GALT

SEC source: 0001493152-17-000294 · form4.xml · derivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3

Underlying: Common Stock · 672,747 shares

Expires 2023-12-23

F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor.

F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000.

F5 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-000294 · form4.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 2,508,000

Underlying: Common Stock · 896,997 shares

Expires not disclosed

F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000.

F1 · derivative.exercise_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F1 · derivative.expiration_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F5 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001179022-16-000135 · edgar.xml · derivative · entry 1

Greenberg Arthur · CIK 0001456615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common stock · 31,250 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000136 · edgar.xml · derivative · entry 1

FREEMAN KEVIN D · CIK 0001522478 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common stock · 31,250 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000134 · edgar.xml · derivative · entry 1

MAULDIN JOHN F · CIK 0001522480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common stock · 31,250 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000133 · edgar.xml · derivative · entry 1

ZUCCONI THEODORE DANIEL · CIK 0001413699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common stock · 31,250 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000132 · edgar.xml · derivative · entry 1

OMENN GILBERT S · CIK 0001184227 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

Underlying: Common stock · 41,500 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000131 · edgar.xml · derivative · entry 1

Prelack Steven · CIK 0001302315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

Underlying: Common stock · 41,500 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000130 · edgar.xml · derivative · entry 1

Rubin Marc · CIK 0001412377 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,500

Underlying: Common stock · 51,500 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000129 · edgar.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common stock · 31,250 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000128 · edgar.xml · derivative · entry 1

AMELIO GILBERT F · CIK 0001183247 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,500

Underlying: Common stock · 41,500 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001179022-16-000125 · edgar.xml · derivative · entry 1

CALLICUTT JACK W · CIK 0001266773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2026-12-03

F1 · derivative.exercise_date: The options vest as follows: 25% immediately, 25% on July 1, 2017, and 50% on December 31, 2017.

SEC source: 0001179022-16-000124 · edgar.xml · derivative · entry 1

Shlevin Harold H. · CIK 0001557082 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2026-12-03

F1 · derivative.exercise_date: The options vest as follows: 25% immediately, 25% on July 1, 2017, and 50% on December 31, 2017.

SEC source: 0001179022-16-000123 · edgar.xml · derivative · entry 1

TRABER PETER G · CIK 0001284500 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2026-12-03

F1 · derivative.exercise_date: The options vest as follows: 25% immediately, 25% on July 1, 2017, and 50% on December 31, 2017.

SEC source: 0001493152-16-015113 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,169,356

F1 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-015113 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,186,452

F1 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-015111 · form4.xml · nonDerivative · entry 2

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,169,356

F1 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP.

F2 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-015111 · form4.xml · nonDerivative · entry 1

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,186,452

F1 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP.

F2 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · nonDerivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,196,115

F2 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP., which was effective as of 9/30/16.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · nonDerivative · entry 3

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,196,115

F2 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP., which was effective as of 9/30/16.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · nonDerivative · entry 4

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 887,630

F9 · kind: Received as a dividend on shares of Series A Convertible Preferred Stock.

SEC source: 0001493152-16-014230 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,425,498

F1 · kind: Received as a dividend on shares of Series B-1 and B-2 Convertible Preferred Stock owned by 10X Fund, L.P.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · nonDerivative · entry 2

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,425,498

F1 · kind: Received as a dividend on shares of Series B-1 and B-2 Convertible Preferred Stock owned by 10X Fund, L.P.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-17-000292 · form4a.xml · nonDerivative · entry 2

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,469,810

F2 · kind: Common stock received in satisfaction of $180,000 of dividends due on Series B 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 price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. This Form 4/A amends the original filing to correct the price per share at which the dividend was paid in common stock.

F2 · price: Common stock received in satisfaction of $180,000 of dividends due on Series B 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 price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. This Form 4/A amends the original filing to correct the price per share at which the dividend was paid in common stock.

F3 · balance_after: 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-17-000290 · form4a.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,469,810

F2 · kind: Common stock received in satisfaction of $180,000 of dividends due on Series B 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 price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. This Form 4/A amends the original filing to correct the price per share at which the dividend was paid in common stock.

F2 · price: Common stock received in satisfaction of $180,000 of dividends due on Series B 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 price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. This Form 4/A amends the original filing to correct the price per share at which the dividend was paid in common stock.

F3 · balance_after: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010371 · form-4a.xml · nonDerivative · entry 4

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 2,711,918

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010371 · form-4a.xml · nonDerivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 2,729,213

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010371 · form-4a.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,213,249

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010371 · form-4a.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,377,359

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010369 · form4-a.xml · nonDerivative · entry 4

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,711,918

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-17-010369 · form4-a.xml · nonDerivative · entry 3

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,729,213

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-17-010369 · form4-a.xml · nonDerivative · entry 2

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,213,249

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-17-010369 · form4-a.xml · nonDerivative · entry 1

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,377,359

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · derivative · entry 12

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 5

Underlying: Common Stock · 93,750 shares

Expires 2023-09-29

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F7 · price: On September 22, 2016, the company and 10X Fund, LP entered into a Lock-Up Agreement, under which the Company agreed to issue 10X Fund, L.P. Lock-Up Warrants to purchase 500,000 shares of common stock, plus additional Lock-Up Warrants to purchase 0.08333 shares of common stock for every $1 invested by 10X Fund, LP in the Company's Series B-3 Convertible Preferred Stock offering, up to a maximum of 500,000 warrants.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · derivative · entry 11

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 4

Underlying: Common Stock · 187,500 shares

Expires 2023-09-29

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F8 · price: On September 29, 2016, 10X Fund, L.P. purchased (a) 1,125,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 564,854 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 187,500 shares of common stock at $3.00 per share, for total consideration of $1,125,000.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · derivative · entry 10

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 2

Underlying: Common Stock · 564,854 shares

Expires 2023-09-29

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F8 · price: On September 29, 2016, 10X Fund, L.P. purchased (a) 1,125,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 564,854 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 187,500 shares of common stock at $3.00 per share, for total consideration of $1,125,000.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · derivative · entry 9

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 1,500,000

Underlying: Common Stock · 753,138 shares

Expires not disclosed

F8 · price: On September 29, 2016, 10X Fund, L.P. purchased (a) 1,125,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 564,854 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 187,500 shares of common stock at $3.00 per share, for total consideration of $1,125,000.

