HRGN

SEC source: 0001104659-22-063797 · tm2216578-1_4seq1.xml · derivative · entry 3

GREEN DAVID · CIK 0001008643 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,673

Underlying: Common Stock · 31,673 shares

Expires 2027-05-12

F1 · kind: On May 12, 2022, the Issuer and the Reporting Person entered into 2 securities purchase agreements (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 63,345 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 31,673 shares of common stock with an exercise price of $8.88 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreements was $375,000.

F1 · price: On May 12, 2022, the Issuer and the Reporting Person entered into 2 securities purchase agreements (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 63,345 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 31,673 shares of common stock with an exercise price of $8.88 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreements was $375,000.

SEC source: 0001104659-22-063797 · tm2216578-1_4seq1.xml · nonDerivative · entry 1

GREEN DAVID · CIK 0001008643 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,861

F1 · price: On May 12, 2022, the Issuer and the Reporting Person entered into 2 securities purchase agreements (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 63,345 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 31,673 shares of common stock with an exercise price of $8.88 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreements was $375,000.

SEC source: 0001104659-22-063798 · tm2216578-2_4seq1.xml · derivative · entry 2

Shmerling James E. · CIK 0001505051 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,446

Underlying: Common Stock · 8,446 shares

Expires 2027-05-12

F1 · kind: On May 12, 2022, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 16,892 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 8,446 shares of common stock with an exercise price of $8.88 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $100,000.

F1 · price: On May 12, 2022, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 16,892 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 8,446 shares of common stock with an exercise price of $8.88 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $100,000.

SEC source: 0001104659-22-063798 · tm2216578-2_4seq1.xml · nonDerivative · entry 1

Shmerling James E. · CIK 0001505051 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,892

F1 · price: On May 12, 2022, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 16,892 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 8,446 shares of common stock with an exercise price of $8.88 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $100,000.

SEC source: 0001104659-22-000550 · tm221395-2_4seq1.xml · derivative · entry 1

Fodor William · CIK 0001735547 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,103

Underlying: Common Stock, par value $0.01 per share · 196,103 shares

Expires 2031-12-29

F1 · derivative.exercise_date: Subject to continued employment or service through the applicable vesting dates, these shares vest in four equal amounts on each of the grant date and each anniversary of the grant date.

SEC source: 0001104659-22-000549 · tm221395-1_4seq1.xml · derivative · entry 1

Yu Hong · CIK 0001743047 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,116

Underlying: Common Stock, par value $0.01 per share · 113,116 shares

Expires 2031-12-29

F1 · derivative.exercise_date: Subject to continued employment or service through the applicable vesting dates, these shares vest in four equal amounts on each of the grant date and each anniversary of the grant date.

SEC source: 0001104659-21-145061 · tm2134262d2_4seq1.xml · derivative · entry 4

GREEN DAVID · CIK 0001008643 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,094

Underlying: Common Stock, par value $0.01 per share · 374,094 shares

Expires 2031-11-26

F2 · derivative.exercise_date: Subject to continued employment or service through the applicable vesting dates, (i) 106,884 shares will vest monthly in twelve equal monthly installments on each monthly anniversary of November 26, 2021, and (ii) up to 267,210 shall vest in three increments, two for 80,163 shares each and the third for 106,884 shares, each such vesting subject to certain performance milestones set by the Board of Directors of the Issuer.

SEC source: 0001104659-21-145061 · tm2134262d2_4seq1.xml · derivative · entry 3

GREEN DAVID · CIK 0001008643 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,232

Underlying: Common Stock, par value $0.01 per share · 36,232 shares

Expires 2026-11-26

F1 · kind: On November 26, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 72,464 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) a warrant to purchase up to 36,232 shares of common stock with an exercise price of $2.00 per share (the "Warrant"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrant acquired by it pursuant to the Purchase Agreement was $250,000.

F1 · price: On November 26, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 72,464 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) a warrant to purchase up to 36,232 shares of common stock with an exercise price of $2.00 per share (the "Warrant"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrant acquired by it pursuant to the Purchase Agreement was $250,000.

SEC source: 0001104659-21-145061 · tm2134262d2_4seq1.xml · nonDerivative · entry 1

GREEN DAVID · CIK 0001008643 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,516

F1 · price: On November 26, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 72,464 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) a warrant to purchase up to 36,232 shares of common stock with an exercise price of $2.00 per share (the "Warrant"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrant acquired by it pursuant to the Purchase Agreement was $250,000.

