded options for shares of common stock having an exercise price of $0.54. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The award was issued from the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001104659-20-043277 · tm2014958-2_4.xml · derivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2030-04-01

F1 · security: On April 1, 2020 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2020 to March 31, 2020. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $0.72. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The option was issued from the Issuer's 2011 Equity Incentive Plan. The right to exercise the option and purchase the option shares vested on the date of award.

SEC source: 0001104659-20-043278 · tm2014958-3_4.xml · derivative · entry 1

HOFFMAN Robert Thurston Sr · CIK 0001748409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-04-01

F1 · security: On April 1, 2020 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2020 to March 31, 2020. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $0.72. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The option was issued from the Issuer's 2011 Equity Incentive Plan. The right to exercise the option and purchase the option shares vested on the date of award.

SEC source: 0001104659-20-043276 · tm2014958-1_4.xml · derivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,750

Underlying: Common Stock · 19,750 shares

Expires 2030-04-01

F1 · security: On April 1, 2020 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2020 to March 31, 2020. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $0.72. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The option was issued from the Issuer's 2011 Equity Incentive Plan. The right to exercise the option and purchase the option shares vested on the date of award.

SEC source: 0001104659-20-043279 · tm2014958-4_4.xml · derivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,750

Underlying: Common Stock · 22,750 shares

Expires 2030-04-01

F1 · security: On April 1, 2020 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the period from January 1, 2020 to March 31, 2020. The reporting person is a non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $0.72. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The option was issued from the Issuer's 2011 Equity Incentive Plan. The right to exercise the option and purchase the option shares vested on the date of award.

SEC source: 0001104659-20-021937 · tm208054-1_4.xml · derivative · entry 1

Deller Colin James · CIK 0001766480 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 782,730

Underlying: Common Stock · 182,730 shares

Expires 2030-01-01

F1 · derivative.exercise_date: The right to purchase the option shares vested on the date of grant.

SEC source: 0001104659-20-003570 · tm203340-1_4.xml · derivative · entry 1

Fike Brian Grant · CIK 0001706465 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: The right to purchase the option shares vested on the date of award.

SEC source: 0001104659-20-004074 · tm203461-1_4.xml · derivative · entry 1

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-01-09

F1 · derivative.exercise_date: The right to purchase 20,000 option shares vested on January 9, 2020, the grant date. The remaining 20,000 option shares will vest upon the completion of certain performance objectives.

SEC source: 0001104659-20-004085 · tm203457d2_4.xml · derivative · entry 1

Sock Stephen Michael · CIK 0001751638 · SVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-01-09

SEC source: 0001144204-19-033824 · tv524816_4.xml · derivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

Underlying: Common Stock · 17,000 shares

Expires 2029-04-01

F1 · date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The right to purchase the common stock is earned in quarterly increments. The option was issued from the Company's 2011 Equity Incentive Plan

SEC source: 0001144204-19-033823 · tv524822_4.xml · derivative · entry 1

HOFFMAN Robert Thurston Sr · CIK 0001748409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,250

Underlying: Common Stock · 21,625 shares

Expires 2029-04-01

F1 · date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The right to purchase the common stock is earned in quarterly increments. The option was issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001144204-19-033825 · tv524823_4.xml · derivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,500

Underlying: Common Stock · 22,750 shares

Expires 2029-04-01

F1 · date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The right to purchase the common stock is earned in quarterly increments. The option was issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001144204-19-033826 · tv524824_4.xml · derivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,250

Underlying: Common Stock · 17,625 shares

Expires 2029-04-01

F1 · date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The right to purchase the common stock is earned in quarterly increments. The option was issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001144204-19-033827 · tv524825_4.xml · derivative · entry 1

SIMMONS JAMES M · CIK 0001238466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

Underlying: Common Stock · 16,250 shares

Expires 2029-04-01

F1 · date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The right to purchase the common stock is earned in quarterly increments. The option was issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001144204-19-027184 · tv522001_4.xml · nonDerivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Pate Family Trust

Disclosed balance after: 100,000

F1 · price: The price reported in Column 4 is a weighted average sales price. These shares were acquired in multiple transactions at prices ranging from $0.97 to $1.07. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth in this footnote.

SEC source: 0001144204-19-025694 · tv521420_4.xml · derivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the first quarter of 2019. The reporting person is a non-executive director. The number of option shares awarded was based on the services provided by the director. These services include, depending on the individual, Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001144204-19-025695 · tv521421_4.xml · derivative · entry 1

HOFFMAN Robert Thurston Sr · CIK 0001748409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,625

Underlying: Common Stock · 21,625 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the first quarter of 2019. The reporting person is a non-executive director. The number of option shares awarded was based on the services provided by the director. These services include, depending on the individual, Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001144204-19-025698 · tv521424_4.xml · derivative · entry 1

SIMMONS JAMES M · CIK 0001238466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,250

Underlying: Common Stock · 16,250 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the first quarter of 2019. The reporting person is a non-executive director. The number of option shares awarded was based on the services provided by the director. These services include, depending on the individual, Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001144204-19-025697 · tv521423_4.xml · derivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,625

Underlying: Common Stock · 17,625 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the first quarter of 2019. The reporting person is a non-executive director. The number of option shares awarded was based on the services provided by the director. These services include, depending on the individual, Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001144204-19-025696 · tv521422_4.xml · derivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,750

Underlying: Common Stock · 22,750 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019, the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during the first quarter of 2019. The reporting person is a non-executive director. The number of option shares awarded was based on the services provided by the director. These services include, depending on the individual, Board participation, committee participation, committee chair responsibilities and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan.

