HHS

SEC source: 0001437749-23-023982 · rdgdoc.xml · nonDerivative · entry 3

Davis Kirk A · CIK 0001452629 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,442

F1 · shares: Participant purchased common stock.

SEC source: 0001437749-23-023982 · rdgdoc.xml · nonDerivative · entry 2

Davis Kirk A · CIK 0001452629 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,700

F1 · shares: Participant purchased common stock.

SEC source: 0001437749-23-023982 · rdgdoc.xml · nonDerivative · entry 1

Davis Kirk A · CIK 0001452629 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,700

F1 · shares: Participant purchased common stock.

SEC source: 0000899243-23-018158 · doc4.xml · derivative · entry 1

Davis Kirk A · CIK 0001452629 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2033-08-13

F1 · derivative.exercise_date: Options granted under the Harte Hanks, Inc. 2023 Inducement Equity Incentive Plan. The options vest and become exercisable as to 1/3rd of the underlying shares on each of the first three anniversaries of June 19, 2023.

SEC source: 0001437749-23-022532 · rdgdoc.xml · nonDerivative · entry 2

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,463

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-23-022529 · rdgdoc.xml · nonDerivative · entry 2

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,278

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-23-022532 · rdgdoc.xml · nonDerivative · entry 1

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,447

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-23-022529 · rdgdoc.xml · nonDerivative · entry 1

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,804

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0000902664-25-002602 · ownership.xml · nonDerivative · entry 1

Rosenbach Gary Stephen · CIK 0002069791 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 761,733

F1 · kind: See Exhibit 99.1 attached hereto for the list of transactions by the Reporting Person from July 12, 2023 through the filing date of this Form 4.

F1 · shares: See Exhibit 99.1 attached hereto for the list of transactions by the Reporting Person from July 12, 2023 through the filing date of this Form 4.

F1 · price: See Exhibit 99.1 attached hereto for the list of transactions by the Reporting Person from July 12, 2023 through the filing date of this Form 4.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.3350 to $5.3800, inclusive. The Reporting Person has provided to the Issuer and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

F1 · acquired: See Exhibit 99.1 attached hereto for the list of transactions by the Reporting Person from July 12, 2023 through the filing date of this Form 4.

F1 · balance_after: See Exhibit 99.1 attached hereto for the list of transactions by the Reporting Person from July 12, 2023 through the filing date of this Form 4.

F2 · ownership.nature: The securities to which this filing relates are held directly by Gary S. Rosenbach ("Mr. Rosenbach" or the "Reporting Person") and his spouse, Susan Rosenbach ("Ms. Rosenbach" and together with Mr. Rosenbach, "Rosenbach"), as well as the securities held by family trusts for which Rosenbach together serve as trustees. Mr. Rosenbach disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of his pecuniary interest therein, if any.

F3 · ownership.nature: As of the date hereof, Mr. Rosenbach may be deemed to beneficially own 2,118,635 shares of Common Stock, which is comprised of: (i) 1,464,762 shares of Common Stock which Rosenbach own jointly, (ii) 116,441 shares of Common Stock held in family trusts for which Rosenbach together serve as trustees, (iii) 532,562 shares of Common Stock held in the retirement account of Mr. Rosenbach and (iv) 4,870 shares of Common Stock held in the retirement account of Ms. Rosenbach.

SEC source: 0001437749-23-015950 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 328,985

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-23-015948 · rdgdoc.xml · nonDerivative · entry 1

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,428

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-23-015946 · rdgdoc.xml · nonDerivative · entry 1

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,071

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-23-015728 · rdgdoc.xml · nonDerivative · entry 2

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,618

F1 · kind: Participant purchased common stock.

SEC source: 0001437749-23-015728 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,518

F1 · kind: Participant purchased common stock.

SEC source: 0001437749-23-013845 · rdgdoc.xml · nonDerivative · entry 1

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,417

F1 · shares: Participant purchased common stock.

SEC source: 0001437749-23-013266 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,618

F1 · shares: Participant purchased common stock.

SEC source: 0001437749-23-007313 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 317,618

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-23-006802 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,443

F1 · shares: Participant purchased common stock.

