HQI

SEC source: 0001193805-19-000865 · e618677_4-kathleen.xml · nonDerivative · entry 1

Shanahan Kathleen M · CIK 0001292085 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · shares: Represents shares of restricted stock awarded to Mr. Shanahan in her capacity as a Director of the Issuer for Board of Directors service. 5,000 of these shares will vest on the day prior to the 2020 Annual Meeting of Shareholders of Issuer and 5,000 of these shares will vest on each of the first two anniversaries of that date.

F2 · price: Shares awarded for board service. See note 1. The closing price of the Issuer's Common Stock on Nasdaq on the date of grant was $7.20 per share.

SEC source: 0001193805-19-000864 · e618676_4-john.xml · nonDerivative · entry 1

McAnnar John · CIK 0001773909 · Secretary, VP and GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · shares: Represents shares of restricted stock awarded to Mr. McAnnar in his capacity as a Secretary, Vice President, and General Counsel of Issuer for service in those roles. 12,500 of these shares will vest on September 1, 2021. Thereafter, 1,562.5 shares will vest on the last day of each of the eight fiscal quartely immediately following September 1, 2019.

F2 · price: Shares awarded for service as Secretary, Vice President, and General Counsel. See note 1. The closing price of the Issuer's Common Stock on Nasdaq on the date of grant was $7.20 per share.

SEC source: 0001193805-19-000863 · e618675_4-rrimmy.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,191

F1 · shares: Represents shares of restricted stock awarded to Mr. Malhotra in his capacity as a Director of the Issuer for Board of Directors service. 5,000 of these shares will vest on the day prior to the 2020 Annual Meeting of Shareholders of Issuer, and 5,000 of these shares will vest on each of the first two anniversaries of that date.

F2 · price: Shares awarded for board service. See note 1. The closing price of the Issuer's Common Stock on Nasdaq on the date of grant was $7.20 per share.

SEC source: 0001193805-19-000861 · e618673_4-hermannns.xml · nonDerivative · entry 1

Hermanns Richard · CIK 0001773971 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,755,792

F1 · shares: Represents shares of restricted stock awarded to Mr. Hermanns in his capacity as President and CEO of Issuer for service as President and CEO. 25,000 of these shares will vest on September 1, 2021. Thereafter, 3,125 shares will vest on the last day of each of the eight fiscal quarters immediately following September 1, 2021.

F2 · price: Shares awarded for service as President and CEO. See note 1. The closing price of the Issuer's Common Stock on Nasdaq on the date of grant was $7.20 per share.

SEC source: 0001193805-19-000859 · e618671_4-payne.xml · nonDerivative · entry 1

BROWN PAYNE · CIK 0001782824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · shares: Represents shares of restricted stock awarded to Mr. Brown in his capacity as a Director of the Issuer for Board of Directors service. 5,000 of these shares will vest on the day prior to the 2020 Annual Meeting of Shareholders of Issuer and 5,000 of these shares will vest on each of the first two anniversaries of that date.

F2 · price: Shares awarded for board service. See note 1. The closing price of the Issuer's Common Stock on Nasdaq on the date of grant was $7.20 per share.

SEC source: 0001193805-19-000827 · e618661_4-ejackson.xml · nonDerivative · entry 1

JACKSON EDWARD · CIK 0001782800 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,482,321

F1 · price: Additional shares received in exchange for a membership interest in Hire Quest Holdings, LLC, a privately-held company in connection with the acquisition of such company by the Issuer.

F2 · price: On the effective date of the acquisition, the closing price of the Issuer's stock was $5.76 per share. On 9/13/19, the closing price was $6.90 per share.

SEC source: 0001193805-19-000826 · e618660_4-hermannns.xml · nonDerivative · entry 1

Hermanns Richard · CIK 0001773971 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,705,792

F1 · price: Additional shares received in exchange for a membership interest in Hire Quest Holdings, LLC, a privately-held company in connection with the acquisition of such company by the Issuer.

F2 · price: On the effective date of the acquisition, the closing price of the Issuer's stock was $5.76 per share. On 09/13/19, the closing price was $6.90 per share.

SEC source: 0001773971-19-000002 · primary_doc.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See FN

Disclosed balance after: 73,944

F1 · shares: Represents shares distributed by Nicoya Fund, LLC, a Delaware limited liability company, to a member as an in-kind distribution. Please see footnote 2.

