CLNE

SEC source: 0001179110-20-002397 · edgar.xml · derivative · entry 1

Scully Stephen · CIK 0001595163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Stock · 42,000 shares

Expires 2030-02-24

SEC source: 0001179110-20-002393 · edgar.xml · derivative · entry 2

Littlefair Andrew J · CIK 0001400209 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,800

Underlying: Common Stock · 91,800 shares

Expires 2030-02-24

F2 · derivative.exercise_date: 34% of the total shares subject to the RSU or stock option award, as applicable, vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-20-002393 · edgar.xml · nonDerivative · entry 1

Littlefair Andrew J · CIK 0001400209 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,629,349

F1 · kind: Represents an award of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon the vesting and settlement of the RSU.

F2 · shares: 34% of the total shares subject to the RSU or stock option award, as applicable, vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-20-002391 · edgar.xml · derivative · entry 2

Pratt Mitchell W · CIK 0001400258 · COO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,300

Underlying: Common Stock · 51,300 shares

Expires 2030-02-24

F2 · derivative.exercise_date: 34% of the total shares subject to the RSU or stock option award, as applicable, vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-20-002391 · edgar.xml · nonDerivative · entry 1

Pratt Mitchell W · CIK 0001400258 · COO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,449

F1 · kind: Represents an award of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon the vesting and settlement of the RSU.

F2 · shares: 34% of the total shares subject to the RSU or stock option award, as applicable, vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

F3 · balance_after: Includes 12,000 shares of the Issuer's common stock that were acquired upon the exercise for cash of an in-the-money stock option on March 19, 2012, which exercise was inadvertently not reported on a Statement of Changes in Beneficial Ownership on Form 4.

SEC source: 0001179110-20-000558 · edgar.xml · nonDerivative · entry 1

Littlefair Andrew J · CIK 0001400209 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,568,149

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 13, 2019. Shares were sold by the Reporting Person to generate proceeds used to satisfy the tax withholding obligation that arose upon the vesting of restricted stock units granted to the Reporting Person.

F2 · price: Shares were sold in multiple transactions at prices ranging from $2.625 to $2.66, inclusive. The price reported in Column 4 is a weighted average sale price. The Reporting Person undertakes to provide the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.

SEC source: 0001179110-19-002593 · edgar.xml · derivative · entry 1

OCONNOR JAMES E · CIK 0001074998 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2029-02-25

SEC source: 0001179110-19-002578 · edgar.xml · derivative · entry 2

Vreeland Robert M. · CIK 0001434661 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,800

Underlying: Common Stock · 37,800 shares

Expires 2029-02-25

F1 · derivative.exercise_date: 34%, 33% and 33% of the total shares subject to the stock option award vest on the first, second and third anniversary of the date of grant, respectively, if, as of each such date, the applicable Volume Hurdle has been achieved. For this purpose, the "Volume Hurdle" will have been achieved if, as of the applicable vesting date, the volume of gasoline gallon equivalents of natural gas delivered by the Issuer in its most recently completed fiscal year has increased by 10% or more relative to the volume of gasoline gallon equivalents of natural gas delivered by the Issuer in the fiscal year immediately preceding the Issuer's most recently completed fiscal year.

SEC source: 0001179110-19-002578 · edgar.xml · derivative · entry 1

Vreeland Robert M. · CIK 0001434661 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,200

Underlying: Common Stock · 88,200 shares

Expires 2029-02-25

F2 · derivative.exercise_date: 34% of the total shares subject to the stock option award vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-19-002583 · edgar.xml · derivative · entry 1

Taormina Vincent C · CIK 0001433542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2029-02-25

SEC source: 0001179110-19-002582 · edgar.xml · derivative · entry 2

Corbus Barclay · CIK 0001411833 · SVP, Strategic Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,800

Underlying: Common Stock · 37,800 shares

Expires 2029-02-25

F1 · derivative.exercise_date: 34%, 33% and 33% of the total shares subject to the stock option award vest on the first, second and third anniversary of the date of grant, respectively, if, as of each such date, the applicable Volume Hurdle has been achieved. For this purpose, the "Volume Hurdle" will have been achieved if, as of the applicable vesting date, the volume of gasoline gallon equivalents of natural gas delivered by the Issuer in its most recently completed fiscal year has increased by 10% or more relative to the volume of gasoline gallon equivalents of natural gas delivered by the Issuer in the fiscal year immediately preceding the Issuer's most recently completed fiscal year.

