ECOR

SEC source: 0001193805-21-000995 · e620781_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,544

SEC source: 0001493152-21-014483 · ownership.xml · derivative · entry 1

ATIEH MICHAEL G · CIK 0001072501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,766

Underlying: Common Stock · 66,766 shares

Expires 2031-06-11

F1 · derivative.exercise_date: The Deferred Stock Units vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2022, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-21-014472 · ownership.xml · derivative · entry 1

Errico Joseph P · CIK 0001737616 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,510

Underlying: Common Stock · 44,510 shares

Expires 2031-06-11

F1 · derivative.exercise_date: The Deferred Stock Units vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2022, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-21-014481 · ownership.xml · derivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,568

Underlying: Common Stock · 67,568 shares

Expires 2031-06-11

F1 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2022, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-21-014478 · ownership.xml · derivative · entry 1

Moody Trevor J · CIK 0001737568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,510

Underlying: Common Stock · 44,510 shares

Expires 2031-06-11

F1 · derivative.exercise_date: The Restricted Stock Units vest in 12 equal monthly installments from the grant date; provided, however, that the Restricted Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2022, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-21-014487 · ownership.xml · derivative · entry 1

CUNEO F PETER · CIK 0001221901 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,568

Underlying: Common Stock · 67,568 shares

Expires 2031-06-11

F1 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2022, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-21-014476 · ownership.xml · derivative · entry 1

GANDOLFO JOHN P · CIK 0001200155 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,510

Underlying: Common Stock · 44,510 shares

Expires 2031-06-11

F1 · derivative.exercise_date: The Deferred Stock Units vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2022, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-21-014488 · ownership.xml · derivative · entry 1

PATTON THOMAS M · CIK 0001310306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,510

Underlying: Common Stock · 44,510 shares

Expires 2031-06-11

F1 · derivative.exercise_date: The Restricted Stock Units vest in 12 equal monthly installments from the grant date; provided, however, that the Restricted Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2022, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-21-014484 · ownership.xml · derivative · entry 1

Ondra Stephen · CIK 0001742057 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,510

Underlying: Common Stock · 44,510 shares

Expires 2031-06-11

F1 · derivative.exercise_date: The Restricted Stock Units vest in 12 equal monthly installments from the grant date; provided, however, that the Restricted Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2022, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001213900-21-028010 · ownership.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,700

F1 · balance_after: Consists of 1,215,002 shares of common stock held directly by the Reporting Person; 19,454 shares of common stock held directly by a trust for the benefit of the Reporting Person's family members; and 42,244 shares of common stock held for the benefit of the Reporting Person indirectly by Core Ventures II, LLC, Core Ventures IV, LLC and certain other entities controlled by the Reporting Person.

SEC source: 0001213900-21-016082 · ownership.xml · nonDerivative · entry 1

GANDOLFO JOHN P · CIK 0001200155 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

SEC source: 0001193805-21-000068 · e620223_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,544

F1 · kind: Represent fully vested Common Stock granted under the Issuer's 2018 Omnibus Incentive Plan as a bonus payment in respect of 2020 in lieu of an equivalent cash bonus at the election of the Reporting Person.

SEC source: 0001193805-21-000072 · e620226_4-goldberger.xml · derivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,000

Underlying: Common Stock · 270,000 shares

Expires 2031-01-25

F1 · derivative.exercise_date: The option vests (i) with respect to 25% of the underlying shares of Common Stock on each of the first, second, third, and fourth anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

SEC source: 0001193805-21-000049 · e620213_4-posner.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2031-01-18

F1 · derivative.exercise_date: The option vests (i) with respect to 25% of the underlying shares of Common Stock on each of the first, second, third, and fourth anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

SEC source: 0001493152-20-011292 · ownership.xml · derivative · entry 1

ATIEH MICHAEL G · CIK 0001072501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Common Stock · 112,500 shares

Expires 2030-06-12

F1 · derivative.exercise_date: The Deferred Stock Units vest in full on the earlier of (i) the close of business on the day before the next annual meeting of stockholders following the date hereof, and (ii) the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-20-011293 · ownership.xml · derivative · entry 1

Errico Joseph P · CIK 0001737616 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-06-12

F1 · derivative.exercise_date: The Deferred Stock Units vest in full on the earlier of (i) the close of business on the day before the next annual meeting of stockholders following the date hereof, and (ii) the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-20-011295 · ownership.xml · derivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-06-12

F1 · derivative.exercise_date: The option vests in full on the earlier of (i) the close of business on the day before the next annual meeting of stockholders following the date hereof, and (ii) the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-20-011298 · ownership.xml · derivative · entry 1

Moody Trevor J · CIK 0001737568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-06-12

F1 · derivative.exercise_date: The Restricted Stock Units vest in full on the earlier of (i) the close of business on the day before the next annual meeting of stockholders following the date hereof, and (ii) the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-20-011297 · ownership.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 105,000 shares

