FTK

SEC source: 0001493152-25-012032 · ownership.xml · nonDerivative · entry 2

Ezell Ryan Gillis · CIK 0001805598 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 219,736

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: 0001493152-25-012032 · ownership.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 156,855

F1 · balance_after: Includes 604 shares Dr. Ezell acquired under Flotek Industries, Inc. 2012 Employee Stock Purchase plan for the three month period commencing April 1, 2025. This transaction is exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001641172-25-024168 · ownership.xml · derivative · entry 3

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 45,732 shares

Expires 2033-12-05

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.

F2 · derivative.exercise_date: 75% of the options vested on May 16, 2025 and the remaining 25% vested on July 29, 2025.

SEC source: 0001641172-25-024168 · ownership.xml · nonDerivative · entry 2

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,439

SEC source: 0001641172-25-024168 · ownership.xml · nonDerivative · entry 1

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,171

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: On December 20, 2023, the reporting person filed a Form 4 reporting depositions of 2,825 and 2,802 shares to cover tax withholding, which should have been 2,030 and 2,013. The number of shares beneficially owned following this transaction has been adjusted to correct this error.

SEC source: 0000928054-25-000056 · wk-form4_1747683845.xml · nonDerivative · entry 1

Fucci Michael · CIK 0001830184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,144

F1 · shares: Restricted Stock Awards ("RSAs") granted as consideration for service on the Board. RSAs vest on the earlier of the one-year anniversary of the grant date or the next annual shareholders meeting (provided such meeting occurs at least 50 weeks after the grant date).

SEC source: 0000928054-25-000058 · wk-form4_1747683959.xml · nonDerivative · entry 1

Agadi Harshavardhan V · CIK 0001498132 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 264,221

F1 · shares: Restricted Stock Awards ("RSAs") granted as consideration for service on the Board. RSAs vest on the earlier of the one-year anniversary of the grant date or the next annual shareholders meeting (provided such meeting occurs at least 50 weeks after the grant date).

SEC source: 0000928054-25-000054 · wk-form4_1747683555.xml · nonDerivative · entry 1

Farber Evan R · CIK 0001415894 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,895

F1 · shares: Restricted Stock Awards ("RSAs") granted as consideration for service on the Board. RSAs vest on the earlier of the one-year anniversary of the grant date or the next annual shareholders meeting (provided such meeting occurs at least 50 weeks after the grant date).

SEC source: 0000928054-25-000052 · wk-form4_1747683424.xml · nonDerivative · entry 1

Mayr Lisa · CIK 0001793283 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,035

F1 · shares: Restricted Stock Awards ("RSAs") granted as consideration for service on the Board. RSAs vest on the earlier of the one-year anniversary of the grant date or the next annual shareholders meeting (provided such meeting occurs at least 50 weeks after the grant date).

SEC source: 0001415889-25-013449 · form4-05162025_080517.xml · nonDerivative · entry 2

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by THRC Holdings, LP

Disclosed balance after: 157,792

F2 · ownership.nature: Reporting Person, as VP-Investments of THRC Holdings, LP, a Texas limited partnership ("THRC") may be deemed to exercise voting and investment power over the Issuer's Class A common stock directly owned by THRC, and therefore, may be deemed to beneficially own such shares. THRC directly holds the securities of the Issuer. Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

SEC source: 0001415889-25-013449 · form4-05162025_080517.xml · nonDerivative · entry 1

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by THRC Holdings, LP

Disclosed balance after: 157,390

F1 · price: The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $14.14 to $14.15 per share. 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 range set forth in this footnote.

F2 · ownership.nature: Reporting Person, as VP-Investments of THRC Holdings, LP, a Texas limited partnership ("THRC") may be deemed to exercise voting and investment power over the Issuer's Class A common stock directly owned by THRC, and therefore, may be deemed to beneficially own such shares. THRC directly holds the securities of the Issuer. Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

SEC source: 0001415889-25-012816 · form4-05132025_100544.xml · nonDerivative · entry 5

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by THRC Holdings, LP

Disclosed balance after: 144,350

F5 · price: The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $12.02 to $12.62 per share. 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 range set forth in this footnote.

