INVE

SEC source: 0000899243-20-026632 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,178

SEC source: 0000899243-20-026632 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,680

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation vesting 100% on the date of grant.

SEC source: 0000899243-20-023720 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,760

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan for services rendered as part of his Strategy and Oversight role. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2023 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 37,729 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-023718 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,339

SEC source: 0000899243-20-023718 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,969

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation vesting 100% on the date of grant.

SEC source: 0000899243-20-023138 · doc4.xml · nonDerivative · entry 1

Shapiro Nina B. · CIK 0001678757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,747

F1 · price: Represents weighted average sale price. Actual sale prices ranged from $5.11 to $5.19. Reporting person undertakes to provide upon request by the Securities and Exchange Commission, the issuer or a securityholder of the issuer detailed information regarding the price and number of shares sold within the range indicated

F2 · balance_after: Includes an aggregate of 33,013 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-022719 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,040

F1 · balance_after: Includes an aggregate of 51,563 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

SEC source: 0000899243-20-021683 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,254

SEC source: 0000899243-20-021683 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,009

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation vesting 100% on the date of grant.

SEC source: 0000899243-20-021682 · doc4.xml · nonDerivative · entry 2

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,985

F2 · balance_after: Includes an aggregate of 57,188 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

SEC source: 0000899243-20-021682 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,201

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation vesting 100% on the date of grant.

F2 · balance_after: Includes an aggregate of 57,188 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

SEC source: 0000899243-20-020940 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,728

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan for services rendered as part of his Strategy and Oversight role. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2023 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 41,502 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-020938 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,822

SEC source: 0000899243-20-020938 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,486

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan in lieu of salary. The award is fully vested on the date of grant.

SEC source: 0000899243-20-021195 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,575

F1 · balance_after: Includes an aggregate of 57,188 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

SEC source: 0000899243-20-018294 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,683

F1 · balance_after: Includes an aggregate of 57,500 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

SEC source: 0000899243-20-018029 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,646

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan for services rendered as part of his Strategy and Oversight role. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2023 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 45,274 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-018272 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,545

SEC source: 0000899243-20-018272 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,253

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan in lieu of salary. The award is fully vested on the date of grant.

SEC source: 0000899243-20-017686 · doc4.xml · nonDerivative · entry 1

OUSLEY JAMES E · CIK 0001200933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,856

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2020. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service.

SEC source: 0000899243-20-017684 · doc4.xml · nonDerivative · entry 1

Braun Robin R. · CIK 0001778883 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,453

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2020. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service.

SEC source: 0000899243-20-017682 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,535

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2020. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service.

SEC source: 0000899243-20-017678 · doc4.xml · nonDerivative · entry 1

Shapiro Nina B. · CIK 0001678757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,747

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan vesting 1/12th monthly beginning the vesting commencement date of June 1, 2020. Vested shares will be delivered to the reporting person on the earlier of (i) three years from the initial vesting start date of the award or (ii) the separation of service.

SEC source: 0000899243-20-014952 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,179

SEC source: 0000899243-20-014952 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,986

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan in lieu of salary. The award is fully vested on the date of grant.

SEC source: 0000899243-20-014921 · doc4.xml · nonDerivative · entry 1

Shapiro Nina B. · CIK 0001678757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,132

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 1,143 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-014920 · doc4.xml · nonDerivative · entry 1

OUSLEY JAMES E · CIK 0001200933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,263

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 1,633 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-014917 · doc4.xml · nonDerivative · entry 2

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,261

F2 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan for services rendered as part of his Strategy and Oversight role. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F3 · balance_after: Includes an aggregate of 1,306 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-014917 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,837

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F3 · balance_after: Includes an aggregate of 1,306 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-014919 · doc4.xml · nonDerivative · entry 1

Braun Robin R. · CIK 0001778883 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,253

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 1,102 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-013382 · doc4.xml · nonDerivative · entry 2

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,548

F1 · balance_after: Includes an aggregate of 60,000 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

SEC source: 0001781002-20-000031 · primary_doc.xml · derivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires not disclosed

F1 · security: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · derivative.exercise_price: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · kind: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · shares: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · price: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · derivative.exercise_date: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · derivative.expiration_date: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · derivative.underlying_shares: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · balance_after: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns warrants to acquire 192,500 shares and 21 April Fund, LP owns warrants to acquire 82,500 shares respectively of these 275,000 shares reported in this form.