Expires 2030-06-12

F1 · derivative.exercise_date: The option vests (i) with respect to 25% of the underlying shares of Common Stock on each of the first, second, third, and fourth anniversaries of the date of grant, and (ii) if and to the extent not already vested, on the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001493152-20-011296 · ownership.xml · derivative · entry 1

Ondra Stephen · CIK 0001742057 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-06-12

F1 · derivative.exercise_date: The Restricted Stock Units vest in full on the earlier of (i) the close of business on the day before the next annual meeting of stockholders following the date hereof, and (ii) the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0000899243-20-010872 · doc4.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,245,450

F1 · balance_after: Consists of 1,183,752 shares of common stock held directly by the Reporting Person; 19,454 shares of common stock held directly by a trust for the benefit of the Reporting Person's family members; and 42,244 shares of common stock held for the benefit of the Reporting Person indirectly by Core Ventures II, LLC, Core Ventures IV, LLC and certain other entities controlled by the Reporting Person.

SEC source: 0000899243-20-010870 · doc4.xml · nonDerivative · entry 1

Moody Trevor J · CIK 0001737568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,944

SEC source: 0001209191-20-024648 · doc4.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · via Tullis Growth Fund II, L.P.

Disclosed balance after: 1,764,705

F1 · shares: Pursuant to the Securities Purchase Agreement dated as of April 14, 2020 (the "SPA"), by and between the Issuer and each purchaser thereto, including Tullis Growth Fund II, L.P.

F1 · price: Pursuant to the Securities Purchase Agreement dated as of April 14, 2020 (the "SPA"), by and between the Issuer and each purchaser thereto, including Tullis Growth Fund II, L.P.

F2 · ownership.nature: The shares were purchased pursuant to the SPA by Tullis Growth Fund II, L.P. ("Tullis Growth II"). Tullis Growth Partners II, LLC is the general partner of Tullis Growth II and may be deemed to beneficially own the shares held by Tullis Growth II. James L.L. Tullis is a Principal of each of the foregoing entities and may be deemed to possess voting and investment control over, and may be deemed to have an indirect beneficial ownership with respect to, the shares held by Tullis Growth II.

SEC source: 0000899243-20-010353 · doc4.xml · derivative · entry 1

CUNEO F PETER · CIK 0001221901 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The option vests (i) in 36 equal monthly increments over a period of 36 months from the grant date, and (ii) in full on the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0000899243-20-010351 · doc4.xml · derivative · entry 1

GANDOLFO JOHN P · CIK 0001200155 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-04-02

F1 · derivative.exercise_date: The deferred stock units vest (i) in 36 equal monthly increments over a period of 36 months from the grant date, and (ii) in full on the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0000899243-20-010352 · doc4.xml · nonDerivative · entry 1

PATTON THOMAS M · CIK 0001310306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

F1 · shares: Represents an award of restricted stock units. The restricted stock units vest (i) in 36 equal monthly increments over a period of 36 months from the grant date, and (ii) in full on the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0000899243-19-029359 · doc4.xml · nonDerivative · entry 2

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · via Tullis Opportunity Fund II LP

Disclosed balance after: 0

F1 · kind: Pro rata distribution of shares to partners of Tullis Opportunity Fund II LP.

SEC source: 0000899243-19-029359 · doc4.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,504

F1 · kind: Pro rata distribution of shares to partners of Tullis Opportunity Fund II LP.

SEC source: 0000899243-19-028176 · doc4.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,824

F1 · price: The price reported in Column 4 is an average price. These shares were acquired in multiple transactions at prices ranging from $1.42 to $1.44 per share. The Reporting Person undertakes to provide to electroCore, Inc., any security holder of electroCore, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price on the Transaction Date.

SEC source: 0000899243-19-027699 · doc4.xml · nonDerivative · entry 1

Core Ventures II, LLC · CIK 0001571617 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 646,342

F1 · kind: Pro rata distribution of shares to members of the Reporting Person.

SEC source: 0000899243-19-024959 · doc4.xml · derivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 764,331

Underlying: Common Stock · 764,331 shares

Expires 2029-10-01

F2 · derivative.exercise_date: Subject to accelerated vesting in certain circumstances, one-fourth of the option is scheduled to vest on each of the first four anniversaries of the Start Date, as long as the Reporting Person remains in the service of the Issuer through the respective vesting date.

SEC source: 0000899243-19-024959 · doc4.xml · derivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,053

Underlying: Common Stock · 215,053 shares

Expires 2029-10-01

F1 · derivative.exercise_date: Represents a grant of restricted stock units of the Issuer. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Issuer common stock. Subject to accelerated vesting in certain circumstances, one-fourth of the restricted stock units are scheduled to vest on each of the first four anniversaries of the Start Date (as defined in the Offer Letter, dated September 26, 2019, between the Reporting Person and the Issuer), as long as the Reporting Person remains in the service of the Issuer through the respective vesting date.

SEC source: 0001193805-23-001145 · e618858_4-errico.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,574

F1 · shares: The purchase accounts for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023. This Form 4 is being filed to report this previously unreported transaction.

