GOGO

SEC source: 0001209191-20-044626 · doc4.xml · nonDerivative · entry 1

Jackson Karen · CIK 0001634791 · EVP, Chief People Exp. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,989

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 · security: Includes restricted shares.

F2 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-20-044624 · doc4.xml · derivative · entry 3

COBIN JONATHAN B · CIK 0001579480 · EVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,251 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 31, 2018, the reporting person was granted 19,251 restricted stock units, fully vesting on July 31, 2020

F3 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 19,251 restricted stock units, fully vesting on July 31, 2020

SEC source: 0001209191-20-044624 · doc4.xml · nonDerivative · entry 2

COBIN JONATHAN B · CIK 0001579480 · EVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,872

F1 · security: Includes restricted shares.

SEC source: 0001209191-20-044624 · doc4.xml · nonDerivative · entry 1

COBIN JONATHAN B · CIK 0001579480 · EVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,512

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 · security: Includes restricted shares.

F2 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-20-044623 · doc4.xml · derivative · entry 3

Bayer Michael P. · CIK 0001644203 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,524 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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On July 31, 2018, the reporting person was granted 16,524 restricted stock units, fully vesting on July 31, 2020

F4 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 16,524 restricted stock units, fully vesting on July 31, 2020

SEC source: 0001209191-20-044623 · doc4.xml · nonDerivative · entry 2

Bayer Michael P. · CIK 0001644203 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,948

F1 · security: Includes restricted shares.

SEC source: 0001209191-20-044623 · doc4.xml · nonDerivative · entry 1

Bayer Michael P. · CIK 0001644203 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,789

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 · security: Includes restricted shares.

F2 · price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · balance_after: Includes 1,291 shares acquired under Gogo Inc.'s employee stock purchase plan in transactions that were exempt under Rule 16b-3(c).

SEC source: 0001209191-20-044621 · doc4.xml · derivative · entry 9

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,203 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.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On July 31, 2018, the reporting person was granted 16,203 restricted stock units, fully vesting on July 31, 2020

F4 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 16,203 restricted stock units, fully vesting on July 31, 2020

SEC source: 0001209191-20-044621 · doc4.xml · derivative · entry 8

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,320

Underlying: Common Stock · 660 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.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: Following the elimination of the performance conditions for these restricted stock units by the Compensation Committee of the Company, these restricted stock units will vest in three equal installments on July 31, 2020 and the first two anniversaries thereof, subject to continued employment with the Company.

F3 · derivative.expiration_date: Following the elimination of the performance conditions for these restricted stock units by the Compensation Committee of the Company, these restricted stock units will vest in three equal installments on July 31, 2020 and the first two anniversaries thereof, subject to continued employment with the Company.

SEC source: 0001209191-20-044621 · doc4.xml · derivative · entry 7

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750

Underlying: Common Stock · 376 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.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On July 31, 2018, the reporting person was granted 1,502 restricted stock units, vesting in four equal annual installments on the first four anniversaries of July 31, 2018.

F2 · derivative.expiration_date: On July 31, 2018, the reporting person was granted 1,502 restricted stock units, vesting in four equal annual installments on the first four anniversaries of July 31, 2018.

SEC source: 0001209191-20-044621 · doc4.xml · nonDerivative · entry 6

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,152

SEC source: 0001209191-20-044621 · doc4.xml · nonDerivative · entry 5

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,343

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-20-044621 · doc4.xml · nonDerivative · entry 4

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,683

SEC source: 0001209191-20-044621 · doc4.xml · nonDerivative · entry 3

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,791

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-20-044621 · doc4.xml · nonDerivative · entry 2

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,415

SEC source: 0001209191-20-044621 · doc4.xml · nonDerivative · entry 1

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,110

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-20-042742 · doc4.xml · nonDerivative · entry 1

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,729

F1 · shares: These shares of common stock were granted to the reporting person in lieu of the after-tax amount ($647,609.76) of the reporting person's 2019 performance year cash bonus of $1,003,991.60. In order to support actions taken by the Company and its employees to preserve liquidity following the COVID-19 outbreak, Mr. Thorne agreed on March 13, 2020 to defer the payment of his cash bonus (which would otherwise have been paid on March 20, 2020 pursuant to the Company's 2019 bonus plan that was approved by the Compensation Committee on March 29, 2019) to a future date not later than December 31, 2020. On July 15, 2020, in further support of the Company's cash preservation efforts, Mr. Thorne requested that his bonus be paid in stock rather than cash. The conversion was based on a share price of $3.28, the closing price of the Company's common stock on July 15, 2020, the date on which the Compensation Committee of the Board of Directors approved the grant.

