GRWG

SEC source: 0001213900-21-027336 · ownership.xml · derivative · entry 5

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,445 shares

Expires 2022-09-22

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 · shares: 126,730 shares of common stock were issued pursuant to a cashless exercise of 133,335 stock options by the Reporting Person on May 14, 2021.

F1 · derivative.underlying_shares: 126,730 shares of common stock were issued pursuant to a cashless exercise of 133,335 stock options by the Reporting Person on May 14, 2021.

SEC source: 0001213900-21-027336 · ownership.xml · nonDerivative · entry 1

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,201,203

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 · shares: 126,730 shares of common stock were issued pursuant to a cashless exercise of 133,335 stock options by the Reporting Person on May 14, 2021.

SEC source: 0001019056-21-000249 · stiefel.xml · derivative · entry 6

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 112,903 shares

Expires 2022-06-04

F1 · ownership.nature: Sean Stiefel (the "Reporting Person") is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by the Reporting Person as a result of (i) cash exercise by the Fund of warrants to purchase shares of Common Stock, and (ii) cashless exercise by the Fund of warrants to purchase shares of Common Stock. The amount of 498,811 in Table I reflects the aggregate amount of Common Stock held by the Fund directly after giving effect to the exercise of the warrants requiring the filing of this statement.

SEC source: 0001019056-21-000249 · stiefel.xml · derivative · entry 5

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 166,667 shares

Expires 2021-05-09

F1 · ownership.nature: Sean Stiefel (the "Reporting Person") is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by the Reporting Person as a result of (i) cash exercise by the Fund of warrants to purchase shares of Common Stock, and (ii) cashless exercise by the Fund of warrants to purchase shares of Common Stock. The amount of 498,811 in Table I reflects the aggregate amount of Common Stock held by the Fund directly after giving effect to the exercise of the warrants requiring the filing of this statement.

SEC source: 0001019056-21-000249 · stiefel.xml · nonDerivative · entry 4

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,252

F3 · shares: Following the warrant exercises by the Fund of warrants owned to purchase shares of Common Stock of the Issuer, the Reporting Person indirectly owns a total of 498,811 shares of Common Stock held by the Fund, and directly owns 111,252 shares of Common Stock.

F3 · acquired: Following the warrant exercises by the Fund of warrants owned to purchase shares of Common Stock of the Issuer, the Reporting Person indirectly owns a total of 498,811 shares of Common Stock held by the Fund, and directly owns 111,252 shares of Common Stock.

F3 · ownership.direct: Following the warrant exercises by the Fund of warrants owned to purchase shares of Common Stock of the Issuer, the Reporting Person indirectly owns a total of 498,811 shares of Common Stock held by the Fund, and directly owns 111,252 shares of Common Stock.

SEC source: 0001019056-21-000249 · stiefel.xml · nonDerivative · entry 3

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 498,811

F2 · kind: On April 15, 2021, the Fund exercised a warrant to purchase 112,903 shares of Issuer's common stock for $3.50 a share. The Fund paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 8,305 of the warrant shares to pay the exercise price and issuing to the Fund the remaining 104,598 shares.

F2 · shares: On April 15, 2021, the Fund exercised a warrant to purchase 112,903 shares of Issuer's common stock for $3.50 a share. The Fund paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 8,305 of the warrant shares to pay the exercise price and issuing to the Fund the remaining 104,598 shares.

F1 · ownership.nature: Sean Stiefel (the "Reporting Person") is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by the Reporting Person as a result of (i) cash exercise by the Fund of warrants to purchase shares of Common Stock, and (ii) cashless exercise by the Fund of warrants to purchase shares of Common Stock. The amount of 498,811 in Table I reflects the aggregate amount of Common Stock held by the Fund directly after giving effect to the exercise of the warrants requiring the filing of this statement.

F2 · ownership.nature: On April 15, 2021, the Fund exercised a warrant to purchase 112,903 shares of Issuer's common stock for $3.50 a share. The Fund paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 8,305 of the warrant shares to pay the exercise price and issuing to the Fund the remaining 104,598 shares.

F3 · ownership.nature: Following the warrant exercises by the Fund of warrants owned to purchase shares of Common Stock of the Issuer, the Reporting Person indirectly owns a total of 498,811 shares of Common Stock held by the Fund, and directly owns 111,252 shares of Common Stock.