F4 · ownership.nature: Reporting Person, as VP-Investments of THRC Holdings, LP, a Texas limited partnership ("THRC") may be deemed to exercise voting and investment power over the Issuer's Class A common stock directly owned by THRC, and therefore, may be deemed to beneficially own such shares. THRC directly holds the securities of the Issuer. Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

SEC source: 0001415889-25-012816 · form4-05132025_100544.xml · nonDerivative · entry 3

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by JCMWZ, LLC

Disclosed balance after: 49,542

F1 · ownership.nature: The reporting person is the Manager of JCMWZ, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001415889-25-013128 · form4a-05152025_040558.xml · nonDerivative · entry 5

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by THRC Holdings, LP

Disclosed balance after: 144,350

F6 · price: The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $12.02 to $12.62 per share. 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 range set forth in this footnote.

F5 · ownership.nature: Reporting Person, as VP-Investments of THRC Holdings, LP, a Texas limited partnership ("THRC") may be deemed to exercise voting and investment power over the Issuer's Class A common stock directly owned by THRC, and therefore, may be deemed to beneficially own such shares. THRC directly holds the securities of the Issuer. Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

SEC source: 0001415889-25-013128 · form4a-05152025_040558.xml · nonDerivative · entry 3

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by JCMWZ, LLC

Disclosed balance after: 60,000

F2 · balance_after: Due to an unintentional scrivener's error, the total reported in Box 5 on the Reporting Person's Form 4 filed May 13, 2025 incorrectly reported ownership of 49,542 shares. This amendment corrects this error.

F1 · ownership.nature: The reporting person is the Manager of JCMWZ, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001415889-25-012816 · form4-05132025_100544.xml · nonDerivative · entry 4

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by THRC Holdings, LP

Disclosed balance after: 72,006

F2 · price: The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $11.64 to $11.74 per share. 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 range set forth in this footnote.

F3 · balance_after: Total shares beneficially owned reduced from 408,155 shares reported on June 20, 2023 to 68,026 due to a 1-6 reverse stock split on September 26, 2023.

F4 · ownership.nature: Reporting Person, as VP-Investments of THRC Holdings, LP, a Texas limited partnership ("THRC") may be deemed to exercise voting and investment power over the Issuer's Class A common stock directly owned by THRC, and therefore, may be deemed to beneficially own such shares. THRC directly holds the securities of the Issuer. Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

SEC source: 0001415889-25-012816 · form4-05132025_100544.xml · nonDerivative · entry 2

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by JCMWZ, LLC

Disclosed balance after: 28,830

F1 · ownership.nature: The reporting person is the Manager of JCMWZ, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001415889-25-012816 · form4-05132025_100544.xml · nonDerivative · entry 1

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by JCMWZ, LLC

Disclosed balance after: 18,372

F1 · ownership.nature: The reporting person is the Manager of JCMWZ, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001415889-25-013128 · form4a-05152025_040558.xml · nonDerivative · entry 4

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by THRC Holdings, LP

Disclosed balance after: 72,006

F3 · price: The reported price is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $11.64 to $11.74 per share. 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 range set forth in this footnote.

F4 · balance_after: Total shares beneficially owned reduced from 408,155 shares reported on June 20, 2023 to 68,026 due to a 1-6 reverse stock split on September 26, 2023.

F5 · ownership.nature: Reporting Person, as VP-Investments of THRC Holdings, LP, a Texas limited partnership ("THRC") may be deemed to exercise voting and investment power over the Issuer's Class A common stock directly owned by THRC, and therefore, may be deemed to beneficially own such shares. THRC directly holds the securities of the Issuer. Reporting Person disclaims beneficial ownership of all equity securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any equity securities covered by this Form 4.

