HSDT

SEC source: 0001209191-21-055275 · doc4.xml · nonDerivative · entry 3

ANDREEFF DANE · CIK 0001201810 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,012

F2 · ownership.nature: The shares are held by Maple Leaf Partners I, L.P. ("MLP I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLP I and as such may be deemed to beneficially own the securities owned by MLP I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-055275 · doc4.xml · nonDerivative · entry 1

ANDREEFF DANE · CIK 0001201810 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 49,461

F1 · ownership.nature: The shares are held by Maple Leaf Partners, L.P. ("MLP"). The reporting person is the managing member of Maple Leaf Capital I, LLC ("Maple Leaf Capital"), the general partner of MLP and as such may be deemed to beneficially own the securities owned by MLP. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-045988 · doc4.xml · derivative · entry 1

Favit-Van Pelt Antonella R. · CIK 0001871533 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2031-07-06

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2021 Inducement Plan. The options vest in four equal installments on each of the first, second, third and fourth anniversaries of the date of grant, subject to the Reporting Person's continued service through each applicable vesting date.

SEC source: 0001209191-21-040590 · doc4.xml · derivative · entry 1

ANDREEFF DANE · CIK 0001201810 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,750

Underlying: Common Stock · 195,750 shares

Expires 2031-06-13

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option to purchase 261,000 shares of common stock under the Issuer's 2018 Omnibus Incentive Plan. 25% of the shares are fully vested as of the grant date; 25% of the shares are granted, which will be reported when earned, will vest based on a performance condition; of the remaining shares, 25% of such number remaining shall vest on the one year anniversary of the grant date, and the remainder shall vest in thirty-six successive equal monthly installments on the last day of each full month, subject to the Reporting Perosn's continuous service through each applicable vesting period.

SEC source: 0001209191-21-040556 · doc4.xml · derivative · entry 1

MATHIESEN JEFFREY S · CIK 0001296853 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,250

Underlying: Common Stock · 77,250 shares

Expires 2031-06-13

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option to purchase 103,000 shares of common stock under the Issuer's 2018 Omnibus Incentive Plan. 25% of the shares are fully vested as of the grant date; 25% of the shares granted, which will be reported when earned, will vest based on a performance condition; of the remaining shares, 25% of such number remaining shall vest on the one year anniversary of the grant date, and the remainder shall vest in thirty-six successive equal monthly installments on the last day of each full month, subject to the Reporting Person's continuous service through each applicable vesting period.

SEC source: 0001209191-21-037318 · doc4.xml · derivative · entry 1

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2031-06-01

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The option was fully vested on the grant date.

SEC source: 0001209191-21-036234 · doc4.xml · derivative · entry 2

STRAW EDWARD M · CIK 0001075380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,063

Underlying: Class A Common Stock · 3,063 shares

Expires 2031-05-24

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The options vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the options will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036234 · doc4.xml · nonDerivative · entry 1

STRAW EDWARD M · CIK 0001075380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008

F1 · shares: Grant to the Reporting Person of restricted stock units ("RSUs") under the Issuer's 2018 Omnibus Incentive Plan. The RSUs vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the RSUs will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036235 · doc4.xml · derivative · entry 2

MATHIESEN JEFFREY S · CIK 0001296853 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,063

Underlying: Class A Common Stock · 3,063 shares

Expires 2031-05-24

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The options vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the options will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036235 · doc4.xml · nonDerivative · entry 1

MATHIESEN JEFFREY S · CIK 0001296853 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 937

F1 · shares: Grant to the Reporting Person of restricted stock units ("RSUs") under the Issuer's 2018 Omnibus Incentive Plan. The RSUs vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the RSUs will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036231 · doc4.xml · derivative · entry 2

Tyler Mitch E · CIK 0001638208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,063

Underlying: Class A Common Stock · 3,063 shares

Expires 2031-05-24

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The options vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the options will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036231 · doc4.xml · nonDerivative · entry 1

Tyler Mitch E · CIK 0001638208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,638

F1 · shares: Grant to the Reporting Person of restricted stock units ("RSUs") under the Issuer's 2018 Omnibus Incentive Plan. The RSUs vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the RSUs will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036232 · doc4.xml · derivative · entry 2

Perkins Sherrie L · CIK 0001537711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,063

Underlying: Class A Common Stock · 3,063 shares

Expires 2031-05-25

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The options vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the options will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036232 · doc4.xml · nonDerivative · entry 1