SEC source: 0001209191-20-040158 · doc4.xml · derivative · entry 2

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,664

Underlying: Common Stock · 7,664 shares

Expires 2030-06-30

F3 · derivative.exercise_date: These options were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-040158 · doc4.xml · derivative · entry 1

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,455

Underlying: Common Stock · 9,632 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-040153 · doc4.xml · derivative · entry 2

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,344

Underlying: Common Stock · 11,344 shares

Expires 2030-06-30

F3 · derivative.exercise_date: These options were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-040153 · doc4.xml · derivative · entry 1

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,287

Underlying: Common Stock · 6,645 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-040159 · doc4.xml · derivative · entry 2

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,829

Underlying: Common Stock · 12,829 shares

Expires 2030-06-30

F3 · derivative.exercise_date: These options were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-040159 · doc4.xml · derivative · entry 1

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,443

Underlying: Common Stock · 5,775 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-040151 · doc4.xml · derivative · entry 2

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,980

Underlying: Common Stock · 8,980 shares

Expires 2030-06-30

F3 · derivative.exercise_date: These options were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-040151 · doc4.xml · derivative · entry 1

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,138

Underlying: Common Stock · 5,261 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-040156 · doc4.xml · derivative · entry 2

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,829

Underlying: Common Stock · 12,829 shares

Expires 2030-06-30

F3 · derivative.exercise_date: These options were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-040156 · doc4.xml · derivative · entry 1

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,075

Underlying: Common Stock · 6,329 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-040150 · doc4.xml · derivative · entry 2

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,829

Underlying: Common Stock · 12,829 shares

Expires 2030-06-30

F3 · derivative.exercise_date: These options were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-040150 · doc4.xml · derivative · entry 1

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,644

Underlying: Common Stock · 5,775 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-040161 · doc4.xml · derivative · entry 2

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,980

Underlying: Common Stock · 8,980 shares

Expires 2030-06-30

F3 · derivative.exercise_date: These options were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-040161 · doc4.xml · derivative · entry 1

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,619

Underlying: Common Stock · 5,261 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-040160 · doc4.xml · derivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,829

Underlying: Common Stock · 12,829 shares

Expires 2030-06-30

F3 · derivative.exercise_date: These options were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-040160 · doc4.xml · derivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,900

Underlying: Common Stock · 5,775 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on June 30, 2020, and are scheduled to vest on June 30, 2021, subject to the director's continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-036907 · doc4.xml · derivative · entry 6

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 625,591

Underlying: Common Stock · 625,591 shares

Expires 2030-06-12

F2 · price: On June 12, 2020, the issuer cancelled, pursuant to the issuer's option exchange program, (i) options to purchase 700,000 shares of common stock granted to the reporting person on March 4, 2018, (ii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iv) options to purchase 47,500 shares of common stock granted to the reporting person on March 10, 2019 and (v) options to purchase 142,500 shares of common stock granted to the reporting person on March 10, 2019. In exchange, the reporting person received replacement options to purchase 625,591 shares, having an exercise price of $2.61 per share.

F7 · derivative.exercise_date: These options vest on December 31, 2022, subject to continued employment with the Company.

SEC source: 0001209191-20-036907 · doc4.xml · derivative · entry 5

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 142,500 shares

Expires 2029-03-10

F2 · price: On June 12, 2020, the issuer cancelled, pursuant to the issuer's option exchange program, (i) options to purchase 700,000 shares of common stock granted to the reporting person on March 4, 2018, (ii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iv) options to purchase 47,500 shares of common stock granted to the reporting person on March 10, 2019 and (v) options to purchase 142,500 shares of common stock granted to the reporting person on March 10, 2019. In exchange, the reporting person received replacement options to purchase 625,591 shares, having an exercise price of $2.61 per share.

F6 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of March 10, 2019, subject to continued employment with the Company.

SEC source: 0001209191-20-036907 · doc4.xml · derivative · entry 4

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 47,500 shares

Expires 2029-03-10

F2 · price: On June 12, 2020, the issuer cancelled, pursuant to the issuer's option exchange program, (i) options to purchase 700,000 shares of common stock granted to the reporting person on March 4, 2018, (ii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iv) options to purchase 47,500 shares of common stock granted to the reporting person on March 10, 2019 and (v) options to purchase 142,500 shares of common stock granted to the reporting person on March 10, 2019. In exchange, the reporting person received replacement options to purchase 625,591 shares, having an exercise price of $2.61 per share.

F5 · derivative.exercise_date: Following the elimination of the performance conditions for these options by the Compensation Committee of the Company, these options provided for vesting in four annual installments beginning on the first anniversary of March 10, 2019, subject to continued employment with the Company.