SEC source: 0001104659-19-058376 · tm1921550-3_4aseq1.xml · derivative · entry 1

BELL LON E · CIK 0000941593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,000

Underlying: Common Stock · 68,000 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan. The right to purchase the option shares vests in equal increments as follows: the right to purchase 17,000 shares vested on May 9, 2019 and the right to purchase the remaining 51,000 shares will vest in equal increments on the last day of each calendar quarter.

SEC source: 0001104659-19-058379 · tm1921550-4_4aseq1.xml · derivative · entry 1

HOFFMAN Robert Thurston Sr · CIK 0001748409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,500

Underlying: Common Stock · 86,500 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan. The right to purchase the option shares vests in equal increments as follows: the right to purchase 21,625 shares vested on May 9, 2019 and the right to purchase the remaining 64,875 shares will vest in equal increments on the last day of each calendar quarter.

SEC source: 0001104659-19-058382 · tm1921550-5_4aseq1.xml · derivative · entry 1

Meline Susanne · CIK 0001731684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,000

Underlying: Common Stock · 91,000 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan. The right to purchase the option shares vests in equal increments as follows: the right to purchase 22,750 shares vested on May 9, 2019 and the right to purchase the remaining 68,250 shares will vest in equal increments on the last day of each calendar quarter.

SEC source: 0001104659-19-058372 · tm1921550-2_4aseq1.xml · derivative · entry 1

SIMMONS JAMES M · CIK 0001238466 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan. The right to purchase the option shares vests in equal increments as follows: the right to purchase 16,250 shares vested on May 9, 2019 and the right to purchase the remaining 48,750 shares will vest in equal increments on the last day of each calendar quarter.

SEC source: 0001104659-19-058368 · tm1921550-1_4aseq1.xml · derivative · entry 1

Pate Bruce Alan · CIK 0001765385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,500

Underlying: Common Stock · 70,500 shares

Expires 2029-04-01

F1 · derivative.exercise_date: On May 9, 2019 the Issuer's board of directors approved compensation to be paid to the Issuer's non-executive directors for services provided to the Issuer during 2019. The reporting person is an non-executive director. As compensation for their services, each non-executive director was awarded options for shares of common stock having an exercise price of $1.00. The total number of option shares awarded was based on the services provided by the director. These services include Board participation, committee participation, committee chair responsibilites and lead director responsibilities, if any. The shares of common stock are issued from the Company's 2011 Equity Incentive Plan. The right to purchase the option shares vests in equal increments as follows: the right to purchase 17,625 shares vested on May 9, 2019 and the right to purchase the remaining 52,875 shares will vest in equal increments on the last day of each calendar quarter.

SEC source: 0001144204-19-015198 · tv516829_4.xml · nonDerivative · entry 2

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 30,600

SEC source: 0001144204-19-015198 · tv516829_4.xml · nonDerivative · entry 1

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,233

SEC source: 0001144204-19-005906 · tv512875_4.xml · derivative · entry 3

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,000

Underlying: Common Stock · 50,000 shares

Expires 2029-01-01

F2 · derivative.exercise_date: The right to purchase one-third of the shares subject to the options vested as of January 1, 2019. The right to purchase the remainder of the shares will vest as follows: one-third on January 1, 2020 and one third on January 1, 2021.

SEC source: 0001144204-19-005906 · tv512875_4.xml · derivative · entry 2

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,000

Underlying: Common Stock · 50,000 shares

Expires 2029-01-01

F2 · derivative.exercise_date: The right to purchase one-third of the shares subject to the options vested as of January 1, 2019. The right to purchase the remainder of the shares will vest as follows: one-third on January 1, 2020 and one third on January 1, 2021.

SEC source: 0001144204-19-005906 · tv512875_4.xml · derivative · entry 1

Kendrick Donald W · CIK 0001673849 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 60,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: The right to purchase the option shares vested on the date of grant.

SEC source: 0001144204-19-005908 · tv512876_4.xml · derivative · entry 2

Sock Stephen Michael · CIK 0001751638 · SVP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 50,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: The right to purchase one-third of the shares subject to the options vested as of January 1, 2019. The right to purchase the remainder of the shares will vest as follows: one-third on January 1, 2020 and one third on January 1, 2021.