F2 · ownership.nature: Represents shares directly owned by Nicoya Fund, LLC, a Delaware limited liability company. Mr. Malhotra is managing member of Nicoya Capital LLC, which is the managing member of Nicoya Fund, LLC. Mr. Malhotra disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001193805-19-000653 · e618560_4-ejackson.xml · nonDerivative · entry 1

JACKSON EDWARD · CIK 0001782800 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,456,765

F1 · price: Received in exchange for a membership interest in Hire Quest Holdings, LLC, a privately-held company in connection with the acquisition of such company by CCNI.

F2 · price: On the effective date of the acquisition, the closing price of CCNI stock was $5.76 per share.

SEC source: 0001773971-19-000001 · primary_doc.xml · nonDerivative · entry 1

Hermanns Richard · CIK 0001773971 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,647,050

F1 · price: Received in exchange for a membership interest in Hire Quest Holdings, LLC, a privately-held company in connection with the acquisition of such company by CCNI.

F2 · price: On the effective date of the acquisition, the closing price of CCNI stock was $5.76 per share.

SEC source: 0001654954-18-010753 · section16.xml · nonDerivative · entry 1

BATHGATE STEVEN MARK · CIK 0001011938 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,155

F1 · shares: Represents shares of restricted stock awarded to Mr. Bathgate in his capacity as a director of the Issuer for board of directors service in 2018. 4,012 of these shares will vest on July 23, 2019 and 4,013 of these shares will vest on July 23, 2020.

SEC source: 0001654954-18-010751 · section16.xml · nonDerivative · entry 1

Vetter Galen G · CIK 0001291784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,303

F1 · shares: Represents shares of restricted stock awarded to Mr. Vetter in his capacity as a director of the Issuer for board of directors service for 2018. 4,012 of these shares will vest on July 23, 2019 and 4,013 of these shares will vest on July 23, 2020.

SEC source: 0001654954-18-010750 · section16.xml · nonDerivative · entry 1

Hagenbuch Lawrence F · CIK 0001564286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,303

F1 · shares: Represents shares of restricted stock awarded to Mr. Hagenbuch in his capacity as a director of the Issuer for board of directors service in 2018. 4,012 of these shares will vest on July 23, 2019 and 4,013 of these shares will vest on July 23, 2020.

SEC source: 0001654954-18-010748 · section16.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,191

F1 · shares: Represents shares of restricted stock awarded to Mr. Malhotra in his capacity as a director of the Issuer for board of directors service in 2018. 4,012 of these shares will vest on July 23, 2019 and 4,013 of these shares will vest on July 23, 2020.

SEC source: 0001654954-18-010745 · section16.xml · nonDerivative · entry 1

Smith JD · CIK 0001602937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,191

F1 · shares: Represents shares of restricted stock awarded to Mr. Smith in his capacity as a director of the Issuer for board of directors service for 2018. 4,012 of these shares will vest on July 23, 2019 and 4,013 of these shares will vest on July 23, 2020.

SEC source: 0001654954-18-010746 · section16.xml · nonDerivative · entry 1

OMAN STEVE P · CIK 0001194279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,442

F1 · shares: Represents shares of restricted stock awarded to Mr. Oman in his capacity as a director of the Issuer for board of directors service for a portion of 2018. 4,012 of these shares will vest on July 23, 2019 and 4,013 of these shares will vest on July 23, 2020.

SEC source: 0001654954-18-007263 · section16.xml · nonDerivative · entry 3

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Nicoya Fund LLC

Disclosed balance after: 123,944

F1 · ownership.nature: Represents shares directly owned by Nicoya Fund LLC, a Delaware limited liability company. Mr. Malhotra is the managing member of Nicoya Capital LLC, which is the managing member of Nicoya Fund LLC. Mr. Malhotra disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001654954-18-007263 · section16.xml · nonDerivative · entry 2

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Nicoya Fund LLC

Disclosed balance after: 122,644

F1 · ownership.nature: Represents shares directly owned by Nicoya Fund LLC, a Delaware limited liability company. Mr. Malhotra is the managing member of Nicoya Capital LLC, which is the managing member of Nicoya Fund LLC. Mr. Malhotra disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001654954-18-007263 · section16.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Nicoya Fund LLC

Disclosed balance after: 122,144

F1 · ownership.nature: Represents shares directly owned by Nicoya Fund LLC, a Delaware limited liability company. Mr. Malhotra is the managing member of Nicoya Capital LLC, which is the managing member of Nicoya Fund LLC. Mr. Malhotra disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001654954-18-007232 · section16.xml · nonDerivative · entry 2