SEC source: 0001209191-20-036907 · doc4.xml · derivative · entry 3

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,750 shares

Expires 2028-03-04

F2 · price: On June 12, 2020, the issuer cancelled, pursuant to the issuer's option exchange program, (i) options to purchase 700,000 shares of common stock granted to the reporting person on March 4, 2018, (ii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iv) options to purchase 47,500 shares of common stock granted to the reporting person on March 10, 2019 and (v) options to purchase 142,500 shares of common stock granted to the reporting person on March 10, 2019. In exchange, the reporting person received replacement options to purchase 625,591 shares, having an exercise price of $2.61 per share.

F4 · derivative.exercise_date: Following the elimination of the performance conditions for these options by the Compensation Committee of the Company, these options provided for vesting in four annual installments beginning on the first anniversary of March 4, 2018, subject to continued employment with the Company.

SEC source: 0001209191-20-036907 · doc4.xml · derivative · entry 2

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,750 shares

Expires 2028-03-04

F2 · price: On June 12, 2020, the issuer cancelled, pursuant to the issuer's option exchange program, (i) options to purchase 700,000 shares of common stock granted to the reporting person on March 4, 2018, (ii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iv) options to purchase 47,500 shares of common stock granted to the reporting person on March 10, 2019 and (v) options to purchase 142,500 shares of common stock granted to the reporting person on March 10, 2019. In exchange, the reporting person received replacement options to purchase 625,591 shares, having an exercise price of $2.61 per share.

F3 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of March 4, 2018, subject to continued employment with the Company.

SEC source: 0001209191-20-036907 · doc4.xml · derivative · entry 1

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 700,000 shares

Expires 2028-03-04

F2 · price: On June 12, 2020, the issuer cancelled, pursuant to the issuer's option exchange program, (i) options to purchase 700,000 shares of common stock granted to the reporting person on March 4, 2018, (ii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iii) options to purchase 86,750 shares of common stock granted to the reporting person on March 4, 2018, (iv) options to purchase 47,500 shares of common stock granted to the reporting person on March 10, 2019 and (v) options to purchase 142,500 shares of common stock granted to the reporting person on March 10, 2019. In exchange, the reporting person received replacement options to purchase 625,591 shares, having an exercise price of $2.61 per share.

F1 · derivative.exercise_date: These options provided for vesting as follows: (i) 25% of the options vest on the first anniversary of March 4, 2018 and (ii) the remaining 75% of the options vest in equal monthly installments on the three year period beginning immediately following the first anniversary of March 4, 2018, in each case, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 12

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,045

Underlying: Common Stock · 204,045 shares

Expires 2030-06-12

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F13 · derivative.exercise_date: These options vest on December 31, 2022, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 11

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,200 shares

Expires 2029-03-10

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F12 · derivative.exercise_date: Following the elimination of the performance conditions for these options by the Compensation Committee of the Company, these options provided for vesting in four annual installments beginning on the first anniversary of March 10, 2019, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 10

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,550 shares

Expires 2029-03-10

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F11 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of March 10, 2019, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 9

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,000 shares

Expires 2028-02-17

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F10 · derivative.exercise_date: Following the elimination of the performance conditions for these options by the Compensation Committee of the Company, these options provided for vesting in four annual installments beginning on the first anniversary of February 17, 2018, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 8

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,000 shares

Expires 2028-02-17

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F9 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of February 17, 2018, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 7

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,840 shares

Expires 2027-03-14

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F8 · derivative.exercise_date: Following the elimination of the performance conditions for these options by the Compensation Committee of the Company, these options provided for vesting in four annual installments beginning on the first anniversary of March 14, 2017, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 6

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 58,340 shares

Expires 2027-03-14

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F7 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of March 14, 2017, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 5

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64,600 shares

Expires 2026-06-24

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F6 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of May 26, 2016, subject to the continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 4

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64,600 shares

Expires 2025-05-26

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F5 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of May 26, 2015, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 3

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires 2024-05-28

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F4 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of May 28, 2014, subject to continued employment with the Company.

SEC source: 0001209191-20-036904 · doc4.xml · derivative · entry 2

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 61,800 shares

Expires 2023-06-05

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 51,500 shares granted on 12/14/11, (ii) options to purchase 61,800 shares granted on 6/5/13, (iii) options to purchase 80,000 shares granted on 5/28/14, (iv) options to purchase 64,600 shares granted on 5/26/15, (v) options to purchase 64,600 shares granted on 6/24/16, (vi) options to purchase (A) 58,340 shares and (B) 29,840 shares granted on 3/14/17, (vii) options to purchase (A) 37,000 shares and (B) 37,000 shares granted on 2/17/18, and (viii) options to purchase (A) 60,550 shares and (B) 20,200 shares granted on 3/10/19. In exchange, the reporting person received replacement options to purchase 204,045 shares of common stock, having an exercise price of $2.61 per share.

F3 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of June 5, 2013, subject to continued employment with the Company.