IRD

SEC source: 0001140361-23-029021 · form4.xml · nonDerivative · entry 1

Benton Susan · CIK 0001373649 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,462

F1 · shares: Represents a grant of restricted stock units which vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-23-029020 · form4.xml · derivative · entry 2

Gallagher Cam · CIK 0001557832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,639

Underlying: Common Stock · 9,639 shares

Expires 2033-06-05

F2 · derivative.exercise_date: Will vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-23-029020 · form4.xml · nonDerivative · entry 1

Gallagher Cam · CIK 0001557832 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,904

F1 · shares: Represents a grant of restricted stock units which vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-23-020662 · form4.xml · derivative · entry 2

Patel Ronil A. · CIK 0001974660 · SVP, Operations & Bus. Dev.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-04-23

F2 · derivative.exercise_date: The option will vest with respect to 7,500 shares on April 24, 2024, with the balance vesting quarterly in twelve equal installments thereafter.

SEC source: 0001140361-23-020662 · form4.xml · nonDerivative · entry 1

Patel Ronil A. · CIK 0001974660 · SVP, Operations & Bus. Dev.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,304

F1 · shares: Represents a grant of restricted stock units which vest in four equal installments on the first, second, third and fourth anniversary of the grant date of April 24, 2023.

SEC source: 0001140361-23-019674 · form4.xml · nonDerivative · entry 1

Pepose Jay · CIK 0001866191 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,375

F1 · price: The Reporting Person was granted shares of common stock in lieu of incremental cash amounts for board services for 2023. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $4.27 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to April 19, 2023.

SEC source: 0001140361-23-019677 · form4.xml · nonDerivative · entry 1

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,828

F1 · price: The Reporting Person was granted shares of common stock in lieu of incremental cash amounts for board services for 2023. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $4.27 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to April 19, 2023.

SEC source: 0001140361-23-019676 · form4.xml · nonDerivative · entry 1

Benton Susan · CIK 0001373649 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,486

F1 · price: The Reporting Person was granted shares of common stock in lieu of incremental cash amounts for board services for 2023. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $4.27 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to April 19, 2023.

SEC source: 0001140361-23-019675 · form4.xml · nonDerivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director · Interim CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 138,246

F1 · shares: Represents a grant of restricted stock units, which vest on the one-year anniversary of the date of grant.

SEC source: 0001140361-23-001516 · form4.xml · nonDerivative · entry 1

Pepose Jay · CIK 0001866191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,907

F1 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for 2023. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $3.07 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to January 11, 2023.

SEC source: 0001140361-23-001517 · form4.xml · nonDerivative · entry 1

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,009

F1 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for 2023. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $3.07 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to January 11, 2023.

SEC source: 0001140361-23-001514 · form4.xml · nonDerivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,246

F1 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for 2023. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $3.07 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to January 11, 2023.

SEC source: 0001140361-23-001504 · form4.xml · nonDerivative · entry 1

Benton Susan · CIK 0001373649 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,433

F1 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for 2023. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $3.07 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to January 11, 2023.

SEC source: 0001140361-23-001516 · form4.xml · derivative · entry 2

Pepose Jay · CIK 0001866191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,291

Underlying: Common Stock · 33,291 shares

Expires 2033-01-09

F2 · derivative.exercise_date: The option will vest with respect to 8,322 shares on January 10, 2024, with the balance vesting quarterly in twelve equal installments thereafter.

SEC source: 0001140361-23-001520 · form4.xml · derivative · entry 3

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,683

Underlying: Common Stock · 201,683 shares

Expires 2033-01-09

F2 · derivative.exercise_date: The option will vest with respect to 50,420 shares on January 10, 2024, with the balance vesting quarterly in twelve equal installments thereafter.

SEC source: 0001140361-23-001520 · form4.xml · nonDerivative · entry 1

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,501

F1 · shares: Represents a grant of restricted stock units which vest in four equal installments on the first, second, third and fourth anniversary of the grant date of January 10, 2023.