SEC source: 0001104659-21-137164 · tm2132445-6_4seq1.xml · derivative · entry 2

He Junli · CIK 0001728598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,622

Underlying: Common Stock, par value $0.01 per share · 8,727 shares

Expires 2031-09-05

F2 · derivative.exercise_date: This Stock Option was granted in lieu of cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, December 5, 2021, March 5, 2022 and June 5, 2022.

SEC source: 0001104659-21-137164 · tm2132445-6_4seq1.xml · derivative · entry 1

He Junli · CIK 0001728598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,895

Underlying: Common Stock, par value $0.01 per share · 10,895 shares

Expires 2031-09-05

F1 · derivative.exercise_date: This Stock Option represents the initial equity grant to the Reporting Person upon appointment as a non-employee director of the Issuer, and will vest in four equal installments on December 5, 2021, March 5, 2022, June 5, 2022 and September 5, 2022.

SEC source: 0001104659-21-114301 · tm2127249-1_4seq1.xml · derivative · entry 3

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2026-09-01

F1 · kind: On September 1, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 500,000 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 250,000 shares of common stock with an exercise price of $2.00 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $1,000,000.

F1 · price: On September 1, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 500,000 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 250,000 shares of common stock with an exercise price of $2.00 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $1,000,000.

SEC source: 0001104659-21-114301 · tm2127249-1_4seq1.xml · nonDerivative · entry 1

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,650,000

F1 · price: On September 1, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 500,000 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 250,000 shares of common stock with an exercise price of $2.00 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $1,000,000.

SEC source: 0001104659-21-137161 · tm2132445-3_4seq1.xml · derivative · entry 2

Shmerling James E. · CIK 0001505051 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,535

Underlying: Common Stock, par value $0.01 per share · 18,035 shares

Expires 2031-07-01

F2 · derivative.exercise_date: This Stock Option was granted in lieu of cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, October 1, 2021, January 1, 2022 and April 1, 2022.

SEC source: 0001104659-21-137161 · tm2132445-3_4seq1.xml · derivative · entry 1

Shmerling James E. · CIK 0001505051 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock, par value $0.01 per share · 22,500 shares

Expires 2031-07-01

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on October 1, 2021, January 1, 2022, April 1, 2022 and July 1, 2022.

SEC source: 0001104659-21-137162 · tm2132445-4_4seq1.xml · derivative · entry 2

Li Ting · CIK 0001759813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,535

Underlying: Common Stock, par value $0.01 per share · 18,035 shares

Expires 2031-07-01

F2 · derivative.exercise_date: This Stock Option was granted in lieu of cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, October 1, 2021, January 1, 2022 and April 1, 2022.

SEC source: 0001104659-21-137162 · tm2132445-4_4seq1.xml · derivative · entry 1

Li Ting · CIK 0001759813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock, par value $0.01 per share · 22,500 shares

Expires 2031-07-01

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on October 1, 2021, January 1, 2022, April 1, 2022 and July 1, 2022.

SEC source: 0001104659-21-137163 · tm2132445-5_4seq1.xml · derivative · entry 2

Sanchez Herman · CIK 0001843559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,535

Underlying: Common Stock, par value $0.01 per share · 18,035 shares

Expires 2031-07-01

F2 · derivative.exercise_date: This Stock Option was granted in lieu of cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, October 1, 2021, January 1, 2022 and April 1, 2022.

SEC source: 0001104659-21-137163 · tm2132445-5_4seq1.xml · derivative · entry 1

Sanchez Herman · CIK 0001843559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock, par value $0.01 per share · 22,500 shares

Expires 2031-07-01

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on October 1, 2021, January 1, 2022, April 1, 2022 and July 1, 2022.

SEC source: 0001104659-21-137160 · tm2132445-2_4seq1.xml · derivative · entry 2

Chen Jing · CIK 0001727177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,535

Underlying: Common Stock, par value $0.01 per share · 18,035 shares

Expires 2031-07-01

F2 · derivative.exercise_date: This Stock Option was granted in lieu of cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, October 1, 2021, January 1, 2022 and April 1, 2022.

SEC source: 0001104659-21-137160 · tm2132445-2_4seq1.xml · derivative · entry 1

Chen Jing · CIK 0001727177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock, par value $0.01 per share · 22,500 shares

Expires 2031-07-01

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on October 1, 2021, January 1, 2022, April 1, 2022 and July 1, 2022.

SEC source: 0001104659-21-083662 · tm2115117d1_4.xml · derivative · entry 3

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-06-17

F1 · kind: On June 17, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 150,000 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 75,000 shares of common stock with an exercise price of $2.00 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $300,000.

F1 · price: On June 17, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 150,000 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 75,000 shares of common stock with an exercise price of $2.00 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $300,000.