Perkins Sherrie L · CIK 0001537711 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 937

F1 · shares: Grant to the Reporting Person of restricted stock units ("RSUs") under the Issuer's 2018 Omnibus Incentive Plan. The RSUs vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the RSUs will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036233 · doc4.xml · derivative · entry 6

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,063

Underlying: Class A Common Stock · 3,063 shares

Expires 2031-05-24

F6 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The options vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the options will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036233 · doc4.xml · nonDerivative · entry 1

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,508

F1 · shares: Grant to the Reporting Person of restricted stock units ("RSUs") under the Issuer's 2018 Omnibus Incentive Plan. The RSUs vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the RSUs will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036230 · doc4.xml · derivative · entry 2

Walter Blane · CIK 0001340555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,063

Underlying: Class A Common Stock · 3,063 shares

Expires 2031-05-24

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The options vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the options will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-036230 · doc4.xml · nonDerivative · entry 1

Walter Blane · CIK 0001340555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,351

F1 · shares: Grant to the Reporting Person of restricted stock units ("RSUs") under the Issuer's 2018 Omnibus Incentive Plan. The RSUs vest in a series of twelve (12) successive equal monthly installments on the last day of each month so that all of the RSUs will be vested on the one-year anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting period.

SEC source: 0001209191-21-025129 · doc4.xml · derivative · entry 3

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,490

Underlying: Class A Common Stock · 3,490 shares

Expires 2031-04-01

F3 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The shares vest in a series of four (4) successive equal annual installments beginning on April 1, 2022.

SEC source: 0001209191-21-025129 · doc4.xml · nonDerivative · entry 2

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,244

F2 · shares: Grant to the Reporting Person of Restricted Stock Units under the Issuer's 2018 Omnibus Incentive Plan. The shares will vest on October 2, 2021.

F1 · price: Grant to the Reporting Person of a stock award under the Issuer's 2018 Omnibus Incentive Plan.

SEC source: 0001209191-21-025129 · doc4.xml · nonDerivative · entry 1

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,576

F1 · price: Grant to the Reporting Person of a stock award under the Issuer's 2018 Omnibus Incentive Plan.

SEC source: 0001209191-21-007066 · doc4.xml · derivative · entry 9

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 900

Underlying: Common Stock · 900 shares

Expires 2026-02-01

F5 · derivative.exercise_date: Immediately exercisable.

F4 · ownership.nature: The shares and warrants are held by Maple Leaf Offshore Ltd. ("MLO"). The reporting person is the president of the managing member of Andreeff Equity Advisors, L.L.C., the investment manager of MLO and as such may be deemed to beneficially own the securities held by MLO. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-007066 · doc4.xml · derivative · entry 8

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,850

Underlying: Common Stock · 2,850 shares

Expires 2026-02-01

F5 · derivative.exercise_date: Immediately exercisable.

F3 · ownership.nature: The shares and warrants are held by Maple Leaf Discovery I, L.P. ("MLD I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLD I and as such may be deemed to beneficially own the securities held by MLD I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-007066 · doc4.xml · derivative · entry 7

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,450

Underlying: Common Stock · 1,450 shares

Expires 2026-02-01

F5 · derivative.exercise_date: Immediately exercisable.

F2 · ownership.nature: The shares and warrants are held by Maple Leaf Partners I, L.P. ("MLP I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLP I and as such may be deemed to beneficially own the securities held by MLP I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-007066 · doc4.xml · derivative · entry 6

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,234

Underlying: Common Stock · 3,234 shares

Expires 2026-02-01

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.nature: The shares and warrants are held by Maple Leaf Partners, L.P. ("MLP"). The reporting person is the managing member of Maple Leaf Capital I, LLC ("Maple Leaf Capital"), the general partner of MLP and as such may be deemed to beneficially own the securities owned by MLP. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-007066 · doc4.xml · nonDerivative · entry 4

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,484

F4 · ownership.nature: The shares and warrants are held by Maple Leaf Offshore Ltd. ("MLO"). The reporting person is the president of the managing member of Andreeff Equity Advisors, L.L.C., the investment manager of MLO and as such may be deemed to beneficially own the securities held by MLO. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-007066 · doc4.xml · nonDerivative · entry 3

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 29,009

F3 · ownership.nature: The shares and warrants are held by Maple Leaf Discovery I, L.P. ("MLD I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLD I and as such may be deemed to beneficially own the securities held by MLD I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-007066 · doc4.xml · nonDerivative · entry 2