F3 · balance_after: Consists of 171,762 shares of common stock beneficially owned directly by the Reporting Person; 1,296 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person's family members; and 13,732 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0000899243-19-022116 · doc4.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 883,237

F1 · price: The price reported in Column 4 is an average price. These shares were acquired in multiple transactions at prices ranging from $1.50 to $1.75 per share. The Reporting Person undertakes to provide to electroCore, Inc., any security holder of electroCore, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price on the Transaction Date.

F2 · balance_after: Includes 379,612 shares indirectly beneficially owned by the Reporting Person through entities for which the Reporting Person serves as a manager (the "Entities") that were distributed by the Entities to the Reporting Person.

SEC source: 0000899243-19-022117 · doc4.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,840

SEC source: 0000899243-19-018613 · doc4.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,033

Underlying: Common Stock · 73,033 shares

Expires 2029-06-27

F1 · derivative.exercise_date: 50% of the Restricted Stock Units vest 12 months from the grant date, 25% vest 18 months from the grant date, and the remainder vests 24 months from the grant date.

SEC source: 0000899243-19-018220 · doc4.xml · nonDerivative · entry 1

Core Ventures II, LLC · CIK 0001571617 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,802,836

F1 · kind: Pro rata distribution of shares to members of the Reporting Person.

SEC source: 0000899243-19-016546 · doc4.xml · derivative · entry 1

COX CARRIE SMITH · CIK 0001110753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,964

Underlying: Common Stock · 66,964 shares

Expires 2029-06-08

F1 · derivative.exercise_date: The Deferred Stock Units vest upon the close of business on the day before the next annual meeting of stockholders following the date hereof.

SEC source: 0000899243-19-016553 · doc4.xml · derivative · entry 1

ATIEH MICHAEL G · CIK 0001072501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,291

Underlying: Common Stock · 63,291 shares

Expires 2029-06-08

F1 · derivative.exercise_date: The options vest upon the close of business on the day before the next annual meeting of stockholders following the date hereof.

SEC source: 0000899243-19-016558 · doc4.xml · derivative · entry 1

Amato Francis R. · CIK 0001737615 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,321

Underlying: Common Stock · 22,321 shares

Expires 2020-06-07

F1 · security: Granted to the Reporting person in lieu of cash compensation foregone for fiscal 2019. The RSUs vest on the earlier of (i) the first anniversary of the date of grant and (ii) the Separation Date, as defined in the Separation Agreement, dated June 10, 2019 between the Reporting Person and electroCore, Inc.

F1 · derivative.exercise_date: Granted to the Reporting person in lieu of cash compensation foregone for fiscal 2019. The RSUs vest on the earlier of (i) the first anniversary of the date of grant and (ii) the Separation Date, as defined in the Separation Agreement, dated June 10, 2019 between the Reporting Person and electroCore, Inc.

SEC source: 0000899243-19-016551 · doc4.xml · derivative · entry 9

Errico Thomas J. · CIK 0001737633 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,291

Underlying: Common Stock · 63,291 shares

Expires 2029-06-08

F1 · derivative.exercise_date: The options vest upon the close of business on the day before the next annual meeting of stockholders following the date hereof.

SEC source: 0000899243-19-016551 · doc4.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 484,651

SEC source: 0000899243-19-016559 · doc4.xml · derivative · entry 1

Moody Trevor J · CIK 0001737568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,642

Underlying: Common Stock · 44,642 shares

Expires 2029-06-08

F1 · derivative.exercise_date: The Restricted Stock Units vest upon the close of business on the day before the next annual meeting of stockholders following the date hereof.

SEC source: 0000899243-19-016542 · doc4.xml · derivative · entry 1

Colucci Nicholas · CIK 0001737582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,642

Underlying: Common Stock · 44,642 shares

Expires 2029-06-08

F1 · derivative.exercise_date: The Restricted Stock Units vest upon the close of business on the day before the next annual meeting of stockholders following the date hereof.

SEC source: 0000899243-19-016549 · doc4.xml · derivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,642

Underlying: Common Stock · 44,642 shares

Expires 2029-06-08

F1 · derivative.exercise_date: The Deferred Stock Units vest upon the close of business on the day before the next annual meeting of stockholders following the date hereof.

SEC source: 0000899243-19-016545 · doc4.xml · derivative · entry 1

Ondra Stephen · CIK 0001742057 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,291

Underlying: Common Stock · 63,291 shares

Expires 2029-06-08

F1 · derivative.exercise_date: The options vest upon the close of business on the day before the next annual meeting of stockholders following the date hereof.

SEC source: 0000899243-19-015903 · doc4.xml · nonDerivative · entry 1

COX CARRIE SMITH · CIK 0001110753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

SEC source: 0000899243-19-015899 · doc4.xml · nonDerivative · entry 2

Errico Thomas J. · CIK 0001737633 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 477,651

SEC source: 0000899243-19-015899 · doc4.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 471,651

SEC source: 0000899243-19-015902 · doc4.xml · nonDerivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000