Hagenbuch Lawrence F · CIK 0001564286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,278

SEC source: 0001654954-18-007232 · section16.xml · nonDerivative · entry 1

Hagenbuch Lawrence F · CIK 0001564286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378

SEC source: 0001654954-18-007016 · section16.xml · nonDerivative · entry 2

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Nicoya Fund LLC

Disclosed balance after: 121,944

F1 · ownership.nature: Represents shares directly owned by Nicoya Fund LLC, a Delaware limited liability company. Mr. Malhotra is the managing member of Nicoya Capital LLC, which is the managing member of Nicoya Fund LLC. Mr. Malhotra disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001654954-18-006998 · section16.xml · nonDerivative · entry 2

BATHGATE STEVEN MARK · CIK 0001011938 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,130

SEC source: 0001654954-18-007016 · section16.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Nicoya Fund LLC

Disclosed balance after: 121,744

F1 · ownership.nature: Represents shares directly owned by Nicoya Fund LLC, a Delaware limited liability company. Mr. Malhotra is the managing member of Nicoya Capital LLC, which is the managing member of Nicoya Fund LLC. Mr. Malhotra disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001654954-18-006998 · section16.xml · nonDerivative · entry 1

BATHGATE STEVEN MARK · CIK 0001011938 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,130

SEC source: 0001654954-18-006873 · section16.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Nicoya Fund LLC

Disclosed balance after: 120,744

F1 · ownership.nature: Represents shares directly owned by Nicoya Fund LLC, a Delaware limited liability company. Mr. Malhotra is the managing member of Nicoya Capital LLC, which is the managing member of Nicoya Fund LLC. Mr. Malhotra disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

SEC source: 0001654954-18-006791 · section16.xml · derivative · entry 5

BATHGATE STEVEN MARK · CIK 0001011938 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common Stock · 8,750 shares

Expires 2028-06-18

F4 · derivative.exercise_date: These are options awarded for this reporting person's service on the Issuer's board of directors. The stock options vest in four equal installments, with 25% vesting on the grant date and 25% vesting on each anniversary of the grant date until fully vested on June 18, 2021.

SEC source: 0001654954-18-006790 · section16.xml · derivative · entry 3

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common Stock · 8,750 shares

Expires 2028-06-18

F2 · derivative.exercise_date: These are options awarded for this reporting person's service on the Issuer's board of directors. The stock options vest in four equal installments, with 25% vesting on the grant date and 25% vesting on each anniversary of the grant date until fully vested on June 18, 2021.

SEC source: 0001654954-18-006537 · section16.xml · nonDerivative · entry 1

BATHGATE STEVEN MARK · CIK 0001011938 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,059

F1 · shares: Represents shares of stock awarded to Mr. Bathgate in his capacity as a director of the Issuer for board of directors service in 2017 and for a portion of 2018.

SEC source: 0001654954-18-006536 · section16.xml · nonDerivative · entry 1

Schneller John · CIK 0001511872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,250

F1 · shares: Represents shares of stock awarded to Mr. Schneller in his capacity as a director of the Issuer for board of directors service in 2017 and for a portion of 2018.

SEC source: 0001654954-18-006535 · section16.xml · nonDerivative · entry 1

Smith JD · CIK 0001602937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,166

F1 · shares: Represents shares of stock awarded to Mr. Smith in his capacity as a director of the Issuer for board of directors service in 2017 and for a portion of 2018.

SEC source: 0001654954-18-006534 · section16.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,166

F1 · shares: Represents shares of stock awarded to Mr. Malhotra in his capacity as a director of the Issuer for board of directors service in 2017 and for a portion of 2018.

SEC source: 0001654954-18-006533 · section16.xml · nonDerivative · entry 2

Vetter Galen G · CIK 0001291784 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Vetter Community Resource, LLC

Disclosed balance after: 2,278

F2 · ownership.nature: Represents shares of the Issuer owned directly by Vetter Community Resource, LLC ("VCR"). Mr. Vetter, who together with his spouse are the sole members of VCR, may be deemed to beneficially own the shares of the Issuer owned directly by VCR. Mr. Vetter disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001654954-18-006533 · section16.xml · nonDerivative · entry 1

Vetter Galen G · CIK 0001291784 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278

F1 · shares: Represents shares of stock awarded to Mr. Vetter in his capacity as a director of the Issuer for board of directors service for a portion of 2018.