SEC source: 0001437749-22-029024 · rdgdoc.xml · nonDerivative · entry 2

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,943

F1 · shares: Participant purchased common stock.

SEC source: 0001437749-22-029024 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,443

F1 · shares: Participant purchased common stock.

SEC source: 0000899243-22-038044 · doc4.xml · derivative · entry 2

Wipro LLC · CIK 0001730314 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,001,658 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to a Stock Repurchase Agreement, dated June 30, 2022, between the Issuer and Wipro LLC, the Issuer repurchased 9,926 shares of the Issuer's Series A Convertible Preferred Stock (the "Series A Shares") from Wipro LLC (the "Repurchase Transaction") for consideration consisting of (i) $9,926,000 in cash and (ii) 100,000 shares of the Issuer's Common Stock.

F1 · kind: Pursuant to a Stock Repurchase Agreement, dated June 30, 2022, between the Issuer and Wipro LLC, the Issuer repurchased 9,926 shares of the Issuer's Series A Convertible Preferred Stock (the "Series A Shares") from Wipro LLC (the "Repurchase Transaction") for consideration consisting of (i) $9,926,000 in cash and (ii) 100,000 shares of the Issuer's Common Stock.

F3 · price: The Series A Shares converted into shares of Common Stock at the rate of approximately one Series A Share for 100.9126 shares of Common Stock. The conversion ratio reflects an adjustment of the Issuer's 1-for-10 reverse stock split effective January 31, 2018. The actual number of shares of Common Stock may differ by approximately 50 shares.

F3 · derivative.exercise_date: The Series A Shares converted into shares of Common Stock at the rate of approximately one Series A Share for 100.9126 shares of Common Stock. The conversion ratio reflects an adjustment of the Issuer's 1-for-10 reverse stock split effective January 31, 2018. The actual number of shares of Common Stock may differ by approximately 50 shares.

F3 · derivative.expiration_date: The Series A Shares converted into shares of Common Stock at the rate of approximately one Series A Share for 100.9126 shares of Common Stock. The conversion ratio reflects an adjustment of the Issuer's 1-for-10 reverse stock split effective January 31, 2018. The actual number of shares of Common Stock may differ by approximately 50 shares.

F3 · derivative.underlying_shares: The Series A Shares converted into shares of Common Stock at the rate of approximately one Series A Share for 100.9126 shares of Common Stock. The conversion ratio reflects an adjustment of the Issuer's 1-for-10 reverse stock split effective January 31, 2018. The actual number of shares of Common Stock may differ by approximately 50 shares.

F2 · ownership.direct: This report on Form 4 is jointly filed by Wipro LLC and Wipro Limited. Wipro LLC is a wholly-owned subsidiary of Wipro Limited. Wipro LLC directly owns the shares of Common Stock reported herein and, prior to the Repurchase Transaction, directly owned the shares of Series A Convertible Preferred Stock reported herein. Wipro Limited may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of all of the shares owned by Wipro LLC.

SEC source: 0000899243-22-038044 · doc4.xml · nonDerivative · entry 1

Wipro LLC · CIK 0001730314 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · kind: Pursuant to a Stock Repurchase Agreement, dated June 30, 2022, between the Issuer and Wipro LLC, the Issuer repurchased 9,926 shares of the Issuer's Series A Convertible Preferred Stock (the "Series A Shares") from Wipro LLC (the "Repurchase Transaction") for consideration consisting of (i) $9,926,000 in cash and (ii) 100,000 shares of the Issuer's Common Stock.

F1 · price: Pursuant to a Stock Repurchase Agreement, dated June 30, 2022, between the Issuer and Wipro LLC, the Issuer repurchased 9,926 shares of the Issuer's Series A Convertible Preferred Stock (the "Series A Shares") from Wipro LLC (the "Repurchase Transaction") for consideration consisting of (i) $9,926,000 in cash and (ii) 100,000 shares of the Issuer's Common Stock.

F2 · ownership.direct: This report on Form 4 is jointly filed by Wipro LLC and Wipro Limited. Wipro LLC is a wholly-owned subsidiary of Wipro Limited. Wipro LLC directly owns the shares of Common Stock reported herein and, prior to the Repurchase Transaction, directly owned the shares of Series A Convertible Preferred Stock reported herein. Wipro Limited may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of all of the shares owned by Wipro LLC.