SEC source: 0001019056-21-000249 · stiefel.xml · nonDerivative · entry 2

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 507,116

F1 · shares: Sean Stiefel (the "Reporting Person") is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by the Reporting Person as a result of (i) cash exercise by the Fund of warrants to purchase shares of Common Stock, and (ii) cashless exercise by the Fund of warrants to purchase shares of Common Stock. The amount of 498,811 in Table I reflects the aggregate amount of Common Stock held by the Fund directly after giving effect to the exercise of the warrants requiring the filing of this statement.

F1 · ownership.nature: Sean Stiefel (the "Reporting Person") is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by the Reporting Person as a result of (i) cash exercise by the Fund of warrants to purchase shares of Common Stock, and (ii) cashless exercise by the Fund of warrants to purchase shares of Common Stock. The amount of 498,811 in Table I reflects the aggregate amount of Common Stock held by the Fund directly after giving effect to the exercise of the warrants requiring the filing of this statement.

F2 · ownership.nature: On April 15, 2021, the Fund exercised a warrant to purchase 112,903 shares of Issuer's common stock for $3.50 a share. The Fund paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 8,305 of the warrant shares to pay the exercise price and issuing to the Fund the remaining 104,598 shares.

F3 · ownership.nature: Following the warrant exercises by the Fund of warrants owned to purchase shares of Common Stock of the Issuer, the Reporting Person indirectly owns a total of 498,811 shares of Common Stock held by the Fund, and directly owns 111,252 shares of Common Stock.

SEC source: 0001019056-21-000249 · stiefel.xml · nonDerivative · entry 1

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 394,213

F1 · shares: Sean Stiefel (the "Reporting Person") is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by the Reporting Person as a result of (i) cash exercise by the Fund of warrants to purchase shares of Common Stock, and (ii) cashless exercise by the Fund of warrants to purchase shares of Common Stock. The amount of 498,811 in Table I reflects the aggregate amount of Common Stock held by the Fund directly after giving effect to the exercise of the warrants requiring the filing of this statement.

F1 · ownership.nature: Sean Stiefel (the "Reporting Person") is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by the Reporting Person as a result of (i) cash exercise by the Fund of warrants to purchase shares of Common Stock, and (ii) cashless exercise by the Fund of warrants to purchase shares of Common Stock. The amount of 498,811 in Table I reflects the aggregate amount of Common Stock held by the Fund directly after giving effect to the exercise of the warrants requiring the filing of this statement.

F3 · ownership.nature: Following the warrant exercises by the Fund of warrants owned to purchase shares of Common Stock of the Issuer, the Reporting Person indirectly owns a total of 498,811 shares of Common Stock held by the Fund, and directly owns 111,252 shares of Common Stock.

SEC source: 0001213900-21-022862 · ownership.xml · derivative · entry 2

Sullivan Tony · CIK 0001794945 · Chief Operating Officer (COO)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,573

Underlying: Common Stock · 22,573 shares

Expires 2025-11-03

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 · shares: The stock options described in footnote 1 above vested on November 4, 2020 and each option may be exercised at any time by the Reporting Person in exchange for one share of the Issuer's common stock.

SEC source: 0001213900-21-022862 · ownership.xml · nonDerivative · entry 1

Sullivan Tony · CIK 0001794945 · Chief Operating Officer (COO)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,543

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 · acquired: 22,573 shares of common stock were issued upon exercise of options granted pursuant to an Executive Employment Agreement dated November 4, 2019 by and between the Issuer and the Reporting Person.

SEC source: 0001213900-21-020427 · ownership.xml · derivative · entry 2

LAMIRATO MONTY R · CIK 0001183926 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,962

Underlying: Common Stock · 24,038 shares

Expires 2024-12-31

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 · shares: The stock options described in footnote above vested January 1, 2021 and each option may be exercised at any time by Monty Lamirato in exchange for one share of the Company's common stock.

F2 · price: The stock options described in footnote above vested January 1, 2021 and each option may be exercised at any time by Monty Lamirato in exchange for one share of the Company's common stock.

SEC source: 0001213900-21-020427 · ownership.xml · nonDerivative · entry 1

LAMIRATO MONTY R · CIK 0001183926 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,567

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 · acquired: 24,038 shares issued upon exercise of common stock option pursuant to an Executive Employment Agreement dated November 5, 2019 by and between GrowGeneration Corp. (the "Company") and Monty Lamirato (the "Employment Agreement").