SEC source: 0001140361-23-001513 · form4.xml · derivative · entry 2

Hoffmann Bernhard · CIK 0001830354 · SVP of Corp. Dev. & Ops & Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,912

Underlying: Common Stock · 69,912 shares

Expires 2033-01-09

F2 · derivative.exercise_date: The option will vest with respect to 17,478 shares on January 10, 2024, with the balance vesting quarterly in twelve equal installments thereafter.

SEC source: 0001140361-23-001513 · form4.xml · nonDerivative · entry 1

Hoffmann Bernhard · CIK 0001830354 · SVP of Corp. Dev. & Ops & Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,728

F1 · shares: Represents a grant of restricted stock units which vest in four equal installments on the first, second, third and fourth anniversary of the grant date of January 10, 2023.

SEC source: 0001140361-23-001508 · form4.xml · derivative · entry 2

Zaremba Rabourn Amy · CIK 0001832343 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,912

Underlying: Common Stock · 69,912 shares

Expires 2033-01-09

F2 · derivative.exercise_date: The option will vest with respect to 17,478 shares on January 10, 2024, with the balance vesting quarterly in twelve equal installments thereafter.

SEC source: 0001140361-23-001508 · form4.xml · nonDerivative · entry 1

Zaremba Rabourn Amy · CIK 0001832343 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,608

F1 · shares: Represents a grant of restricted stock units which vest in four equal installments on the first, second, third and fourth anniversary of the grant date of January 10, 2023.

SEC source: 0001140361-23-000746 · form4.xml · derivative · entry 2

Gallagher Cam · CIK 0001557832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,574 shares

Expires 2023-01-05

F1 · derivative.expiration_date: The expiration date of the Series B Warrants occurred on the later of (x) the Reservation Date (as defined in the Series B Warrants) and (y) the date on which the Series B Warrants has been exercised in full.

SEC source: 0001140361-23-000746 · form4.xml · nonDerivative · entry 1

Gallagher Cam · CIK 0001557832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,928

SEC source: 0001140361-23-006840 · form5.xml · nonDerivative · entry 3

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Daughter

Disclosed balance after: 50,000

SEC source: 0001140361-23-006840 · form5.xml · nonDerivative · entry 2

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,045

SEC source: 0001140361-23-006838 · form5.xml · nonDerivative · entry 1

Ainsworth Sean · CIK 0001830296 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,239

SEC source: 0001140361-23-006840 · form5.xml · nonDerivative · entry 1

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,045

SEC source: 0001140361-22-037954 · form4.xml · derivative · entry 2

Ainsworth Sean · CIK 0001830296 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,574 shares

Expires 2022-10-20

F1 · derivative.expiration_date: The expiration date of the Series B Warrants occurred on the later of (x) the Reservation Date (as defined in the Series B Warrants) and (y) the date on which the Series B Warrants were exercised in full.

SEC source: 0001140361-22-037954 · form4.xml · nonDerivative · entry 1

Ainsworth Sean · CIK 0001830296 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,239

SEC source: 0001140361-22-036952 · form4.xml · derivative · entry 2

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 787 shares

Expires 2022-10-12

F1 · derivative.expiration_date: The expiration date of the Series B Warrants occurred on the later of (x) the Reservation Date (as defined in the Series B Warrants) and (y) the date on which the Series B Warrants were exercised in full.

SEC source: 0001140361-22-036952 · form4.xml · nonDerivative · entry 1

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,465

SEC source: 0001140361-22-035953 · form4.xml · derivative · entry 2

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,148 shares

Expires 2022-10-04

F1 · derivative.expiration_date: The expiration date of the Series B Warrants occurred on the later of (x) the Reservation Date (as defined in the Series B Warrants) and (y) the date on which the Series B Warrant has been exercised in full.

SEC source: 0001140361-22-035953 · form4.xml · nonDerivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,424

SEC source: 0001140361-22-032758 · form4.xml · derivative · entry 2

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,023 shares

Expires 2022-09-07

F1 · derivative.expiration_date: The expiration date of the Series B Warrants occurred on the later of (x) the Reservation Date (as defined in the Series B Warrants) and (y) the date on which the Series B Warrant has been exercised in full.

SEC source: 0001140361-22-032758 · form4.xml · nonDerivative · entry 1

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,045

SEC source: 0001140361-22-025282 · form4.xml · nonDerivative · entry 1

Pepose Jay · CIK 0001866191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,894

F1 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for the second half of 2022. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $2.02 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to July 1, 2022.