SEC source: 0001415889-25-013128 · form4a-05152025_040558.xml · nonDerivative · entry 2

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by JCMWZ, LLC

Disclosed balance after: 28,830

F1 · ownership.nature: The reporting person is the Manager of JCMWZ, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001415889-25-013128 · form4a-05152025_040558.xml · nonDerivative · entry 1

Wilks Matthew · CIK 0001696102 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by JCMWZ, LLC

Disclosed balance after: 18,372

F1 · ownership.nature: The reporting person is the Manager of JCMWZ, LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001104659-25-042788 · tm2513721-1_4seq1.xml · derivative · entry 1

ProFrac Holding Corp. · CIK 0001881487 · 10% owner

ProFrac Holdings, LLC · CIK 0001911179 · 10% owner

ProFrac Holdings II, LLC · CIK 0001918796 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By ProFrac GDM, LLC

Disclosed balance after: 6,000,000

Underlying: Common Stock · 6,000,000 shares

Expires 2032-04-28

F2 · security: On April 28, 2025, pursuant to an Asset Purchase Agreement, dated as of April 28, 2025, by and among ProFrac GDM, PubCo, the Issuer, PWRTEK, LLC, a Texas limited liability company and subsidiary of the Issuer ("PWRTEK"), and the other parties named therein, the Issuer issued a warrant to ProFrac GDM to purchase 6,000,0000 shares of the Issuer's Common Stock at an exercise price equal to $0.0001 per share (the "Warrant") as partial consideration for the sale of certain assets by ProFrac GDM to PWRTEK.

F2 · derivative.exercise_price: On April 28, 2025, pursuant to an Asset Purchase Agreement, dated as of April 28, 2025, by and among ProFrac GDM, PubCo, the Issuer, PWRTEK, LLC, a Texas limited liability company and subsidiary of the Issuer ("PWRTEK"), and the other parties named therein, the Issuer issued a warrant to ProFrac GDM to purchase 6,000,0000 shares of the Issuer's Common Stock at an exercise price equal to $0.0001 per share (the "Warrant") as partial consideration for the sale of certain assets by ProFrac GDM to PWRTEK.

F3 · derivative.exercise_date: The Warrant can be exercised on a cashless basis at any time following the date on which the Issuer's stockholders have approved the issuance of the shares of Common Stock underlying the Warrant (the "Stockholder Proposal"). Under certain circumstances, including if stockholder approval for the Stockholder Proposal is not timely obtained, ProFrac GDM may elect to convert the Warrant into a five-year promissory note in a principial amount that will be based upon the then deemed market value of the Warrant.

F3 · derivative.expiration_date: The Warrant can be exercised on a cashless basis at any time following the date on which the Issuer's stockholders have approved the issuance of the shares of Common Stock underlying the Warrant (the "Stockholder Proposal"). Under certain circumstances, including if stockholder approval for the Stockholder Proposal is not timely obtained, ProFrac GDM may elect to convert the Warrant into a five-year promissory note in a principial amount that will be based upon the then deemed market value of the Warrant.

F3 · balance_after: The Warrant can be exercised on a cashless basis at any time following the date on which the Issuer's stockholders have approved the issuance of the shares of Common Stock underlying the Warrant (the "Stockholder Proposal"). Under certain circumstances, including if stockholder approval for the Stockholder Proposal is not timely obtained, ProFrac GDM may elect to convert the Warrant into a five-year promissory note in a principial amount that will be based upon the then deemed market value of the Warrant.

F1 · ownership.nature: ProFrac GDM, LLC, a Texas limited liability company ("ProFrac GDM"), directly holds the securities of the Issuer. ProFrac GDM is a wholly owned, indirect subsidiary of ProFrac Holdings II, LLC, a Texas limited liability company ("ProFrac Holdings II"). ProFrac Holdings, LLC, a Texas limited liability company ("ProFrac Holdings") is the sole member of ProFrac Holdings II. ProFrac Holdings is a wholly owned, indirect subsidiary of ProFrac Holding Corp., a Delaware corporation ("PubCo"). As a result, each of ProFrac Holdings II, ProFrac Holdings and PubCo may be deemed to beneficially own the securities directly held by ProFrac GDM. Each Reporting Person disclaims beneficial ownership of all securities reported herein except to the extent of its respective pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any such Reporting Person is the beneficial owner of any securities covered by this Form 4.

