CRMD

SEC source: 0001354488-17-000570 · issuerdirect_section16.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,371

F1 · shares: The purchase was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on August 19, 2016.

SEC source: 0001354488-17-000530 · issuerdirect_section16.xml · nonDerivative · entry 1

Baluch Khoso · CIK 0001686223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

SEC source: 0001354488-17-000518 · issuerdirect_section16.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,821

SEC source: 0001354488-17-000517 · issuerdirect_section16.xml · nonDerivative · entry 1

Kaplan Myron · CIK 0001672645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.472 to $0.500. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001354488-17-000512 · issuerdirect_section16.xml · derivative · entry 12

Dillione Janet · CIK 0001489798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,306

Underlying: Common Stock · 15,306 shares

Expires not disclosed

F4 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F4 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F4 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001354488-17-000512 · issuerdirect_section16.xml · nonDerivative · entry 1

Dillione Janet · CIK 0001489798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,969

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.473 to $0.475. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001354488-17-000518 · issuerdirect_section16.xml · derivative · entry 17

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,306

Underlying: Common Stock · 15,306 shares

Expires not disclosed

F3 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F3 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F3 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001354488-17-000516 · issuerdirect_section16.xml · nonDerivative · entry 1

Markvicka Taunia · CIK 0001545282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,100

SEC source: 0001354488-17-000513 · issuerdirect_section16.xml · nonDerivative · entry 1

Cook Robert W. · CIK 0001235438 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

SEC source: 0001354488-17-000514 · issuerdirect_section16.xml · derivative · entry 17

GEORGE MICHAEL W · CIK 0001190102 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,306

Underlying: Common Stock · 15,306 shares

Expires not disclosed

F3 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F3 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F3 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001354488-17-000514 · issuerdirect_section16.xml · nonDerivative · entry 1

GEORGE MICHAEL W · CIK 0001190102 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001354488-17-000471 · issuerdirect_section16.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,821

F1 · shares: The purchase was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on August 19, 2016.

SEC source: 0001354488-17-000450 · issuerdirect_section16.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,021

F1 · shares: The purchase was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on August 19, 2016.

SEC source: 0001354488-17-000385 · issuerdirect_section16.xml · derivative · entry 1

ARMSTRONG JR. JOHN L. · CIK 0001268675 · Exec VP of Tech Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-03-01

F1 · shares: The option vests based on certain performance milestones, subject to continued employment. The option will be forfeited if such milestones are not met by certain dates.

F1 · derivative.exercise_date: The option vests based on certain performance milestones, subject to continued employment. The option will be forfeited if such milestones are not met by certain dates.

SEC source: 0001354488-17-000350 · issuerdirect_section16.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,071

F1 · shares: The purchase was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on August 19, 2016.

SEC source: 0001354488-17-000310 · issuerdirect_section16.xml · derivative · entry 3

Kaplan Myron · CIK 0001672645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000310 · issuerdirect_section16.xml · derivative · entry 2

Kaplan Myron · CIK 0001672645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-02-21

F1 · derivative.exercise_date: These options vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000308 · issuerdirect_section16.xml · derivative · entry 3

Dillione Janet · CIK 0001489798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,357

Underlying: Common Stock · 15,357 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.underlying_shares: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000308 · issuerdirect_section16.xml · derivative · entry 2

Dillione Janet · CIK 0001489798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-02-21

F1 · derivative.exercise_date: The options vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000312 · issuerdirect_section16.xml · derivative · entry 3

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,714

Underlying: Common Stock · 20,714 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000312 · issuerdirect_section16.xml · derivative · entry 2

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-02-21

F1 · derivative.exercise_date: These options vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000311 · issuerdirect_section16.xml · derivative · entry 3

Markvicka Taunia · CIK 0001545282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,571

Underlying: Common Stock · 13,571 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000311 · issuerdirect_section16.xml · derivative · entry 2

Markvicka Taunia · CIK 0001545282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-02-21

F1 · derivative.exercise_date: These options vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000309 · issuerdirect_section16.xml · derivative · entry 2

GEORGE MICHAEL W · CIK 0001190102 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,232

Underlying: Common Stock · 12,232 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

F2 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock The restricted stock units vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000309 · issuerdirect_section16.xml · derivative · entry 1