SEC source: 0001179110-19-002582 · edgar.xml · derivative · entry 1

Corbus Barclay · CIK 0001411833 · SVP, Strategic Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,200

Underlying: Common Stock · 88,200 shares

Expires 2029-02-25

F2 · derivative.exercise_date: 34% of the total shares subject to the stock option award vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-19-002585 · edgar.xml · derivative · entry 1

SOCHA KENNETH M · CIK 0001249695 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2029-02-25

SEC source: 0001179110-19-002597 · edgar.xml · derivative · entry 1

MILLER JAMES C III · CIK 0001235572 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2029-02-25

SEC source: 0001179110-19-002590 · edgar.xml · derivative · entry 1

Scully Stephen · CIK 0001595163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2029-02-25

SEC source: 0001179110-19-002598 · edgar.xml · derivative · entry 1

Herrington John S · CIK 0001400211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2029-02-25

SEC source: 0001179110-19-002594 · edgar.xml · derivative · entry 1

Mitchell Warren I · CIK 0001400256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2029-02-25

SEC source: 0001179110-19-002581 · edgar.xml · derivative · entry 2

Littlefair Andrew J · CIK 0001400209 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,225

Underlying: Common Stock · 72,225 shares

Expires 2029-02-25

F1 · derivative.exercise_date: 34%, 33% and 33% of the total shares subject to the stock option award vest on the first, second and third anniversary of the date of grant, respectively, if, as of each such date, the applicable Volume Hurdle has been achieved. For this purpose, the "Volume Hurdle" will have been achieved if, as of the applicable vesting date, the volume of gasoline gallon equivalents of natural gas delivered by the Issuer in its most recently completed fiscal year has increased by 10% or more relative to the volume of gasoline gallon equivalents of natural gas delivered by the Issuer in the fiscal year immediately preceding the Issuer's most recently completed fiscal year.

SEC source: 0001179110-19-002581 · edgar.xml · derivative · entry 1

Littlefair Andrew J · CIK 0001400209 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,525

Underlying: Common Stock · 168,525 shares

Expires 2029-02-25

F2 · derivative.exercise_date: 34% of the total shares subject to the stock option award vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-19-002577 · edgar.xml · derivative · entry 2

Pratt Mitchell W · CIK 0001400258 · COO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 37,800

Underlying: Common Stock · 37,800 shares

Expires 2029-02-25

F1 · derivative.exercise_date: 34%, 33% and 33% of the total shares subject to the stock option award vest on the first, second and third anniversary of the date of grant, respectively, if, as of each such date, the applicable Volume Hurdle has been achieved. For this purpose, the "Volume Hurdle" will have been achieved if, as of the applicable vesting date, the volume of gasoline gallon equivalents of natural gas delivered by the Issuer in its most recently completed fiscal year has increased by 10% or more relative to the volume of gasoline gallon equivalents of natural gas delivered by the Issuer in the fiscal year immediately preceding the Issuer's most recently completed fiscal year.