SEC source: 0001213900-21-011797 · ownership.xml · nonDerivative · entry 1

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,074,473

F1 · acquired: 1,499 shares of common stock issued by GrowGeneration Corp. (the "Company") to the reporting person on February 23, 2021 to correct an over-withholding of 1,499 shares of common stock withheld to satisfy the tax withholding obligation applicable to the Company's issuance of 100,000 shares of common stock to the reporting person on January 1, 2021.

F1 · balance_after: 1,499 shares of common stock issued by GrowGeneration Corp. (the "Company") to the reporting person on February 23, 2021 to correct an over-withholding of 1,499 shares of common stock withheld to satisfy the tax withholding obligation applicable to the Company's issuance of 100,000 shares of common stock to the reporting person on January 1, 2021.

SEC source: 0001213900-21-000542 · ownership.xml · derivative · entry 3

Lampert Darren · CIK 0001725239 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F3 · shares: 100,000 stock options issued pursuant to the Employment Agreement, vested January 1, 2021, in exchange for services rendered in the performance of employment.

F3 · price: 100,000 stock options issued pursuant to the Employment Agreement, vested January 1, 2021, in exchange for services rendered in the performance of employment.

F4 · derivative.exercise_date: The stock options described in footnote (3) above vested January 1, 2021 and each option may be exercised at any time by Darren Lampert in exchange for one share of the Company's common stock.

F4 · derivative.expiration_date: The stock options described in footnote (3) above vested January 1, 2021 and each option may be exercised at any time by Darren Lampert in exchange for one share of the Company's common stock.

SEC source: 0001213900-21-000542 · ownership.xml · nonDerivative · entry 2

Lampert Darren · CIK 0001725239 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,023,388

F2 · acquired: 40,307 shares withheld by the Company to satisfy the tax withholding obligation applicable to the shares of common stock described in footnote (1) above.

SEC source: 0001213900-21-000542 · ownership.xml · nonDerivative · entry 1

Lampert Darren · CIK 0001725239 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,063,695

F1 · acquired: 100,000 shares issued pursuant to an Executive Employment Agreement dated March 23, 2020 by and between GrowGeneration Corp. (the "Company") and Darren Lampert (the "Employment Agreement").

SEC source: 0001213900-21-000539 · ownership.xml · derivative · entry 3

LAMIRATO MONTY R · CIK 0001183926 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F3 · shares: 50,000 stock options issued pursuant to the Employment Agreement, vested January 1, 2021, in exchange for services rendered in the performance of employment.

F3 · price: 50,000 stock options issued pursuant to the Employment Agreement, vested January 1, 2021, in exchange for services rendered in the performance of employment.

F4 · derivative.exercise_date: The stock options described in footnote (3) above vested January 1, 2021 and each option may be exercised at any time by Monty Lamirato in exchange for one share of the Company's common stock.

F4 · derivative.expiration_date: The stock options described in footnote (3) above vested January 1, 2021 and each option may be exercised at any time by Monty Lamirato in exchange for one share of the Company's common stock.

SEC source: 0001213900-21-000539 · ownership.xml · nonDerivative · entry 2

LAMIRATO MONTY R · CIK 0001183926 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,529

F2 · acquired: 9,525 shares withheld by the Company to satisfy the tax withholding obligation applicable to the shares of common stock described in footnote (1) above.

SEC source: 0001213900-21-000539 · ownership.xml · nonDerivative · entry 1

LAMIRATO MONTY R · CIK 0001183926 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,054

F1 · acquired: 30,000 shares issued pursuant to an Executive Employment Agreement dated November 5, 2019 by and between GrowGeneration Corp. (the "Company") and Monty Lamirato (the "Employment Agreement").

SEC source: 0001213900-21-000546 · ownership.xml · derivative · entry 3

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F3 · shares: 100,000 stock options issued pursuant to the Employment Agreement, vested January 1, 2021, in exchange for services rendered in the performance of employment.

F3 · price: 100,000 stock options issued pursuant to the Employment Agreement, vested January 1, 2021, in exchange for services rendered in the performance of employment.

F4 · derivative.exercise_date: The stock options described in footnote (3) above vested January 1, 2021 and each option may be exercised at any time by Michael Salaman in exchange for one share of the Company's common stock.

