IMDX

SEC source: 0001493152-21-015984 · ownership.xml · nonDerivative · entry 2

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,046

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 106,221 Restricted Stock Units.

SEC source: 0001493152-21-015450 · ownership.xml · derivative · entry 2

Carter Jennifer L. · CIK 0001806505 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2022-06-24

F2 · derivative.exercise_date: The Restricted Stock Units shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015450 · ownership.xml · derivative · entry 1

Carter Jennifer L. · CIK 0001806505 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-06-23

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015449 · ownership.xml · derivative · entry 2

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2022-06-24

F2 · derivative.exercise_date: The Restricted Stock Units shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015449 · ownership.xml · derivative · entry 1

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-06-23

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015446 · ownership.xml · derivative · entry 2

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2022-06-24

F2 · derivative.exercise_date: The Restricted Stock Units shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015446 · ownership.xml · derivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-06-23

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015451 · ownership.xml · derivative · entry 2

Redmond Cavan M. · CIK 0001420120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2022-06-24

F2 · derivative.exercise_date: The Restricted Stock Units shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015451 · ownership.xml · derivative · entry 1

Redmond Cavan M. · CIK 0001420120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-06-23

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015448 · ownership.xml · derivative · entry 2

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2022-06-24

F2 · derivative.exercise_date: The Restricted Stock Units shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015448 · ownership.xml · derivative · entry 1

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-06-23

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or,if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015447 · ownership.xml · derivative · entry 2

GRIFFITH MELINDA · CIK 0001783697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2022-06-24

F2 · derivative.exercise_date: The Restricted Stock Units shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-015447 · ownership.xml · derivative · entry 1

GRIFFITH MELINDA · CIK 0001783697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-06-23

F1 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the director's continued service as a director of the Company from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.

SEC source: 0001493152-21-025423 · ownership.xml · derivative · entry 1

Yu Li · CIK 0001777275 · VP Cntrllr/Prncpl Acctng Offcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2031-05-18

F1 · date: This option award was granted on May 18, 2021, but such award was subject to shareholder approval of an increase in the number of shares available for issuance under the Oncocyte 2018 Equity Incentive Plan. Such shareholder approval was received on June 24, 2021.

F2 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous employment from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continued employment on the applicable vesting date.

SEC source: 0001493152-21-014342 · ownership.xml · derivative · entry 2

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,993 shares

Expires 2024-02-01

SEC source: 0001493152-21-014342 · ownership.xml · nonDerivative · entry 1

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,170

SEC source: 0001493152-21-015984 · ownership.xml · derivative · entry 3

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 106,221 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Restricted Stock Units vested on May 7, 2021.

F2 · derivative.expiration_date: Restricted Stock Units vested on May 7, 2021.

SEC source: 0001493152-21-015984 · ownership.xml · nonDerivative · entry 1

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,919

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

SEC source: 0001493152-21-010271 · ownership.xml · derivative · entry 3

Levine Mitchell S · CIK 0001383492 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 20,000 shares

Expires not disclosed

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

F2 · derivative.exercise_date: Restricted Stock Units vested on April 28, 2021.

F2 · derivative.expiration_date: Restricted Stock Units vested on April 28, 2021.

SEC source: 0001493152-21-010271 · ownership.xml · nonDerivative · entry 2

Levine Mitchell S · CIK 0001383492 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,080

F1 · kind: Securities withheld for tax purposes exempt under Rule 16(b)-3 in connection with the vesting of 20,000 Restricted Stock Units, the grant of which was previously reported on a Form 4.

SEC source: 0001493152-21-010271 · ownership.xml · nonDerivative · entry 1

Levine Mitchell S · CIK 0001383492 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,700

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

SEC source: 0001493152-21-006546 · ownership.xml · nonDerivative · entry 1

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,698

F1 · price: The shares were purchased at various prices ranging from $4.76 to $4.81.

SEC source: 0001493152-21-005097 · ownership.xml · derivative · entry 1

Ross Douglas T. · CIK 0001808413 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 255,000 shares

Expires 2031-02-24

F1 · derivative.exercise_date: Vesting: Twenty-five percent of the options will vest and thereby become exercisable upon completion of one year of service from the date of grant, and the balance of the options will vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, subject to his continued service as an employee on the applicable vesting date.

SEC source: 0001493152-21-005107 · ownership.xml · derivative · entry 1

Sundar Padmavathi · CIK 0001778709 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 255,000 shares

Expires 2031-02-24

F1 · derivative.exercise_date: Vesting: Twenty-five percent of the options will vest and thereby become exercisable upon completion of one year of service from the date of grant, and the balance of the options will vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, subject to her continued service as an employee on the applicable vesting date.