SEC source: 0001179110-19-002577 · edgar.xml · derivative · entry 1

Pratt Mitchell W · CIK 0001400258 · COO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 88,200

Underlying: Common Stock · 88,200 shares

Expires 2029-02-25

F2 · derivative.exercise_date: 34% of the total shares subject to the stock option award vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0000899243-18-016147 · doc4.xml · derivative · entry 2

TOTAL S.A. · CIK 0000879764 · 10% owner

Total Marketing Services S.A. · CIK 0001743086 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,498,520 shares

Expires not disclosed

F1 · kind: As described in further detail in the Schedule 13D filed by TOTAL S.A. ("Total") and Total Marketing Services S.A. ("Purchaser" and together with Total, the "Reporting Persons") on May 18, 2018, Purchaser and Clean Energy Fuels Corp. (the "Issuer") entered into a stock purchase agreement on May 9, 2018 (the "Purchase Agreement"), pursuant to which (A) Purchaser agreed to purchase, and the Issuer agreed to sell and issue, 50,856,296 shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), if certain closing conditions are satisfied or waived, including that the Issuer's stockholders approve (i) the issuance of all of the shares of Common Stock to be sold to Purchaser under the Purchase Agreement and

F2 · kind: (Continued from Footnote 1) (ii) an amendment to the Issuer's Restated Certificate of Incorporation to increase the number of shares of Common Stock the Issuer is authorized to issue ("Issuer Stockholder Approval"), or (B) Purchaser would have had the right (the "Stock Election Right"), exercisable in its sole discretion, to purchase 30,498,520 shares of Common Stock in the event the Issuer did not obtain the Issuer Stockholder Approval. At the Issuer's 2018 annual meeting of stockholders held on June 8, 2018, the Issuer Stockholder Approval was obtained. As a result, the Stock Election Right has been replaced with Purchaser's obligation to purchase of 50,856,296 shares of Common Stock, subject to the other standard and customary closing conditions and other terms set forth in the Purchase Agreement. The closing of the transaction and the issuance of the shares of Common Stock to Purchaser is expected to occur on June 13, 2018.

F2 · derivative.exercise_date: (Continued from Footnote 1) (ii) an amendment to the Issuer's Restated Certificate of Incorporation to increase the number of shares of Common Stock the Issuer is authorized to issue ("Issuer Stockholder Approval"), or (B) Purchaser would have had the right (the "Stock Election Right"), exercisable in its sole discretion, to purchase 30,498,520 shares of Common Stock in the event the Issuer did not obtain the Issuer Stockholder Approval. At the Issuer's 2018 annual meeting of stockholders held on June 8, 2018, the Issuer Stockholder Approval was obtained. As a result, the Stock Election Right has been replaced with Purchaser's obligation to purchase of 50,856,296 shares of Common Stock, subject to the other standard and customary closing conditions and other terms set forth in the Purchase Agreement. The closing of the transaction and the issuance of the shares of Common Stock to Purchaser is expected to occur on June 13, 2018.

F2 · derivative.expiration_date: (Continued from Footnote 1) (ii) an amendment to the Issuer's Restated Certificate of Incorporation to increase the number of shares of Common Stock the Issuer is authorized to issue ("Issuer Stockholder Approval"), or (B) Purchaser would have had the right (the "Stock Election Right"), exercisable in its sole discretion, to purchase 30,498,520 shares of Common Stock in the event the Issuer did not obtain the Issuer Stockholder Approval. At the Issuer's 2018 annual meeting of stockholders held on June 8, 2018, the Issuer Stockholder Approval was obtained. As a result, the Stock Election Right has been replaced with Purchaser's obligation to purchase of 50,856,296 shares of Common Stock, subject to the other standard and customary closing conditions and other terms set forth in the Purchase Agreement. The closing of the transaction and the issuance of the shares of Common Stock to Purchaser is expected to occur on June 13, 2018.

SEC source: 0000899243-18-016147 · doc4.xml · nonDerivative · entry 1

TOTAL S.A. · CIK 0000879764 · 10% owner

Total Marketing Services S.A. · CIK 0001743086 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Total Marketing Services S.A.