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 11,498

F2 · ownership.nature: The shares and warrants are held by Maple Leaf Partners I, L.P. ("MLP I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLP I and as such may be deemed to beneficially own the securities held by MLP I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-007066 · doc4.xml · nonDerivative · entry 1

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 47,054

F1 · ownership.nature: The shares and warrants are held by Maple Leaf Partners, L.P. ("MLP"). The reporting person is the managing member of Maple Leaf Capital I, LLC ("Maple Leaf Capital"), the general partner of MLP and as such may be deemed to beneficially own the securities owned by MLP. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-055814 · doc4.xml · derivative · entry 2

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,069

Underlying: Class A Common Stock · 19,069 shares

Expires 2023-10-26

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001209191-20-055814 · doc4.xml · nonDerivative · entry 1

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,743

SEC source: 0001209191-20-055810 · doc4.xml · derivative · entry 9

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 18,681

Underlying: Class A Common Stock · 18,681 shares

Expires 2023-10-26

F5 · derivative.exercise_date: Immediately exercisable.

F4 · ownership.nature: The shares and warrants are held by Maple Leaf Offshore Ltd.. ("MLO"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLO and as such may be deemed to beneficially own the securities held by MLO. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-055810 · doc4.xml · derivative · entry 8

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 185,941

Underlying: Class A Common Stock · 185,941 shares

Expires 2023-10-26

F5 · derivative.exercise_date: Immediately exercisable.

F3 · ownership.nature: The shares and warrants are held by Maple Leaf Discovery I, L.P. ("MLD I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLD I and as such may be deemed to beneficially own the securities held by MLD I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-055810 · doc4.xml · derivative · entry 7

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 67,436

Underlying: Class A Common Stock · 67,436 shares

Expires 2023-10-26

F5 · derivative.exercise_date: Immediately exercisable.

F2 · ownership.nature: The shares and warrants are held by Maple Leaf Partners I, L.P. ("MLP I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLP I and as such may be deemed to beneficially own the securities held by MLP I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-055810 · doc4.xml · derivative · entry 6

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 319,091

Underlying: Class A Common Stock · 319,091 shares

Expires 2023-10-26

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.nature: The shares and warrants are held by Maple Leaf Partners, L.P. ("MLP"). The reporting person is the managing member of Maple Leaf Capital I, LLC ("Maple Leaf Capital"), the general partner of MLP and as such may be deemed to beneficially own the securities owned by MLP. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-055810 · doc4.xml · nonDerivative · entry 4

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 58,945

F4 · ownership.nature: The shares and warrants are held by Maple Leaf Offshore Ltd.. ("MLO"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLO and as such may be deemed to beneficially own the securities held by MLO. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-055810 · doc4.xml · nonDerivative · entry 3

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 815,842

F3 · ownership.nature: The shares and warrants are held by Maple Leaf Discovery I, L.P. ("MLD I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLD I and as such may be deemed to beneficially own the securities held by MLD I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-055810 · doc4.xml · nonDerivative · entry 2

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 300,953

F2 · ownership.nature: The shares and warrants are held by Maple Leaf Partners I, L.P. ("MLP I"). The reporting person is the managing member of Maple Leaf Capital, the general partner of MLP I and as such may be deemed to beneficially own the securities held by MLP I. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-055810 · doc4.xml · nonDerivative · entry 1

ANDREEFF DANE · CIK 0001201810 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,420,525

F1 · ownership.nature: The shares and warrants are held by Maple Leaf Partners, L.P. ("MLP"). The reporting person is the managing member of Maple Leaf Capital I, LLC ("Maple Leaf Capital"), the general partner of MLP and as such may be deemed to beneficially own the securities owned by MLP. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-054127 · doc4.xml · derivative · entry 1

Sackier Jonathan · CIK 0001638293 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Class A Common Stock · 60,000 shares

Expires 2030-10-05

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The shares vest in a series of two (2) successive equal annual installments measured from October 5, 2020, subject to the Reporting Person's continued service through each applicable vesting date.

SEC source: 0001209191-20-054124 · doc4.xml · derivative · entry 1

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Class A Common Stock · 100,000 shares

Expires 2030-10-05

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The shares vest in a series of two (2) successive equal annual installments measured from October 5, 2020, subject to the Reporting Person's continued service through each applicable vesting date.