SEC source: 0000928054-25-000033 · wk-form4_1745333227.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,746

F1 · ownership.direct: Includes 896 shares Dr. Ezell acquired under Flotek Industries, Inc.'s 2012 Employee Stock Purchase Plan for the 3-month period commencing January 1, 2025. This transaction is exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0000928054-25-000014 · wk-form4_1741701299.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,039

F1 · ownership.direct: Includes 605 shares Dr. Ezell acquired under Flotek Industries, Inc.'s 2012 Employee Stock Purchase Plan for the 3-month period commencing October 1, 2024. This transaction is exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0000928054-25-000008 · wk-form4_1741104305.xml · nonDerivative · entry 1

Blakeway Amy E. · CIK 0002015075 · SVP, GC and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,885

SEC source: 0000928054-24-000120 · wk-form4_1734723506.xml · nonDerivative · entry 1

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,855

SEC source: 0000928054-24-000118 · wk-form4_1733517249.xml · nonDerivative · entry 1

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,898

SEC source: 0000928054-24-000116 · wk-form4_1733516952.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,607

SEC source: 0000928054-24-000103 · wk-form4_1730405258.xml · derivative · entry 2

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2025-12-31

F2 · derivative.exercise_price: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of Flotek Industries, Inc. common stock subject to the common stock achieving a specified price per share on or before December 31, 2025.

F2 · derivative.exercise_date: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of Flotek Industries, Inc. common stock subject to the common stock achieving a specified price per share on or before December 31, 2025.

F2 · ownership.direct: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of Flotek Industries, Inc. common stock subject to the common stock achieving a specified price per share on or before December 31, 2025.

SEC source: 0000928054-24-000103 · wk-form4_1730405258.xml · nonDerivative · entry 1

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,723

F1 · shares: Restricted stock units that vest in three equal annual installments.

SEC source: 0000928054-24-000104 · wk-form4_1730405385.xml · derivative · entry 2

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2025-12-31

F3 · derivative.exercise_price: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of Flotek Industries, Inc. common stock subject to the common stock achieving a specified price per share on or before December 31, 2025.

F3 · derivative.exercise_date: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of Flotek Industries, Inc. common stock subject to the common stock achieving a specified price per share on or before December 31, 2025.

SEC source: 0000928054-24-000104 · wk-form4_1730405385.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,741

F1 · shares: Restricted stock units that vest in three equal annual installments.

F2 · balance_after: Includes 3,275 shares Mr. Ezell acquired under Flotek Industries, Inc.'s 2012 Employee Stock Purchase Plan for the 3-month periods commencing April 1, 2024 and July 1, 2024. These transactions are exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0000928054-24-000102 · wk-form4_1730405122.xml · derivative · entry 2

Blakeway Amy E. · CIK 0002015075 · SVP, GC and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2025-12-31

F2 · derivative.exercise_price: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of Flotek Industries, Inc. common stock subject to the common stock achieving a specified price per share on or before December 31, 2025.

F2 · derivative.exercise_date: Each Performance Based Restricted Stock Unit represents a contingent right to receive one share of Flotek Industries, Inc. common stock subject to the common stock achieving a specified price per share on or before December 31, 2025.

SEC source: 0000928054-24-000102 · wk-form4_1730405122.xml · nonDerivative · entry 1

Blakeway Amy E. · CIK 0002015075 · SVP, GC and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,065

F1 · shares: Restricted stock units that vest in three equal annual installments.

SEC source: 0000928054-24-000067 · wk-form4_1717621966.xml · nonDerivative · entry 1

Fucci Michael · CIK 0001830184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,750

F1 · shares: Restricted Stock Awards ("RSAs") granted as consideration for service on the Board. RSAs vest on the earlier of the one-year anniversary of the grant date or the next annual shareholders meeting (provided such meeting occurs at least 50 weeks after the grant date).

SEC source: 0000928054-24-000071 · wk-form4_1717622224.xml · nonDerivative · entry 1

Farber Evan R · CIK 0001415894 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,501

F1 · shares: Restricted Stock Awards ("RSAs") granted as consideration for service on the Board. RSAs vest on the earlier of the one-year anniversary of the grant date or the next annual shareholders meeting (provided such meeting occurs at least 50 weeks after the grant date).

F2 · balance_after: The number of shares beneficially owned following the transaction have been adjusted to reflect the one for six reverse split of the common stock effective September 25, 2023.