SEC source: 0001437749-22-022078 · rdgdoc.xml · nonDerivative · entry 1

GRIFFIN JOHN H JR · CIK 0001249243 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,656

F1 · shares: On August 28, 2018, the reporting person was granted 5,952 Performance-based Stock Units, which vested on September 7, 2022, the first business day following the date on which the company's common stock price reached $12.00 and remained at or above such price for a consecutive 30-day period.

SEC source: 0001437749-22-022076 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,443

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the PSUs.

SEC source: 0001437749-22-022003 · rdgdoc.xml · nonDerivative · entry 1

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,767

SEC source: 0000921895-22-002489 · form409076001_08172022.xml · nonDerivative · entry 5

Radoff Bradley Louis · CIK 0001380585 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · BLR Partners LP

Disclosed balance after: 160,000

F1 · security: The reporting person disclaims beneficial ownership of the securities of the Issuer reported owned herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F6 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.90 to $16.82 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F5 · ownership.nature: Shares of common stock beneficially owned directly by BLR Partners LP. Mr. Radoff, as the sole shareholder and sole director of BLRGP Inc., which serves as the general partner of BLRPart LP, which serves as the general partner of BLR Partners LP, and as the sole shareholder and sole director of FLMP Inc., which serves as the general partner of Fondren Management, LP, which serves as the investment manager of BLR Partners LP, may be deemed to beneficially own the shares of Common Stock beneficially owned directly by BLR Partners LP.

SEC source: 0000921895-22-002489 · form409076001_08172022.xml · nonDerivative · entry 4

Radoff Bradley Louis · CIK 0001380585 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · BLR Partners LP

Disclosed balance after: 180,000

F1 · security: The reporting person disclaims beneficial ownership of the securities of the Issuer reported owned herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.01 to $15.755 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F5 · ownership.nature: Shares of common stock beneficially owned directly by BLR Partners LP. Mr. Radoff, as the sole shareholder and sole director of BLRGP Inc., which serves as the general partner of BLRPart LP, which serves as the general partner of BLR Partners LP, and as the sole shareholder and sole director of FLMP Inc., which serves as the general partner of Fondren Management, LP, which serves as the investment manager of BLR Partners LP, may be deemed to beneficially own the shares of Common Stock beneficially owned directly by BLR Partners LP.

SEC source: 0000921895-22-002489 · form409076001_08172022.xml · nonDerivative · entry 3

Radoff Bradley Louis · CIK 0001380585 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Radoff Family Foundation

Disclosed balance after: 0

F1 · security: The reporting person disclaims beneficial ownership of the securities of the Issuer reported owned herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.01 to $15.755 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · ownership.nature: Shares of common stock beneficially owned directly by the Radoff Family Foundation. As a director of the Radoff Family Foundation, Mr. Radoff may be deemed to beneficially own the shares of common stock beneficially owned by the Radoff Family Foundation.

SEC source: 0000921895-22-002489 · form409076001_08172022.xml · nonDerivative · entry 2

Radoff Bradley Louis · CIK 0001380585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,283

F1 · security: The reporting person disclaims beneficial ownership of the securities of the Issuer reported owned herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.01 to $15.755 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001437749-22-020652 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,259

SEC source: 0000921895-22-002489 · form409076001_08172022.xml · nonDerivative · entry 1

Radoff Bradley Louis · CIK 0001380585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,130

F1 · security: The reporting person disclaims beneficial ownership of the securities of the Issuer reported owned herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.96 to $15.545 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001437749-22-019836 · rdgdoc.xml · derivative · entry 6

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,431

Underlying: Common Stock · 2,500 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 ("RSU") convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On August 8, 2020, the reporting person was granted 7,500 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F4 · derivative.expiration_date: On August 8, 2020, the reporting person was granted 7,500 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001437749-22-019836 · rdgdoc.xml · nonDerivative · entry 4

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,830

F2 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-22-019836 · rdgdoc.xml · nonDerivative · entry 3

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,810

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 ("RSU") convert into common stock on a one-for-one basis.