SEC source: 0000899243-20-011932 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,443

F1 · balance_after: Includes an aggregate of 65,625 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

SEC source: 0000899243-20-013382 · doc4.xml · nonDerivative · entry 1

Wallach Sandra · CIK 0001698362 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,443

F2 · balance_after: These amounts were incorrect in the original Form 4 file by the reporting person.

SEC source: 0000899243-20-011931 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,880

SEC source: 0000899243-20-011931 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,274

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan in lieu of salary. The award is fully vested on the date of grant.

SEC source: 0000899243-20-011930 · doc4.xml · nonDerivative · entry 1

OUSLEY JAMES E · CIK 0001200933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,862

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 3,265 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-011927 · doc4.xml · nonDerivative · entry 2

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,916

F2 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan for services rendered as part of his Strategy and Oversight role. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F3 · balance_after: Includes an aggregate of 2,612 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-011927 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,731

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F3 · balance_after: Includes an aggregate of 2,612 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-011926 · doc4.xml · nonDerivative · entry 1

Shapiro Nina B. · CIK 0001678757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,452

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 2,285 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-011925 · doc4.xml · nonDerivative · entry 1

Braun Robin R. · CIK 0001778883 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,632

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 2,204 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-009928 · doc4.xml · nonDerivative · entry 1

Braun Robin R. · CIK 0001778883 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,739

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 3,305 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-009926 · doc4.xml · nonDerivative · entry 1

KREMEN GARY · CIK 0001600778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,487

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 3,917 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-009925 · doc4.xml · nonDerivative · entry 1

Shapiro Nina B. · CIK 0001678757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,489

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 3,428 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-009921 · doc4.xml · nonDerivative · entry 1

OUSLEY JAMES E · CIK 0001200933 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,057

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan. The award is fully vested on the date of grant. Vested shares will be delivered to the reporting person on the earlier of (i) June 1, 2022 or (ii) the separation of service.

F2 · balance_after: Includes an aggregate of 4,897 shares of common stock issuable pursuant to Restricted Stock Unit awards that have not vested.

SEC source: 0000899243-20-009887 · doc4.xml · nonDerivative · entry 2

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,971

SEC source: 0000899243-20-009887 · doc4.xml · nonDerivative · entry 1

HUMPHREYS STEVEN · CIK 0001229295 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,603

F1 · shares: Restricted Stock Units granted pursuant to Issuer's 2011 Incentive Compensation Plan in lieu of salary. The award is fully vested on the date of grant.

SEC source: 0001781002-20-000028 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,196,389

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 03/16/2020, prices ranged from $2.495 to $2.56 per share, inclusive. On 03/17/2020, prices ranged from $2.53 to $2.55 per share, inclusive. On 03/18/2020, prices ranged from $2.245 to $2.39 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,561,404 shares and 21 April Fund, LP owns 439,985 shares respectively of these 2,196,389.00 shares reported in this form.

SEC source: 0001781002-20-000028 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,162,323

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 03/16/2020, prices ranged from $2.495 to $2.56 per share, inclusive. On 03/17/2020, prices ranged from $2.53 to $2.55 per share, inclusive. On 03/18/2020, prices ranged from $2.245 to $2.39 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,561,404 shares and 21 April Fund, LP owns 439,985 shares respectively of these 2,196,389.00 shares reported in this form.

SEC source: 0001781002-20-000028 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,143,989

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 03/16/2020, prices ranged from $2.495 to $2.56 per share, inclusive. On 03/17/2020, prices ranged from $2.53 to $2.55 per share, inclusive. On 03/18/2020, prices ranged from $2.245 to $2.39 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,561,404 shares and 21 April Fund, LP owns 439,985 shares respectively of these 2,196,389.00 shares reported in this form.