SEC source: 0001493152-21-005098 · ownership.xml · derivative · entry 1

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-02-24

F1 · derivative.exercise_date: Vesting: Twenty-five percent of the options will vest and thereby become exercisable upon completion of one year of service from the date of grant, and the balance of the options will vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, subject to his continued service as an employee on the applicable vesting date.

SEC source: 0001493152-21-005103 · ownership.xml · derivative · entry 1

Levine Mitchell S · CIK 0001383492 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 255,000 shares

Expires 2031-02-24

F1 · derivative.exercise_date: Vesting: Twenty-five percent of the options will vest and thereby become exercisable upon completion of one year of service from the date of grant, and the balance of the options will vest in 36 equal monthly installments commencing on the first anniversary of the date of grant, subject to his continued service as an employee on the applicable vesting date.

SEC source: 0000919574-21-000794 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 16,776,484

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-000794 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,776,484

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-000460 · ownership.xml · nonDerivative · entry 2

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 16,176,484

F1 · ownership.nature: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-000460 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,176,484

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. and may be deemed beneficially owned by Broadwood Capital, Inc. as General Partner of Broadwood Partners, L.P. and Neal C. Bradsher as President of Broadwood Capital, Inc. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-20-024410 · ownership.xml · derivative · entry 7

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,271 shares

Expires 2020-12-28

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

F3 · derivative.exercise_date: The options vested and became exercisable in equal quarterly installments on the last day of each calendar quarter over a four-year period from the date of grant on December 29, 2010.

SEC source: 0001493152-20-024410 · ownership.xml · nonDerivative · entry 3

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,111

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

SEC source: 0001493152-20-024410 · ownership.xml · derivative · entry 6

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,271

Underlying: Common Stock · 1,237 shares

Expires 2020-12-28

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

F3 · derivative.exercise_date: The options vested and became exercisable in equal quarterly installments on the last day of each calendar quarter over a four-year period from the date of grant on December 29, 2010.

SEC source: 0001493152-20-024410 · ownership.xml · nonDerivative · entry 2

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,840

SEC source: 0001493152-20-024410 · ownership.xml · nonDerivative · entry 1

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,740

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

SEC source: 0001493152-20-024283 · ownership.xml · derivative · entry 9

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,508

Underlying: Common Stock · 10,516 shares

Expires 2020-12-28

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

F5 · derivative.exercise_date: The options vested and became exercisable in equal quarterly installments on the last day of each calendar quarter over a four-year period from the date of grant on December 29, 2010.

SEC source: 0001493152-20-024283 · ownership.xml · nonDerivative · entry 5

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,503

F2 · price: Shares sold at price ranging from $2.54 - $2.55.

SEC source: 0001493152-20-024283 · ownership.xml · nonDerivative · entry 4

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,155

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

SEC source: 0001493152-20-024283 · ownership.xml · derivative · entry 8

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,024

Underlying: Common Stock · 47,976 shares

Expires 2020-12-28

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

F5 · derivative.exercise_date: The options vested and became exercisable in equal quarterly installments on the last day of each calendar quarter over a four-year period from the date of grant on December 29, 2010.

SEC source: 0001493152-20-024283 · ownership.xml · nonDerivative · entry 3

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,639

SEC source: 0001493152-20-024283 · ownership.xml · nonDerivative · entry 2

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,787

F1 · price: Shares sold at price ranging from $2.50 - $2.54.

SEC source: 0001493152-20-024283 · ownership.xml · nonDerivative · entry 1

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,787

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

SEC source: 0001493152-20-023593 · ownership.xml · nonDerivative · entry 1

Ross Douglas T. · CIK 0001808413 · CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,317

F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share.

SEC source: 0001493152-20-023595 · ownership.xml · nonDerivative · entry 1

Sundar Padmavathi · CIK 0001778709 · SVP, Marketing & Market Access

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,177

F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share.

SEC source: 0001493152-20-023590 · ownership.xml · nonDerivative · entry 1

Parker Albert P · CIK 0001750079 · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,586

F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share.

SEC source: 0001493152-20-023601 · ownership.xml · nonDerivative · entry 1

HESTERBERG LYNDAL K. · CIK 0001689836 · CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,477

F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share.

SEC source: 0001493152-20-023597 · ownership.xml · nonDerivative · entry 1

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,177

F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share.

SEC source: 0001493152-20-023599 · ownership.xml · nonDerivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,049

F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share.

SEC source: 0001493152-20-023588 · ownership.xml · nonDerivative · entry 1

Redmond Cavan M. · CIK 0001420120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,863

F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share.

SEC source: 0001493152-20-023586 · ownership.xml · nonDerivative · entry 1

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 302,811

F1 · price: The shares of the Issuer's common stock were issued to the Reporting Person for the repayment of deferred compensation in lieu of cash at a price of $2.07 per share.