Disclosed balance after: 50,856,296

F1 · kind: As described in further detail in the Schedule 13D filed by TOTAL S.A. ("Total") and Total Marketing Services S.A. ("Purchaser" and together with Total, the "Reporting Persons") on May 18, 2018, Purchaser and Clean Energy Fuels Corp. (the "Issuer") entered into a stock purchase agreement on May 9, 2018 (the "Purchase Agreement"), pursuant to which (A) Purchaser agreed to purchase, and the Issuer agreed to sell and issue, 50,856,296 shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), if certain closing conditions are satisfied or waived, including that the Issuer's stockholders approve (i) the issuance of all of the shares of Common Stock to be sold to Purchaser under the Purchase Agreement and

F2 · kind: (Continued from Footnote 1) (ii) an amendment to the Issuer's Restated Certificate of Incorporation to increase the number of shares of Common Stock the Issuer is authorized to issue ("Issuer Stockholder Approval"), or (B) Purchaser would have had the right (the "Stock Election Right"), exercisable in its sole discretion, to purchase 30,498,520 shares of Common Stock in the event the Issuer did not obtain the Issuer Stockholder Approval. At the Issuer's 2018 annual meeting of stockholders held on June 8, 2018, the Issuer Stockholder Approval was obtained. As a result, the Stock Election Right has been replaced with Purchaser's obligation to purchase of 50,856,296 shares of Common Stock, subject to the other standard and customary closing conditions and other terms set forth in the Purchase Agreement. The closing of the transaction and the issuance of the shares of Common Stock to Purchaser is expected to occur on June 13, 2018.

SEC source: 0001179110-18-007174 · edgar.xml · nonDerivative · entry 1

Scully Stephen · CIK 0001595163 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 199,118

F1 · price: The shares reported in this Form 4 were purchased in separate transactions at prices ranging from $2.49 to $2.50, with a weighted average purchase price of $2.4917. 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 purchased at each separate price within the price range set forth in this footnote.

SEC source: 0001179110-18-007109 · edgar.xml · nonDerivative · entry 1

Vreeland Robert M. · CIK 0001434661 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,704

SEC source: 0001179110-18-007114 · edgar.xml · nonDerivative · entry 1

Corbus Barclay · CIK 0001411833 · SVP, Strategic Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,113

F1 · shares: The shares reported in this Form 4 were purchased in separate transactions at prices ranging from $2.355 to $2.37, with a weighted average purchase price of $2.3598. 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 purchased at each separate price within the price range set forth in this footnote.

SEC source: 0001179110-18-007112 · edgar.xml · nonDerivative · entry 1

Littlefair Andrew J · CIK 0001400209 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,596,049

F1 · price: The shares reported in this Form 4 were purchased in separate transactions at prices ranging from $2.295 to $2.30, with a weighted average purchase price of $2.2951. 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 purchased at each separate price within the price range set forth in this footnote.

SEC source: 0001179110-18-006864 · edgar.xml · nonDerivative · entry 1

Corbus Barclay · CIK 0001411833 · SVP, Strategic Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 534,113

F1 · price: The shares reported in this Form 4 were purchased in separate transactions at prices ranging from $2.11 to $2.119, with a weighted average purchase price of $2.1153. 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 purchased at each separate price within the price range set forth in this footnote.

SEC source: 0001179110-18-005597 · edgar.xml · nonDerivative · entry 2

Corbus Barclay · CIK 0001411833 · SVP, Strategic Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 524,113

F2 · kind: Shares were withheld by the Issuer to pay the tax withholding obligations that arose upon the grant of the stock award reported in this statement.

SEC source: 0001179110-18-005597 · edgar.xml · nonDerivative · entry 1

Corbus Barclay · CIK 0001411833 · SVP, Strategic Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,696

F1 · kind: Represents an award of 4,576 fully vested shares of the Issuer's common stock. Such stock award was granted in exchange for and in accordance with the terms of the reporting person's agreement with the Issuer to surrender and cancel certain option awards to purchase the equity of an indirect subsidiary of the Issuer in connection with the sale of certain assets of such indirect subsidiary in March 2017, and was granted in lieu of the cash consideration to which the reporting person would have been entitled, as a former equity holder of such indirect subsidiary and but for such agreement to surrender and cancel such option awards, upon the payment of certain earn-out consideration by the purchaser of such assets in 2018.