SEC source: 0001654954-18-006531 · section16.xml · nonDerivative · entry 1

OMAN STEVE P · CIK 0001194279 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 417

F1 · shares: Represents shares of stock awarded to Mr. Oman in his capacity as a director of the Issuer for board of directors service for a portion of 2018.

SEC source: 0001654954-18-006569 · section16.xml · nonDerivative · entry 1

Hagenbuch Lawrence F · CIK 0001564286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278

F1 · shares: Represents shares of stock awarded to Mr. Hagenbuch in his capacity as a director of the Issuer for board of directors service for a portion of 2018.

SEC source: 0001654954-18-004471 · section16.xml · derivative · entry 4

Sandford Frederick J · CIK 0001599691 · Former CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2020-10-30

F1 · price: (1) Pursuant to the settlement agreement dated March 28, 2018, the Issuer paid to the reporting owner an amount equal to 105% of the value of unexercised options, whether vested or not. Such options were then cancelled. The value of the unexercised options was determined as follows: From the average of the Bid and Asked prices of the Company's common stock quoted on the OTCOB system at the close of business on March 29, 2018, the option exercise price contained in the relevant Stock Option Grant Agreements was subtracted, then the result (not less than zero) was multiplied by the number of unexercised options.

F1 · derivative.exercise_date: (1) Pursuant to the settlement agreement dated March 28, 2018, the Issuer paid to the reporting owner an amount equal to 105% of the value of unexercised options, whether vested or not. Such options were then cancelled. The value of the unexercised options was determined as follows: From the average of the Bid and Asked prices of the Company's common stock quoted on the OTCOB system at the close of business on March 29, 2018, the option exercise price contained in the relevant Stock Option Grant Agreements was subtracted, then the result (not less than zero) was multiplied by the number of unexercised options.

SEC source: 0001654954-18-004471 · section16.xml · derivative · entry 3

Sandford Frederick J · CIK 0001599691 · Former CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 125,000 shares

Expires 2023-02-21

F1 · price: (1) Pursuant to the settlement agreement dated March 28, 2018, the Issuer paid to the reporting owner an amount equal to 105% of the value of unexercised options, whether vested or not. Such options were then cancelled. The value of the unexercised options was determined as follows: From the average of the Bid and Asked prices of the Company's common stock quoted on the OTCOB system at the close of business on March 29, 2018, the option exercise price contained in the relevant Stock Option Grant Agreements was subtracted, then the result (not less than zero) was multiplied by the number of unexercised options.

F1 · derivative.exercise_date: (1) Pursuant to the settlement agreement dated March 28, 2018, the Issuer paid to the reporting owner an amount equal to 105% of the value of unexercised options, whether vested or not. Such options were then cancelled. The value of the unexercised options was determined as follows: From the average of the Bid and Asked prices of the Company's common stock quoted on the OTCOB system at the close of business on March 29, 2018, the option exercise price contained in the relevant Stock Option Grant Agreements was subtracted, then the result (not less than zero) was multiplied by the number of unexercised options.

SEC source: 0001654954-18-004471 · section16.xml · derivative · entry 2

Sandford Frederick J · CIK 0001599691 · Former CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 20,833 shares

Expires 2027-09-29

F1 · price: (1) Pursuant to the settlement agreement dated March 28, 2018, the Issuer paid to the reporting owner an amount equal to 105% of the value of unexercised options, whether vested or not. Such options were then cancelled. The value of the unexercised options was determined as follows: From the average of the Bid and Asked prices of the Company's common stock quoted on the OTCOB system at the close of business on March 29, 2018, the option exercise price contained in the relevant Stock Option Grant Agreements was subtracted, then the result (not less than zero) was multiplied by the number of unexercised options.

F1 · derivative.exercise_date: (1) Pursuant to the settlement agreement dated March 28, 2018, the Issuer paid to the reporting owner an amount equal to 105% of the value of unexercised options, whether vested or not. Such options were then cancelled. The value of the unexercised options was determined as follows: From the average of the Bid and Asked prices of the Company's common stock quoted on the OTCOB system at the close of business on March 29, 2018, the option exercise price contained in the relevant Stock Option Grant Agreements was subtracted, then the result (not less than zero) was multiplied by the number of unexercised options.

SEC source: 0001654954-18-000051 · section16.xml · nonDerivative · entry 1

Malhotra R. Rimmy · CIK 0001442755 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Nicoya Fund LLC

Disclosed balance after: 115,744

F1 · ownership.nature: These shares are directly owned by the Nicoya Fund LLC, a Delaware limited liability company. This reporting person is the managing member of Nicoya Capital LLC, which is the managing member of the Nicoya Fund LLC.