SEC source: 0001104659-21-083662 · tm2115117d1_4.xml · nonDerivative · entry 1

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,150,000

F1 · price: On June 17, 2021, the Issuer and the Reporting Person entered into a securities purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired from the Issuer in a private placement: (i) 150,000 shares of the Issuer's common stock, $0.01 par value (collectively, the "Shares"); and (ii) warrants to purchase up to 75,000 shares of common stock with an exercise price of $2.00 per share (the "Warrants"). The aggregate subscription amount paid by the Reporting Person for the Shares and Warrants acquired by it pursuant to the Purchase Agreement was $300,000.

SEC source: 0001104659-21-010237 · tm214887d2_form4.xml · derivative · entry 1

Sanchez Herman · CIK 0001843559 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,413

Underlying: Common Stock · 16,413 shares

Expires 2031-01-26

F1 · derivative.exercise_date: Stock Option represents the initial equity grant to the Reporting Person upon appointment as a non-employee director of the Issuer, and will vest in four equal installments on April 26, 2021, July 26, 2021, October 26, 2021, and January 26, 2022.

SEC source: 0001104659-20-105351 · tm2030917-1_4.xml · derivative · entry 4

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 100,000 shares

Expires 2022-12-27

F1 · kind: These warrants were transferred by the Reporting Person on the condition that the assignee immediately exercise the Warrants for cash.

SEC source: 0001104659-20-105351 · tm2030917-1_4.xml · derivative · entry 3

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,000

Underlying: Common Stock · 100,000 shares

Expires 2022-12-27

F1 · kind: These warrants were transferred by the Reporting Person on the condition that the assignee immediately exercise the Warrants for cash.

SEC source: 0001104659-20-078207 · tm2023734d5_4.xml · derivative · entry 2

Young Jeffrey E · CIK 0001367556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,517

Underlying: Common Stock, par value $0.01 per share · 9,579 shares

Expires 2030-06-25

F2 · derivative.exercise_date: This Stock Option was granted in lieu of 2020 cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001104659-20-078207 · tm2023734d5_4.xml · derivative · entry 1

Young Jeffrey E · CIK 0001367556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,938

Underlying: Common Stock, par value $0.01 per share · 11,938 shares

Expires 2030-06-25

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on September 25, 2020, December 25, 2020, March 25, 2021, and June 25, 2021.

SEC source: 0001104659-20-078204 · tm2023734-2_4.xml · derivative · entry 2

Shmerling James E. · CIK 0001505051 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,517

Underlying: Common Stock, par value $0.01 per share · 9,579 shares

Expires 2030-06-25

F2 · derivative.exercise_date: This Stock Option was granted in lieu of 2020 cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001104659-20-078204 · tm2023734-2_4.xml · derivative · entry 1

Shmerling James E. · CIK 0001505051 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,938

Underlying: Common Stock, par value $0.01 per share · 11,938 shares

Expires 2030-06-25

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on September 25, 2020, December 25, 2020, March 25, 2021, and June 25, 2021.

SEC source: 0001104659-20-078206 · tm2023734d4_4.xml · derivative · entry 2

Li Ting · CIK 0001759813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,517

Underlying: Common Stock, par value $0.01 per share · 9,579 shares

Expires 2030-06-25

F2 · derivative.exercise_date: This Stock Option was granted in lieu of 2020 cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001104659-20-078206 · tm2023734d4_4.xml · derivative · entry 1

Li Ting · CIK 0001759813 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,938

Underlying: Common Stock, par value $0.01 per share · 11,938 shares

Expires 2030-06-25

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on September 25, 2020, December 25, 2020, March 25, 2021, and June 25, 2021.

SEC source: 0001104659-20-078205 · tm2023734d3_4.xml · derivative · entry 2

Zhang Wei · CIK 0001742222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,517

Underlying: Common Stock, par value $0.01 per share · 9,579 shares

Expires 2030-06-25

F2 · derivative.exercise_date: This Stock Option was granted in lieu of 2020 cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001104659-20-078205 · tm2023734d3_4.xml · derivative · entry 1

Zhang Wei · CIK 0001742222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,938

Underlying: Common Stock, par value $0.01 per share · 11,938 shares

Expires 2030-06-25

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on September 25, 2020, December 25, 2020, March 25, 2021, and June 25, 2021.