F4 · derivative.expiration_date: The stock options described in footnote (3) above vested January 1, 2021 and each option may be exercised at any time by Michael Salaman in exchange for one share of the Company's common stock.

SEC source: 0001213900-21-000546 · ownership.xml · nonDerivative · entry 2

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,072,974

F2 · acquired: 40,308 shares withheld by the Company to satisfy the tax withholding obligation applicable to the shares of common stock described in footnote (1) above.

SEC source: 0001213900-21-000546 · ownership.xml · nonDerivative · entry 1

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,113,282

F1 · acquired: 100,000 shares issued pursuant to an Executive Employment Agreement dated March 23, 2020 by and between GrowGeneration Corp. (the "Company") and Michael Salaman (the "Employment Agreement").

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 4

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 227,546

F9 · balance_after: Following the open market transactions by the Fund and the cashless exercise by the Reporting Person of options owned to purchase shares of Common Stock of the Issuer, the Reporting Person indirectly owns a total of 227,546 shares of Common Stock held by the Fund, and directly owns 111,252 shares of Common Stock and directly owns options to purchase 50,000 shares of Common Stock.

F1 · ownership.nature: The Reporting Person is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by Sean Stiefel as a result of (i) open market transactions occurring between November 23, 2020 and November 24, 2020, in which the Fund sold 550,000 shares of Common Stock of the Issuer, and (ii) cashless exercises by the Reporting Person of options to purchase shares of Common Stock. The amount of 227,546 in Table I reflects the aggregate amount of Common Stock held by the Fund directly.

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 3

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 232,546

F4 · shares: The November 24, 2020 sale of 45,000 shares of Common Stock transaction was executed in multiple trades at prices ranging from $32.54 to $33.52. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · ownership.nature: The Reporting Person is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by Sean Stiefel as a result of (i) open market transactions occurring between November 23, 2020 and November 24, 2020, in which the Fund sold 550,000 shares of Common Stock of the Issuer, and (ii) cashless exercises by the Reporting Person of options to purchase shares of Common Stock. The amount of 227,546 in Table I reflects the aggregate amount of Common Stock held by the Fund directly.

SEC source: 0001213900-20-038686 · ownership.xml · nonDerivative · entry 2

LAMIRATO MONTY R · CIK 0001183926 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,054

F1 · acquired: Sale of shares in the open market on 11/20/2020 and 11/23/2020

SEC source: 0001213900-20-039123 · ownership.xml · derivative · entry 6

Lampert Darren · CIK 0001725239 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,781 shares

Expires 2025-12-31

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

SEC source: 0001213900-20-039123 · ownership.xml · derivative · entry 5

Lampert Darren · CIK 0001725239 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,667 shares

Expires 2024-03-25

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

SEC source: 0001213900-20-039123 · ownership.xml · derivative · entry 4

Lampert Darren · CIK 0001725239 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,333 shares

Expires 2023-10-22

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

SEC source: 0001213900-20-039123 · ownership.xml · nonDerivative · entry 3

Lampert Darren · CIK 0001725239 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 963,695

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

SEC source: 0001213900-20-039123 · ownership.xml · nonDerivative · entry 2

Lampert Darren · CIK 0001725239 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 931,914

SEC source: 0001213900-20-039125 · ownership.xml · nonDerivative · entry 3

Sullivan Tony · CIK 0001794945 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,970

SEC source: 0001213900-20-039121 · ownership.xml · derivative · entry 6

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,781 shares

Expires 2025-12-31

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

SEC source: 0001213900-20-039121 · ownership.xml · derivative · entry 5

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,667 shares

Expires 2024-03-25

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

SEC source: 0001213900-20-039121 · ownership.xml · derivative · entry 4

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,333 shares

Expires 2023-10-22

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

SEC source: 0001213900-20-039121 · ownership.xml · nonDerivative · entry 3

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,013,282

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

SEC source: 0001213900-20-039121 · ownership.xml · nonDerivative · entry 2

Salaman Michael · CIK 0001725233 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 981,501