F1 · price: Represents an award of 4,576 fully vested shares of the Issuer's common stock. Such stock award was granted in exchange for and in accordance with the terms of the reporting person's agreement with the Issuer to surrender and cancel certain option awards to purchase the equity of an indirect subsidiary of the Issuer in connection with the sale of certain assets of such indirect subsidiary in March 2017, and was granted in lieu of the cash consideration to which the reporting person would have been entitled, as a former equity holder of such indirect subsidiary and but for such agreement to surrender and cancel such option awards, upon the payment of certain earn-out consideration by the purchaser of such assets in 2018.

SEC source: 0001179110-18-005596 · edgar.xml · nonDerivative · entry 2

Littlefair Andrew J · CIK 0001400209 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,574,049

F2 · kind: Shares were withheld by the Issuer to pay the tax withholding obligations that arose upon the grant of the stock award reported in this statement.

SEC source: 0001179110-18-005596 · edgar.xml · nonDerivative · entry 1

Littlefair Andrew J · CIK 0001400209 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,576,762

F1 · kind: Represents an award of 7,845 fully vested shares of the Issuer's common stock. Such stock award was granted in exchange for and in accordance with the terms of the reporting person's agreement with the Issuer to surrender and cancel certain option awards to purchase the equity of an indirect subsidiary of the Issuer in connection with the sale of certain assets of such indirect subsidiary in March 2017, and was granted in lieu of the cash consideration to which the reporting person would have been entitled, as a former equity holder of such indirect subsidiary and but for such agreement to surrender and cancel such option awards, upon the payment of certain earn-out consideration by the purchaser of such assets in 2018.

F1 · price: Represents an award of 7,845 fully vested shares of the Issuer's common stock. Such stock award was granted in exchange for and in accordance with the terms of the reporting person's agreement with the Issuer to surrender and cancel certain option awards to purchase the equity of an indirect subsidiary of the Issuer in connection with the sale of certain assets of such indirect subsidiary in March 2017, and was granted in lieu of the cash consideration to which the reporting person would have been entitled, as a former equity holder of such indirect subsidiary and but for such agreement to surrender and cancel such option awards, upon the payment of certain earn-out consideration by the purchaser of such assets in 2018.

SEC source: 0001179110-18-005595 · edgar.xml · nonDerivative · entry 2

Pratt Mitchell W · CIK 0001400258 · COO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 676,249

F2 · kind: Shares were withheld by the Issuer to pay the tax withholding obligations that arose upon the grant of the stock award reported in this statement.

SEC source: 0001179110-18-005595 · edgar.xml · nonDerivative · entry 1

Pratt Mitchell W · CIK 0001400258 · COO and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 678,284

F1 · kind: Represents an award of 5,884 fully vested shares of the Issuer's common stock. Such stock award was granted in exchange for and in accordance with the terms of the reporting person's agreement with the Issuer to surrender and cancel certain option awards to purchase the equity of an indirect subsidiary of the Issuer in connection with the sale of certain assets of such indirect subsidiary in March 2017, and was granted in lieu of the cash consideration to which the reporting person would have been entitled, as a former equity holder of such indirect subsidiary and but for such agreement to surrender and cancel such option awards, upon the payment of certain earn-out consideration by the purchaser of such assets in 2018.

F1 · price: Represents an award of 5,884 fully vested shares of the Issuer's common stock. Such stock award was granted in exchange for and in accordance with the terms of the reporting person's agreement with the Issuer to surrender and cancel certain option awards to purchase the equity of an indirect subsidiary of the Issuer in connection with the sale of certain assets of such indirect subsidiary in March 2017, and was granted in lieu of the cash consideration to which the reporting person would have been entitled, as a former equity holder of such indirect subsidiary and but for such agreement to surrender and cancel such option awards, upon the payment of certain earn-out consideration by the purchaser of such assets in 2018.