SEC source: 0001209191-20-044399 · doc4.xml · nonDerivative · entry 1

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,605

F1 · shares: These shares are represented by fully vested restricted stock awards (the "RSAs").

F2 · price: The RSAs were issued to the Reporting Person in connection with the Reporting Person's election to participate in the Company's salary reduction program, pursuant to which the Reporting Person will receive RSAs in lieu of a percentage of the Reporting Person's cash compensation.

SEC source: 0001209191-20-042598 · doc4.xml · nonDerivative · entry 1

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,659

F1 · shares: These shares are represented by fully vested restricted stock awards (the "RSAs").

F2 · price: The RSAs were issued to the Reporting Person in connection with the Reporting Person's election to participate in the Company's salary reduction program, pursuant to which the Reporting Person will receive RSAs in lieu of a percentage of the Reporting Person's cash compensation.

SEC source: 0001209191-20-040096 · doc4.xml · nonDerivative · entry 1

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,347

F1 · shares: These shares are represented by fully vested restricted stock awards (the "RSAs").

F2 · price: The RSAs were issued to the Reporting Person in connection with the Reporting Person's election to participate in the Company's salary reduction program, pursuant to which the Reporting Person will receive RSAs in lieu of a percentage of the Reporting Person's cash compensation.

SEC source: 0001209191-20-036949 · doc4.xml · nonDerivative · entry 1

LaViscount Joyce N · CIK 0001372528 · CFO and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,918

F1 · shares: These shares are represented by fully vested restricted stock awards (the "RSAs").

F2 · price: The RSAs were issued to the Reporting Person in connection with the Reporting Person's election to participate in the Company's salary reduction program, pursuant to which the Reporting Person will receive RSAs in lieu of a percentage of the Reporting Person's cash compensation.

SEC source: 0001209191-20-036454 · doc4.xml · derivative · entry 1

STRAW EDWARD M · CIK 0001075380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,900

Underlying: Class A Common Stock · 36,697 shares

Expires 2030-06-09

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The shares vest in a series of twelve (12) successive equal monthly installments measured from June 10, 2020, subject to the Reporting Person's continued service through each applicable vesting date.

SEC source: 0001209191-20-036457 · doc4.xml · derivative · entry 1

Tyler Mitch E · CIK 0001638208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,903

Underlying: Class A Common Stock · 36,697 shares

Expires 2030-06-09

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The shares vest in a series of twelve (12) successive equal monthly installments measured from June 10, 2020, subject to the Reporting Person's continued service through each applicable vesting date.

SEC source: 0001209191-20-036349 · doc4.xml · derivative · entry 1

Walter Blane · CIK 0001340555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,862

Underlying: Class A Common Stock · 36,697 shares

Expires 2030-06-09

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The shares vest in a series of twelve (12) successive equal monthly installments measured from June 10, 2020, subject to the Reporting Person's continued service through each applicable vesting date.

SEC source: 0001209191-20-036341 · doc4.xml · derivative · entry 1

ANDREEFF DANE · CIK 0001201810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,681

Underlying: Class A Common Stock · 36,697 shares

Expires 2030-06-09

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The shares vest in a series of twelve (12) successive equal monthly installments measured from June 10, 2020, subject to the Reporting Person's continued service through each applicable vesting date.

SEC source: 0001209191-20-037012 · doc4a.xml · derivative · entry 1

STRAW EDWARD M · CIK 0001075380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,421

Underlying: Class A Common Stock · 61,218 shares

Expires 2030-06-09

F1 · shares: This Form 4/A is being filed to amend an inadvertent error in the number of stock options granted to the Reporting Person in the Form 4 previously filed on June 12, 2020. The number of stock options reported on this amendment reflect the correct number of stock options granted to and held by the Reporting Person.

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2018 Omnibus Incentive Plan. The shares vest in a series of twelve (12) successive equal monthly installments measured from June 10, 2020, subject to the Reporting Person's continued service through each applicable vesting date.

F1 · derivative.underlying_shares: This Form 4/A is being filed to amend an inadvertent error in the number of stock options granted to the Reporting Person in the Form 4 previously filed on June 12, 2020. The number of stock options reported on this amendment reflect the correct number of stock options granted to and held by the Reporting Person.

F1 · balance_after: This Form 4/A is being filed to amend an inadvertent error in the number of stock options granted to the Reporting Person in the Form 4 previously filed on June 12, 2020. The number of stock options reported on this amendment reflect the correct number of stock options granted to and held by the Reporting Person.