SEC source: 0001104659-20-078202 · tm2023734d1_4.xml · derivative · entry 2

Chen Jing · CIK 0001727177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,517

Underlying: Common Stock, par value $0.01 per share · 9,579 shares

Expires 2030-06-25

F2 · derivative.exercise_date: This Stock Option was granted in lieu of 2020 cash compensation otherwise payable to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on the grant date, June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001104659-20-078202 · tm2023734d1_4.xml · derivative · entry 1

Chen Jing · CIK 0001727177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,938

Underlying: Common Stock, par value $0.01 per share · 11,938 shares

Expires 2030-06-25

F1 · derivative.exercise_date: This Stock Option represents the annual equity grant to the Reporting Person, as a non-employee director of the Issuer, and will vest in four equal installments on September 25, 2020, December 25, 2020, March 25, 2021, and June 25, 2021.

SEC source: 0001104659-20-062594 · tm2019970-1_4.xml · nonDerivative · entry 2

CHAKOUTIS PETER M · CIK 0001257798 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,793

F2 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with the stock award granted to the Reporting Person.

SEC source: 0001104659-20-062594 · tm2019970-1_4.xml · nonDerivative · entry 1

CHAKOUTIS PETER M · CIK 0001257798 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,638

F1 · shares: Represents a stock award required to be granted under the Offer Letter between the Issuer and the Reporting Person.

SEC source: 0001104659-20-053775 · tm2018172d1_4.xml · nonDerivative · entry 2

CHAKOUTIS PETER M · CIK 0001257798 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,638

F2 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with the stock award granted to the Reporting Person.

SEC source: 0001104659-20-053775 · tm2018172d1_4.xml · nonDerivative · entry 1

CHAKOUTIS PETER M · CIK 0001257798 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,795

F1 · shares: Represents a stock award required to be granted under the Offer Letter between the Issuer and the Reporting Person.

SEC source: 0001104659-20-042283 · tm2014758d1_4.xml · nonDerivative · entry 2

CHAKOUTIS PETER M · CIK 0001257798 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,795

F2 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with the stock award granted to the Reporting Person.

SEC source: 0001104659-20-042283 · tm2014758d1_4.xml · nonDerivative · entry 1

CHAKOUTIS PETER M · CIK 0001257798 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · shares: Represents a stock award required to be granted under the Offer Letter between the Issuer and the Reporting Person.

SEC source: 0001104659-20-038937 · tm2013962d2_4.xml · derivative · entry 1

CHAKOUTIS PETER M · CIK 0001257798 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock, par value $0.01 per share · 40,000 shares

Expires 2030-03-24

F1 · derivative.exercise_date: This stock option vests as follows: (i) one quarter upon timely filing of the Company's Quarterly Report on Form 10-Q for the fiscal quarter ending March 31, 2020, and (ii) the remainder in twelve (12) equal quarterly increments on the first day of each calendar quarter starting with the first calendar quarter following the timely filing of such Form 10-Q.

SEC source: 0001104659-20-105351 · tm2030917-1_4.xml · derivative · entry 2

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,000

Underlying: Common Stock · 100,000 shares

Expires 2022-12-27

F1 · kind: These warrants were transferred by the Reporting Person on the condition that the assignee immediately exercise the Warrants for cash.

SEC source: 0001104659-20-105351 · tm2030917-1_4.xml · derivative · entry 1

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,000

Underlying: Common Stock · 51,500 shares

Expires 2022-12-27

F1 · kind: These warrants were transferred by the Reporting Person on the condition that the assignee immediately exercise the Warrants for cash.

SEC source: 0001104659-20-012024 · tm207017-1_4s.xml · derivative · entry 2

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 358,500

Underlying: Common Stock · 62,500 shares

Expires 2022-12-27

F1 · kind: These warrants were transferred by the Reporting Person on the condition that the assignee immediately exercise the Warrants for cash.

SEC source: 0001104659-20-012024 · tm207017-1_4s.xml · derivative · entry 1

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,000

Underlying: Common Stock · 94,000 shares

Expires 2022-12-27

F1 · kind: These warrants were transferred by the Reporting Person on the condition that the assignee immediately exercise the Warrants for cash.

SEC source: 0001104659-19-070595 · tm1924689-1_4.xml · derivative · entry 1

DST Capital LLC · CIK 0001727656 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,000

Underlying: Common Stock · 200,000 shares

Expires 2022-12-27

F1 · kind: These warrants were transferred by the Reporting Person on the condition that the assignee immediately exercise the Warrants for cash.

SEC source: 0001144204-19-046964 · tv530558_4.xml · derivative · entry 3

Young Jeffrey E · CIK 0001367556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2022-12-27

SEC source: 0001144204-19-046964 · tv530558_4.xml · derivative · entry 2

Young Jeffrey E · CIK 0001367556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2022-12-27

F1 · kind: These warrants were transferred to the Reporting Person by DST Capital LLC on the condition that the Reporting Person immediately exercise the Warrants for cash.