SEC source: 0001654954-17-009107 · section16.xml · nonDerivative · entry 2

Stewart John D · CIK 0001303614 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Oppen Family Guidance Institute, Inc.

Disclosed balance after: 618,900

F1 · ownership.nature: The shares are directly owned by Oppen Family Guidance Institute, Inc., a nonprofit organization. This reporting individual is an officer and director of Oppen Family Guidance Institute, Inc.

SEC source: 0001654954-17-009107 · section16.xml · nonDerivative · entry 1

Stewart John D · CIK 0001303614 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Oppen Family Guidance Institute, Inc.

Disclosed balance after: 581,800

F1 · ownership.nature: The shares are directly owned by Oppen Family Guidance Institute, Inc., a nonprofit organization. This reporting individual is an officer and director of Oppen Family Guidance Institute, Inc.

SEC source: 0001654954-17-009105 · section16.xml · derivative · entry 1

Sandford Frederick J · CIK 0001599691 · Director · President, CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,050,000

Underlying: Common Stock · 250,000 shares

Expires 2027-09-29

F2 · price: The stock options were granted in connection with Issuer's 2017 Executive Bonus Plan.

F1 · derivative.exercise_date: The stock options vest in four equal tranches, with the first one-fourth vesting on the grant date, or 09/29/2017, the second one-fourth vesting on the first anniversary of the grant date, or 9/29/2018, the third one-fourth vesting on the second anniversary of the grant date, or 09/29/2019, and the fourth one-fourth vesting on the third anniversary of the grant date, or 09/29/2020.

SEC source: 0001654954-17-009106 · section16.xml · derivative · entry 1

Smith Cory · CIK 0001715149 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-09-29

F2 · price: The stock options were granted in connection with Issuer's 2017 Executive Bonus Plan.

F1 · derivative.exercise_date: The stock options vest in four equal tranches, with the first one-fourth vesting on the grant date, or 09/29/2017, the second one-fourth vesting on the first anniversary of the grant date, or 9/29/2018, the third one-fourth vesting on the second anniversary of the grant date, or 09/29/2019, and the fourth one-fourth vesting on the third anniversary of the grant date, or 09/29/2020.

SEC source: 0001654954-17-009104 · section16.xml · derivative · entry 1

JUNCK RONALD L · CIK 0001426622 · EXEC VP, GEN COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 125,000 shares

Expires 2027-09-29

F2 · price: The stock options were granted in connection with Issuer's 2017 Executive Bonus Plan.

F1 · derivative.exercise_date: The stock options vest in four equal tranches, with the first one-fourth vesting on the grant date, or 09/29/2017, the second one-fourth vesting on the first anniversary of the grant date, or 9/29/2018, the third one-fourth vesting on the second anniversary of the grant date, or 09/29/2019, and the fourth one-fourth vesting on the third anniversary of the grant date, or 09/29/2020.

SEC source: 0001654954-17-008788 · section16.xml · derivative · entry 3

JUNCK RONALD L · CIK 0001426622 · EXEC VP, GEN COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires not disclosed

F2 · price: These options were awarded on 9/22/17, vesting 25% on the date of the award and 25% on each anniversary, being fully vested on 9/22/2020. The options expire on 9/22/27.

F2 · derivative.exercise_date: These options were awarded on 9/22/17, vesting 25% on the date of the award and 25% on each anniversary, being fully vested on 9/22/2020. The options expire on 9/22/27.

F2 · derivative.expiration_date: These options were awarded on 9/22/17, vesting 25% on the date of the award and 25% on each anniversary, being fully vested on 9/22/2020. The options expire on 9/22/27.

SEC source: 0001654954-17-008730 · section16.xml · nonDerivative · entry 1

BATHGATE STEVEN MARK · CIK 0001011938 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,710

F1 · price: These shares were awarded by the Company for board of directors service in 2016.

SEC source: 0001654954-17-008740 · section16.xml · nonDerivative · entry 1

Finlay Richard M · CIK 0001662465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,200

F1 · price: These shares were awarded by the Company for board of directors service in 2016.

SEC source: 0001654954-17-008736 · section16.xml · nonDerivative · entry 1

Smith JD · CIK 0001602937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,000

F1 · price: These shares were awarded by the Company for board of directors service in 2016.

SEC source: 0001654954-17-008734 · section16.xml · nonDerivative · entry 1

Stewart John D · CIK 0001303614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

F1 · price: These shares were awarded by the Company for board of directors service in 2016.