F4 · derivative.exercise_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F4 · derivative.expiration_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · derivative · entry 11

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5

Underlying: Common Stock · 93,750 shares

Expires 2023-09-29

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F7 · price: On September 22, 2016, the company and 10X Fund, LP entered into a Lock-Up Agreement, under which the Company agreed to issue 10X Fund, L.P. Lock-Up Warrants to purchase 500,000 shares of common stock, plus additional Lock-Up Warrants to purchase 0.08333 shares of common stock for every $1 invested by 10X Fund, LP in the Company's Series B-3 Convertible Preferred Stock offering, up to a maximum of 500,000 warrants.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · derivative · entry 10

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4

Underlying: Common Stock · 187,500 shares

Expires 2023-09-29

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F8 · price: On September 29, 2016, 10X Fund, L.P. purchased (a) 1,125,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 564,854 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 187,500 shares of common stock at $3.00 per share, for total consideration of $1,125,000.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · derivative · entry 9

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2

Underlying: Common Stock · 564,854 shares

Expires 2023-09-29

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F8 · price: On September 29, 2016, 10X Fund, L.P. purchased (a) 1,125,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 564,854 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 187,500 shares of common stock at $3.00 per share, for total consideration of $1,125,000.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · derivative · entry 8

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 753,138 shares

Expires not disclosed

F8 · price: On September 29, 2016, 10X Fund, L.P. purchased (a) 1,125,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 564,854 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 187,500 shares of common stock at $3.00 per share, for total consideration of $1,125,000.

F4 · derivative.exercise_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F4 · derivative.expiration_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · derivative · entry 8

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3

Underlying: Common Stock · 531,250 shares

Expires 2023-09-22

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F7 · price: On September 22, 2016, the company and 10X Fund, LP entered into a Lock-Up Agreement, under which the Company agreed to issue 10X Fund, L.P. Lock-Up Warrants to purchase 500,000 shares of common stock, plus additional Lock-Up Warrants to purchase 0.08333 shares of common stock for every $1 invested by 10X Fund, LP in the Company's Series B-3 Convertible Preferred Stock offering, up to a maximum of 500,000 warrants.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · derivative · entry 7

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 1

Underlying: Common Stock · 62,500 shares

Expires 2023-09-22

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F5 · price: On September 22, 2016, 10X Fund, L.P. purchased (a) 375,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 104,408 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 62,500 shares of common stock at $3.00 per share, for total consideration of $375,000.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · derivative · entry 6

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 1

Underlying: Common Stock · 104,408 shares

Expires 2023-09-22

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F5 · price: On September 22, 2016, 10X Fund, L.P. purchased (a) 375,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 104,408 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 62,500 shares of common stock at $3.00 per share, for total consideration of $375,000.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · derivative · entry 5

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 375,000

Underlying: Common Stock · 139,211 shares

Expires not disclosed

F5 · price: On September 22, 2016, 10X Fund, L.P. purchased (a) 375,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 104,408 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 62,500 shares of common stock at $3.00 per share, for total consideration of $375,000.

F4 · derivative.exercise_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F4 · derivative.expiration_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · derivative · entry 7

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3

Underlying: Common Stock · 531,250 shares

Expires 2023-09-22

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F7 · price: On September 22, 2016, the company and 10X Fund, LP entered into a Lock-Up Agreement, under which the Company agreed to issue 10X Fund, L.P. Lock-Up Warrants to purchase 500,000 shares of common stock, plus additional Lock-Up Warrants to purchase 0.08333 shares of common stock for every $1 invested by 10X Fund, LP in the Company's Series B-3 Convertible Preferred Stock offering, up to a maximum of 500,000 warrants.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · derivative · entry 6

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 62,500 shares

Expires 2023-09-22

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F5 · price: On September 22, 2016, 10X Fund, L.P. purchased (a) 375,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 104,408 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 62,500 shares of common stock at $3.00 per share, for total consideration of $375,000.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · derivative · entry 5

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Stock · 104,408 shares

Expires 2023-09-22

F6 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to a one-time downward adjustment based upon the subsequent agreement between the company and a lead investor in the event the company prices its private offering below certain thresholds.

F5 · price: On September 22, 2016, 10X Fund, L.P. purchased (a) 375,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 104,408 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 62,500 shares of common stock at $3.00 per share, for total consideration of $375,000.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014227 · form4.xml · derivative · entry 4

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

10X Capital Management, LLC · CIK 0001457247 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,000

Underlying: Common Stock · 139,211 shares

Expires not disclosed

F5 · price: On September 22, 2016, 10X Fund, L.P. purchased (a) 375,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 104,408 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 62,500 shares of common stock at $3.00 per share, for total consideration of $375,000.

F4 · derivative.exercise_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F4 · derivative.expiration_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,340,909

F1 · kind: Received as a dividend on shares of Series B-1 and B-2 Convertible Preferred Stock owned by 10X Fund, L.P.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.