SEC source: 0001437749-22-019823 · rdgdoc.xml · derivative · entry 6

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,386

Underlying: Common Stock · 21,667 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: On August 8, 2020, the reporting person was granted 65,000 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F4 · derivative.expiration_date: On August 8, 2020, the reporting person was granted 65,000 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001437749-22-019823 · rdgdoc.xml · nonDerivative · entry 4

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,107

F2 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the RSUs.

SEC source: 0001437749-22-019823 · rdgdoc.xml · nonDerivative · entry 3

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,633

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 ("RSU") convert into common stock on a one-for-one basis.

SEC source: 0001437749-22-019836 · rdgdoc.xml · derivative · entry 5

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,931

Underlying: Common Stock · 6,666 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 ("RSU") convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On August 6, 2021, the reporting person was granted 20,000 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F3 · derivative.expiration_date: On August 6, 2021, the reporting person was granted 20,000 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001437749-22-019836 · rdgdoc.xml · nonDerivative · entry 2

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,310

F2 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-22-019836 · rdgdoc.xml · nonDerivative · entry 1

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,930

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 ("RSU") convert into common stock on a one-for-one basis.

SEC source: 0001437749-22-019823 · rdgdoc.xml · derivative · entry 5

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,053

Underlying: Common Stock · 6,666 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 ("RSU") convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On August 6, 2021, the reporting person was granted 20,000 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F3 · derivative.expiration_date: On August 6, 2021, the reporting person was granted 20,000 Restricted Stock Units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001437749-22-019823 · rdgdoc.xml · nonDerivative · entry 2

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,966

F2 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the RSUs.

SEC source: 0001437749-22-019823 · rdgdoc.xml · nonDerivative · entry 1

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,590

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 ("RSU") convert into common stock on a one-for-one basis.

SEC source: 0001437749-22-015909 · rdgdoc.xml · nonDerivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,593

F1 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Restricted Stock Units.

SEC source: 0001437749-22-014936 · rdgdoc.xml · derivative · entry 3

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,158 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: Performance-based Stock Units ("PSU") convert into Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: On September 6, 2019, the reporting person was granted 13,158 Performance-based Stock Units, which will vest on the later of (i) the first anniversary of the grant date and (ii) the first business day following the date on which the Company's common stock price reaches $8.00 and remains at or above such price for a consecutive 30-day period, subject to reporting person's employment on the applicable vesting date.

F3 · derivative.expiration_date: On September 6, 2019, the reporting person was granted 13,158 Performance-based Stock Units, which will vest on the later of (i) the first anniversary of the grant date and (ii) the first business day following the date on which the Company's common stock price reaches $8.00 and remains at or above such price for a consecutive 30-day period, subject to reporting person's employment on the applicable vesting date.

SEC source: 0001437749-22-014936 · rdgdoc.xml · nonDerivative · entry 2

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,643

F2 · shares: Represents shares withheld to offset the reporting person's tax obligations upon vesting of the Performance-based Stock Units.

SEC source: 0001437749-22-014936 · rdgdoc.xml · nonDerivative · entry 1

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,821

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: Performance-based Stock Units ("PSU") convert into Common Stock on a one-for-one basis.

SEC source: 0001437749-22-016215 · rdgdoc.xml · derivative · entry 1

Linscott Brian · CIK 0001807291 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,334

Underlying: Common Stock · 15,000 shares

Expires 2025-05-26

F1 · shares: On May 26, 2022, the reporting person was granted 15,000 Restricted Stock Units, vesting in three equal installments beginning on the first anniversary of the grant date.

SEC source: 0001437749-22-016211 · rdgdoc.xml · derivative · entry 1

KEARNES LAURILEE · CIK 0001751130 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,719

Underlying: Common Stock · 10,000 shares

Expires 2025-05-26

F1 · shares: On May 26, 2022, the reporting person was granted 10,000 Restricted Stock Units, vesting in three equal installments beginning on the first anniversary of the grant date.

SEC source: 0001437749-22-016206 · rdgdoc.xml · derivative · entry 1

Wyman Robert T. · CIK 0001416859 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,597

Underlying: Common Stock · 6,000 shares

Expires 2025-05-26

F1 · shares: On May 26, 2022, the reporting person was granted 6,000 Restricted Stock Units, vesting in three equal installments beginning on the first anniversary of the grant date.