SEC source: 0001140361-22-025284 · form4.xml · nonDerivative · entry 1

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,678

F1 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for the second half of 2022. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $2.02 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to July 1, 2022.

SEC source: 0001140361-22-025289 · form4.xml · nonDerivative · entry 2

Benton Susan · CIK 0001373649 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,166

F2 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for the second half of 2022. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $2.02 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to July 1, 2022.

SEC source: 0001140361-22-025289 · form4.xml · nonDerivative · entry 1

Benton Susan · CIK 0001373649 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,790

F1 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for the second quarter of 2022. The number of shares of common stock was determined by dividing (A) the aggregate amount of the retainer paid for board services for such fiscal quarter, by (B) the fair market value of the common stock on the last day of the fiscal quarter (rounded down to the nearest whole share). The fair market value was $1.92 per share, the closing price of the common stock on June 30, 2022.

SEC source: 0001140361-22-025286 · form4.xml · nonDerivative · entry 2

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,276

F2 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for the second half of 2022. The number of shares was determined by dividing (A) the aggregate amount of the retainer to be earned for board services for such period, by (B) the average fair market value of a share of common stock for the 30 consecutive trading days ending on and including the last trading day prior to the grant date (rounded down to the nearest whole share). The average fair market value was $2.02 per share, the average of the closing price of the common stock for the 30 consecutive trading days prior to July 1, 2022.

SEC source: 0001140361-22-025286 · form4.xml · nonDerivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,435

F1 · price: The Reporting Person was granted shares of common stock in lieu of cash for board services for the second quarter of 2022. The number of shares of common stock was determined by dividing (A) the aggregate amount of the retainer paid for board services for such fiscal quarter, by (B) the fair market value of the common stock on the last day of the fiscal quarter (rounded down to the nearest whole share). The fair market value was $1.92 per share, the closing price of the common stock on June 30, 2022.

SEC source: 0001140361-22-023048 · form4.xml · derivative · entry 1

Pepose Jay · CIK 0001866191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-12

F1 · derivative.exercise_date: Will vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-22-023050 · form4.xml · derivative · entry 1

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-12

F1 · derivative.exercise_date: Will vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-22-023052 · form4.xml · derivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-12

F1 · derivative.exercise_date: Will vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-22-023051 · form4.xml · derivative · entry 1

Gallagher Cam · CIK 0001557832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-12

F1 · derivative.exercise_date: Will vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-22-023049 · form4.xml · derivative · entry 1

Benton Susan · CIK 0001373649 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-12

F1 · derivative.exercise_date: Will vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-22-023047 · form4.xml · derivative · entry 1

Ainsworth Sean · CIK 0001830296 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-12

F1 · derivative.exercise_date: Will vest upon the earlier of the one (1) year anniversary of the grant date or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to the Reporting Person's continuing service through the vesting date.

SEC source: 0001140361-22-020274 · form4.xml · nonDerivative · entry 2

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,022

F2 · price: The price represents the weighted average price of the multiple transactions reported on this line. The shares were purchased at prices ranging from $2.015 to $2.025. Upon request by the SEC staff, the issuer or any securityholder of the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001140361-22-020364 · form4.xml · nonDerivative · entry 1

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,570

SEC source: 0001140361-22-020274 · form4.xml · nonDerivative · entry 1

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,522

F1 · price: The price represents the weighted average price of the multiple transactions reported on this line. The shares were purchased at prices ranging from $2.045 to $2.10. Upon request by the SEC staff, the issuer or any securityholder of the issuer, the reporting person will provide full information regarding the number of shares purchased at each separate price.

SEC source: 0001140361-22-014327 · form4.xml · derivative · entry 1

Pepose Jay · CIK 0001866191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-04-07

F1 · derivative.exercise_date: The option will vest with respect to 12,500 shares on March 31, 2023, and then with respect to 1,041 shares on the last day of each month from April 2023 through February 2026 and with respect to 1,065 shares at the end of March 2026, subject to the Reporting Person's continuing service through each applicable vesting date.