SEC source: 0000928054-24-000073 · wk-form4_1717622293.xml · nonDerivative · entry 1

Mayr Lisa · CIK 0001793283 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,641

F1 · shares: Restricted Stock Awards ("RSAs") granted as consideration for service on the Board. RSAs vest on the earlier of the one-year anniversary of the grant date or the next annual shareholders meeting (provided such meeting occurs at least 50 weeks after the grant date).

F2 · balance_after: The number of shares beneficially owned following the transaction have been adjusted to reflect the one for six reverse split of the common stock effective September 25, 2023.

SEC source: 0000928054-24-000069 · wk-form4_1717622131.xml · nonDerivative · entry 1

Agadi Harshavardhan V · CIK 0001498132 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,827

F1 · shares: Restricted Stock Awards ("RSAs") granted as consideration for service on the Board. RSAs vest on the earlier of the one-year anniversary of the grant date or the next annual shareholders meeting (provided such meeting occurs at least 50 weeks after the grant date).

F2 · balance_after: The number of shares beneficially owned following the transaction have been adjusted to reflect the one for six reverse split of the common stock effective September 25, 2023.

SEC source: 0000928054-24-000030 · wk-form4_1713818374.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,471

SEC source: 0000928054-24-000079 · wk-form4a_1721674643.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,466

F1 · balance_after: On April 22, 2024, the reporting person filed a Form 4 that inadvertently did not include 1,995 shares acquired under the Issuer's 2012 Employee Stock Purchase Plan on March 28, 2024.

SEC source: 0000928054-24-000018 · wk-form4_1710284700.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,444

SEC source: 0000928054-24-000002 · wk-form4_1705007015.xml · nonDerivative · entry 1

Ezell Ryan Gillis · CIK 0001805598 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,873

F1 · kind: Mr. Ezell is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2012 Employee Stock Purchase Plan ("ESPP") for the 3-month period commencing October 1, 2023. This transaction is exempt under both Rule 16b-3(d) and Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased at a price equal to 85% of the closing price of the Issuer's common stock on 12/29/2023.

F3 · balance_after: On September 9, 2021, the reporting person filed a Form 4 incorrectly reporting the number of shares beneficially owned following the transaction, which failed to include 6,764 shares from a previous transaction reported on a Form 4 filed on April 6, 2021. The number of shares beneficially owned has been adjusted to correct the error.

F4 · balance_after: On November 27, 2023, the reporting person filed a Form 4 incorrectly reporting that the number of shares beneficially owned following the transaction as adjusted for the one for six reverse split of the common stock effective September 25, 2023 were 87,578 instead of 86,451. The number of shares beneficially owned following the transaction has been adjusted to correct the error.

SEC source: 0000928054-23-000227 · wk-form4_1703120848.xml · nonDerivative · entry 2

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,723

F1 · date: On December 22, 2022, the reporting person filed a Form 4 incorrectly reporting the grant date of the related awards as December 20, 2022 instead of December 19, 2022.

SEC source: 0000928054-23-000227 · wk-form4_1703120848.xml · nonDerivative · entry 1

CLEMENT JAMES BOND · CIK 0001429215 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,525

F1 · date: On December 22, 2022, the reporting person filed a Form 4 incorrectly reporting the grant date of the related awards as December 20, 2022 instead of December 19, 2022.

F2 · balance_after: On November 15, 2023, the reporting person filed a Form 4 incorrectly reporting that the number of shares beneficially owned following the transaction as adjusted for the one for six reverse split of the common stock effective September 25, 2023 were 64,186 instead of 64,187. The number of shares beneficially owned following the transaction has been adjusted to correct the error.

SEC source: 0000928054-23-000225 · wk-form4_1702650677.xml · nonDerivative · entry 3

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 47,907

SEC source: 0000928054-23-000225 · wk-form4_1702650677.xml · nonDerivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 765,150

SEC source: 0000928054-23-000225 · wk-form4_1702650677.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 434,580

SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 8

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 47,159

SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 7

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 753,202

SEC source: 0000928054-23-000223 · wk-form4_1702502938.xml · nonDerivative · entry 6

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 427,795