GEORGE MICHAEL W · CIK 0001190102 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-02-21

F1 · derivative.exercise_date: These options vest in full on the first anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001354488-17-000266 · issuerdirect_section16.xml · derivative · entry 2

Dillione Janet · CIK 0001489798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,472

Underlying: Common Stock · 3,472 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F2 · shares: These shares were credited automatically to the reporting person's account pursuant to the reporting person's election to defer the receipt of cash compensation for directors' fees.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001354488-17-000268 · issuerdirect_section16.xml · derivative · entry 1

GEORGE MICHAEL W · CIK 0001190102 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,472

Underlying: Common Stock · 3,472 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F2 · shares: These shares were credited automatically to the reporting person's account pursuant to the reporting person's election to defer the receipt of cash compensation of directors' fees.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001354488-17-000267 · issuerdirect_section16.xml · derivative · entry 2

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,472

Underlying: Common Stock · 3,472 shares

Expires not disclosed

F1 · security: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F2 · shares: These shares were credited automatically to the reporting person's account pursuant to the reporting person's election to defer the receipt of cash compensation for directors' fees.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001354488-17-000231 · issuerdirect_section16.xml · derivative · entry 3

Pfaffle Antony · CIK 0001368953 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock, $0.001 par value per share · 10,000 shares

Expires 2022-12-05

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 · kind: This exercise and sale was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on September 19, 2016.

F2 · derivative.exercise_date: These options vested as follows: fifty percent (50%) on the date of issuance of the CE mark certification, which occurred on July 5, 2013, and (b) fifty percent (50%) on December 31, 2013.

SEC source: 0001354488-17-000231 · issuerdirect_section16.xml · nonDerivative · entry 2

Pfaffle Antony · CIK 0001368953 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This exercise and sale was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on September 19, 2016.

SEC source: 0001354488-17-000231 · issuerdirect_section16.xml · nonDerivative · entry 1

Pfaffle Antony · CIK 0001368953 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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: 0001354488-17-000193 · issuerdirect_section16.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,531

F1 · shares: The purchase was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on August 19, 2016.

SEC source: 0001354488-17-000245 · issuerdirect_section16.xml · derivative · entry 2

Abrams Judith R · CIK 0001697499 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Stock · 185,000 shares

Expires 2027-01-30

F1 · date: The option was granted on 1/30/17 contingent upon the Reporting Person commencing employment on 2/1/17.

F3 · derivative.exercise_date: The option vests in four equal annual installments beginning on the first anniversary of the vesting commencement date, 2/1/18, subject to continued employment.

SEC source: 0001354488-17-000245 · issuerdirect_section16.xml · derivative · entry 1

Abrams Judith R · CIK 0001697499 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2027-01-30

F1 · date: The option was granted on 1/30/17 contingent upon the Reporting Person commencing employment on 2/1/17.

F2 · derivative.exercise_date: The option vests based on certain performance milestones. The option will be forfeited if such milestones are not met by certain dates.

SEC source: 0001354488-17-000243 · issuerdirect_section16.xml · derivative · entry 2

Cook Robert W. · CIK 0001235438 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Stock · 185,000 shares

Expires 2027-01-30

F1 · date: The option was granted on 1/30/17 contingent upon the Reporting Person commencing employment on 2/1/17.

F3 · derivative.exercise_date: The option vests in four equal annual installments beginning on the first anniversary of the vesting commencement date, 2/1/18, subject to continued employment.

SEC source: 0001354488-17-000243 · issuerdirect_section16.xml · derivative · entry 1

Cook Robert W. · CIK 0001235438 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2027-01-30

F1 · date: The option was granted on 1/30/17 contingent upon the Reporting Person commencing employment on 2/1/17.

F2 · derivative.exercise_date: The option vests based on certain performance milestones. The option will be forfeited if such milestones are not met by certain dates.

SEC source: 0001354488-17-000009 · issuerdirect_section16.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,751

F1 · shares: The purchase was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on August 19, 2016.

SEC source: 0001354488-16-008655 · issuerdirect_section16.xml · nonDerivative · entry 1

Baluch Khoso · CIK 0001686223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001354488-16-008619 · issuerdirect_section16.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,761

F1 · shares: This purchase was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on August 19, 2016.