SEC source: 0001019056-20-000586 · stiefel.xml · derivative · entry 16

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,333

Underlying: Common Stock · 16,667 shares

Expires 2025-05-11

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

SEC source: 0001019056-20-000586 · stiefel.xml · derivative · entry 15

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 33,333 shares

Expires 2024-03-26

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

SEC source: 0001019056-20-000586 · stiefel.xml · derivative · entry 14

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2023-10-22

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

SEC source: 0001019056-20-000586 · stiefel.xml · derivative · entry 13

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2023-01-03

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

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 12

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,252

F8 · shares: Reflects 2,450 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $4.63 per share to fund the cashless exercise of 16,667 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

F8 · price: Reflects 2,450 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $4.63 per share to fund the cashless exercise of 16,667 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

F9 · balance_after: Following the open market transactions by the Fund and the cashless exercise by the Reporting Person of options owned to purchase shares of Common Stock of the Issuer, the Reporting Person indirectly owns a total of 227,546 shares of Common Stock held by the Fund, and directly owns 111,252 shares of Common Stock and directly owns options to purchase 50,000 shares of Common Stock.

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 11

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,702

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.

F8 · price: Reflects 2,450 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $4.63 per share to fund the cashless exercise of 16,667 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 10

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,035

F7 · shares: Reflects 3,132 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $2.96 per share to fund the cashless exercise of 33,333 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

F7 · price: Reflects 3,132 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $2.96 per share to fund the cashless exercise of 33,333 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 9

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,167

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.

F7 · price: Reflects 3,132 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $2.96 per share to fund the cashless exercise of 33,333 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 8

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,834

F6 · shares: Reflects 2,849 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $3.59 per share to fund the cashless exercise of 25,000 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

F6 · price: Reflects 2,849 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $3.59 per share to fund the cashless exercise of 25,000 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 7

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,683

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.

F6 · price: Reflects 2,849 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $3.59 per share to fund the cashless exercise of 25,000 options owned by the Reporting Person pursuant to the Plan and related Award Agreement.

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 6

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,683

F5 · shares: Reflects 5,317 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $3.35 per share to fund the cashless exercise of 50,000 options owned by the Reporting Person pursuant to the Issuer's 2014 Equity Incentive Plan (the "Plan") and the related Stock Option Award Agreement ("Award Agreement").

F5 · price: Reflects 5,317 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $3.35 per share to fund the cashless exercise of 50,000 options owned by the Reporting Person pursuant to the Issuer's 2014 Equity Incentive Plan (the "Plan") and the related Stock Option Award Agreement ("Award Agreement").

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 5

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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.

F5 · price: Reflects 5,317 shares withheld by issuer at the market price of $31.50 per share less an exercise price of $3.35 per share to fund the cashless exercise of 50,000 options owned by the Reporting Person pursuant to the Issuer's 2014 Equity Incentive Plan (the "Plan") and the related Stock Option Award Agreement ("Award Agreement").

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 2

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 277,546

F3 · shares: The November 23, 2020 sale of 7,005 shares of Common Stock transaction was executed in multiple trades at prices ranging from $31.80 to $32.17. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · ownership.nature: The Reporting Person is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by Sean Stiefel as a result of (i) open market transactions occurring between November 23, 2020 and November 24, 2020, in which the Fund sold 550,000 shares of Common Stock of the Issuer, and (ii) cashless exercises by the Reporting Person of options to purchase shares of Common Stock. The amount of 227,546 in Table I reflects the aggregate amount of Common Stock held by the Fund directly.

SEC source: 0001019056-20-000586 · stiefel.xml · nonDerivative · entry 1

Stiefel Sean · CIK 0001765017 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 284,551

F2 · shares: The November 23, 2020 sale of 492,995 shares of Common Stock transaction was executed in multiple trades at prices ranging from $30.78 to $31.77. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · ownership.nature: The Reporting Person is a manager and Chief Executive Officer of Navy Capital Green Management, LLC ("NCG") and a manager of Navy Capital Green Management Partners, LLC ("NCGMP"). NCGMP is the general partner of Navy Capital Green Fund, LP (the "Fund"). NCG is the investment manager of the Fund. This Form 4 is being filed by Sean Stiefel as a result of (i) open market transactions occurring between November 23, 2020 and November 24, 2020, in which the Fund sold 550,000 shares of Common Stock of the Issuer, and (ii) cashless exercises by the Reporting Person of options to purchase shares of Common Stock. The amount of 227,546 in Table I reflects the aggregate amount of Common Stock held by the Fund directly.