GALT

SEC source: 0001179022-19-000020 · edgar.xml · derivative · entry 6

AMELIO GILBERT F · CIK 0001183247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 62,250 shares

Expires 2027-12-14

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: The options vested 100% on December 14, 2018.

SEC source: 0001179022-19-000020 · edgar.xml · derivative · entry 5

AMELIO GILBERT F · CIK 0001183247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 41,500 shares

Expires 2026-12-15

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 · derivative.exercise_date: The options vested 100% on December 14, 2017.

SEC source: 0001179022-19-000020 · edgar.xml · nonDerivative · entry 4

AMELIO GILBERT F · CIK 0001183247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,614

SEC source: 0001179022-19-000020 · edgar.xml · nonDerivative · entry 3

AMELIO GILBERT F · CIK 0001183247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,935

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: 0001179022-19-000020 · edgar.xml · nonDerivative · entry 2

AMELIO GILBERT F · CIK 0001183247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,685

SEC source: 0001179022-19-000020 · edgar.xml · nonDerivative · entry 1

AMELIO GILBERT F · CIK 0001183247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,461

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: 0001179022-19-000010 · edgar.xml · derivative · entry 1

CALLICUTT JACK W · CIK 0001266773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest as follows: 25% on each of June 30, 2019, December 31, 2019, June 30, 2020, and December 31, 2020.

SEC source: 0001179022-19-000016 · edgar.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common stock · 25,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000019 · edgar.xml · derivative · entry 3

Uihlein Richard E · CIK 0001694903 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock · 40,000 shares

Expires 2029-01-16

F2 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000019 · edgar.xml · nonDerivative · entry 1

Uihlein Richard E · CIK 0001694903 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,535,289

F1 · shares: These restricted shares were issued in lieu of cash retainer and meeting fees of $35,000 for 2019. Restrictions on the shares lapse at a rate of 25% at the end of each calendar quarter in 2019.

SEC source: 0001179022-19-000018 · edgar.xml · derivative · entry 2

LEWIS JOEL · CIK 0001725595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common stock · 35,000 shares

Expires 2029-01-16

F2 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000018 · edgar.xml · nonDerivative · entry 1

LEWIS JOEL · CIK 0001725595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,133

F1 · shares: These restricted shares were issued in lieu of cash retainer and meeting fees of $55,000 for 2019. Restrictions on the shares lapse at a rate of 25% at the end of each calendar quarter in 2019.

SEC source: 0001179022-19-000017 · edgar.xml · derivative · entry 1

ELDRED KARY · CIK 0001543425 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common stock · 25,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000015 · edgar.xml · derivative · entry 1

SHULMAN STEPHEN · CIK 0001725594 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common stock · 25,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000014 · edgar.xml · derivative · entry 1

OMENN GILBERT S · CIK 0001184227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common stock · 35,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000013 · edgar.xml · derivative · entry 1

FREEMAN KEVIN D · CIK 0001522478 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock · 40,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000012 · edgar.xml · derivative · entry 1

AMELIO GILBERT F · CIK 0001183247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common stock · 35,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000011 · edgar.xml · derivative · entry 1

Rubin Marc · CIK 0001412377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common stock · 25,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001179022-19-000009 · edgar.xml · derivative · entry 1

Shlevin Harold H. · CIK 0001557082 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest as follows: 25% on each of June 30, 2019, December 31, 2019, June 30, 2020, and December 31, 2020.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 18

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 896,997 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 17

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 753,138 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 16

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 139,211 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 15

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 190,000 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 14

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,333 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 13

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 111,667 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 12

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 108,333 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 11

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 108,333 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 10

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,333 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 9

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 108,333 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 8

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 7

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 166,667 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 6

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 5

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 600,000 shares

Expires not disclosed

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · nonDerivative · entry 4

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,509,301

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · nonDerivative · entry 3

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,612,304

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · nonDerivative · entry 2

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,859,166

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,719,955

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 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004632 · ownership.xml · nonDerivative · entry 3

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,719,955

F3 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions.

F3 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F5 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004665 · ownership.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 891,630

F1 · kind: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividends were payable on 3/31/2018 and 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions.

F1 · price: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividends were payable on 3/31/2018 and 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

SEC source: 0001179022-18-000072 · edgar.xml · nonDerivative · entry 1

ELDRED KARY · CIK 0001543425 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,382

SEC source: 0001179022-18-000071 · edgar.xml · nonDerivative · entry 2

OMENN GILBERT S · CIK 0001184227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,191

SEC source: 0001179022-18-000071 · edgar.xml · nonDerivative · entry 1

OMENN GILBERT S · CIK 0001184227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,561

F1 · price: The shares were sold in multiple transactions at prices ranging from $6.0131 to $6.05. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

SEC source: 0001179022-18-000070 · edgar.xml · derivative · entry 3

Rubin Marc · CIK 0001412377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,500

Underlying: Common Stock · 6,000 shares

Expires 2026-12-15

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: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018.

F2 · derivative.exercise_date: The options vested 100% on December 14, 2017, the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-18-000070 · edgar.xml · nonDerivative · entry 2

Rubin Marc · CIK 0001412377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,581

F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018.

F3 · price: The shares were sold in multiple transactions at prices ranging from $6.50 to $6.67. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

SEC source: 0001179022-18-000070 · edgar.xml · nonDerivative · entry 1

Rubin Marc · CIK 0001412377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,481

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: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018.

SEC source: 0001179022-18-000069 · edgar.xml · derivative · entry 3

Rubin Marc · CIK 0001412377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 29,000 shares

Expires 2026-12-15

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: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018.

F2 · derivative.exercise_date: The options vested 100% on December 14, 2017, the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-18-000069 · edgar.xml · nonDerivative · entry 2

Rubin Marc · CIK 0001412377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,481

F1 · kind: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018.

F3 · price: The shares were sold in multiple transactions at prices ranging from $6.00 to $6.53. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

SEC source: 0001179022-18-000069 · edgar.xml · nonDerivative · entry 1

Rubin Marc · CIK 0001412377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,581

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: The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on August 10, 2018.

SEC source: 0001493152-19-004632 · ownership.xml · nonDerivative · entry 2

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,681,811

F2 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions.

F2 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F5 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001179022-18-000057 · edgar.xml · nonDerivative · entry 1

LEWIS JOEL · CIK 0001725595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,480

F1 · price: The shares were purchased in multiple transactions at prices ranging from $7.0590 to $7.0563. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request by the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.