SEC source: 0001179110-18-004364 · edgar.xml · nonDerivative · entry 1

Herrington John S · CIK 0001400211 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 404,609

F1 · price: The shares reported in this Form 4 were purchased in separate transactions at prices ranging from $1.395 to $1.42, with a weighted average purchase price of $1.4125. 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 purchased at each separate price within the price range set forth in this footnote.

SEC source: 0001179110-18-003662 · edgar.xml · derivative · entry 2

PICKENS BOONE · CIK 0000898680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-02

SEC source: 0001179110-18-003662 · edgar.xml · nonDerivative · entry 1

PICKENS BOONE · CIK 0000898680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,060,978

F1 · kind: Represents an award of fully vested shares of the Issuer's common stock.

SEC source: 0001179110-18-003663 · edgar.xml · derivative · entry 2

OCONNOR JAMES E · CIK 0001074998 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-02

SEC source: 0001179110-18-003663 · edgar.xml · nonDerivative · entry 1

OCONNOR JAMES E · CIK 0001074998 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By James E. O'Connor Irrevocable Trust

Disclosed balance after: 127,118

F1 · kind: Represents an award of fully vested shares of the Issuer's common stock.

SEC source: 0001179110-18-003656 · edgar.xml · derivative · entry 2

Vreeland Robert M. · CIK 0001434661 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2028-03-02

F2 · derivative.exercise_date: 34% of the total shares subject to the RSU or stock option award, as applicable, vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-18-003656 · edgar.xml · nonDerivative · entry 1

Vreeland Robert M. · CIK 0001434661 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,404

F1 · kind: Represents an award of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon the vesting and settlement of the RSU.

SEC source: 0001179110-18-003659 · edgar.xml · derivative · entry 2

Taormina Vincent C · CIK 0001433542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-02

SEC source: 0001179110-18-003659 · edgar.xml · nonDerivative · entry 1

Taormina Vincent C · CIK 0001433542 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 187,018

F1 · kind: Represents an award of fully vested shares of the Issuer's common stock.

SEC source: 0001179110-18-003658 · edgar.xml · derivative · entry 2

Corbus Barclay · CIK 0001411833 · SVP, Strategic Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common stock · 95,000 shares

Expires 2028-03-02

F2 · derivative.exercise_date: 34% of the total shares subject to the RSU or stock option award, as applicable, vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-18-003658 · edgar.xml · nonDerivative · entry 1

Corbus Barclay · CIK 0001411833 · SVP, Strategic Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,120

F1 · kind: Represents an award of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon the vesting and settlement of the RSU.

F2 · shares: 34% of the total shares subject to the RSU or stock option award, as applicable, vest on the first anniversary of the date of grant, and 33% vest on each anniversary thereafter until the award is fully vested.

SEC source: 0001179110-18-003660 · edgar.xml · derivative · entry 3

SOCHA KENNETH M · CIK 0001249695 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-02

SEC source: 0001179110-18-003660 · edgar.xml · nonDerivative · entry 1

SOCHA KENNETH M · CIK 0001249695 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,728

F1 · kind: Represents an award of fully vested shares of the Issuer's common stock.

SEC source: 0001179110-18-003665 · edgar.xml · derivative · entry 2

MILLER JAMES C III · CIK 0001235572 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-02

SEC source: 0001179110-18-003665 · edgar.xml · nonDerivative · entry 1

MILLER JAMES C III · CIK 0001235572 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 130,001

F1 · kind: Represents an award of fully vested shares of the Issuer's common stock.

SEC source: 0001179110-18-003666 · edgar.xml · derivative · entry 2

Herrington John S · CIK 0001400211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-02