SEC source: 0001354488-16-008518 · issuerdirect_section16.xml · derivative · entry 2

Dillione Janet · CIK 0001489798 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,143

Underlying: Common Stock · 4,143 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F2 · shares: These shares were credited automatically to the reporting person's account pursuant to the reporting person's election to defer the receipt of cash compensation for directors' fees.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001354488-16-008520 · issuerdirect_section16.xml · derivative · entry 1

GEORGE MICHAEL W · CIK 0001190102 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,143

Underlying: Common Stock · 4,143 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F1 · date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F2 · shares: These shares were credited automatically to the reporting person's account pursuant to the reporting person's election to defer the receipt of cash compensation of directors' fees.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001354488-16-008519 · issuerdirect_section16.xml · derivative · entry 2

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,143

Underlying: Common Stock · 4,143 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F2 · shares: These shares were credited automatically to the reporting person's account pursuant to the reporting person's election to defer the receipt of cash compensation for directors' fees.

F1 · derivative.exercise_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

F1 · derivative.expiration_date: Each share of phantom stock is the economic equivalent of one share of common stock. The shares of phantom stock become payable in common stock on the tenth business day of January of the year following the reporting person's termination of service as a director.

SEC source: 0001638599-16-001480 · doc4_4274.xml · nonDerivative · entry 1

TELLEZ CORA M · CIK 0001189703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,961

F1 · shares: This exercise and sale was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on August 19, 2016.

SEC source: 0001354488-16-008420 · issuerdirect_section16.xml · derivative · entry 3

Pfaffle Antony · CIK 0001368953 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock, $0.001 par value per share · 20,000 shares

Expires 2022-12-05

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 · kind: This exercise and sale was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on September 19, 2016.

F3 · derivative.exercise_date: These options vested as follows: (a) fifty percent (50%) on the date of the issuance of the CE mark certification, which occurred on July 5th, 2013, and (b) fifty percent (50%) on December 31, 2013.

SEC source: 0001354488-16-008420 · issuerdirect_section16.xml · nonDerivative · entry 2

Pfaffle Antony · CIK 0001368953 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This exercise and sale was effected pursuant to a Rule 10b5-1 trading plan executed by the reporting person on September 19, 2016.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.226 to $2.228, inclusive.

SEC source: 0001354488-16-008420 · issuerdirect_section16.xml · nonDerivative · entry 1

Pfaffle Antony · CIK 0001368953 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

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: 0001354488-16-008364 · issuerdirect_section16.xml · derivative · entry 3

Baluch Khoso · CIK 0001686223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2026-10-03

F3 · derivative.exercise_date: The option vests based on certain performance milestones. If such milestones are met prior to 12/31/18, then the option will not vest until 12/31/18. The option will be forfeited if such milestones are not met by 10/3/2020.

SEC source: 0001354488-16-008364 · issuerdirect_section16.xml · derivative · entry 2

Baluch Khoso · CIK 0001686223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2026-10-03

F2 · derivative.exercise_date: The option vests on the date the Company?s common stock attains an average closing price over any period of 30 consecutive trading days equal to or greater than 2.75 times the closing price per share on the lesser of 9/23/16 or 10/3/16 (the ?Stock Price Condition"); provided, that if the Stock Price Condition is met prior to 12/31/18 then the option will not vest until 12/31/18. The option will be forfeited (i) if the stock price on 12/31/18 is below the closing price per share on the lesser of 9/23/16 or 10/3/16, or (ii) if the Stock Price Condition is not met by 10/3/2020.

SEC source: 0001354488-16-008364 · issuerdirect_section16.xml · derivative · entry 1

Baluch Khoso · CIK 0001686223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250,000

Underlying: Common Stock · 1,250,000 shares

Expires 2026-10-03

F1 · derivative.exercise_date: The option vests as follows: 25% on 10/3/2017, 25% on 10/3/2018, 25% on 10/3/2019, and 25% on 10/3/2020.

SEC source: 0001354488-16-008375 · issuerdirect_section16.xml · derivative · entry 3

Baluch Khoso · CIK 0001686223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2026-09-30

F3 · derivative.exercise_date: The option vests based on certain performance milestones. If such milestones are met prior to 12/31/18, then the option will not vest until 12/31/18. The option will be forfeited if such milestones are not met by 10/3/2020.