JAGX

SEC source: 0001104659-19-042090 · a4.xml · derivative · entry 1

MacNaughtan Murray David · CIK 0001744661 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,573

Underlying: Common Stock · 121,573 shares

Expires 2022-07-24

F1 · security: Granted pursuant to the issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on July 19, 2019, subject to James J. Bochnowski, the chairman of the board of directors, and Karen S. Wright, the Chief Financial Officer of the issuer, determining the exact number of option shares to be granted per option based on the issuer's fully diluted shares outstanding following the issuer's underwritten public offering that closed on July 23, 2019. Mr. Bochnowski and Ms. Wright certified the exact number of option shares to be granted on July 24, 2019, such that the effective date of the option grant was July 24, 2019.

F3 · derivative.exercise_date: Vests in equal monthly installments beginning on July 24, 2019, with one month of options, or 3,377 options, vested as of the grant date based on the reporting person's number of years of service on the issuer's board of directors, such that the grant is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-19-042088 · a4.xml · derivative · entry 1

DIVIS GREG J · CIK 0001410677 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,573

Underlying: Common Stock · 121,573 shares

Expires 2022-07-24

F1 · security: Granted pursuant to the issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on July 19, 2019, subject to James J. Bochnowski, the chairman of the board of directors, and Karen S. Wright, the Chief Financial Officer of the issuer, determining the exact number of option shares to be granted per option based on the issuer's fully diluted shares outstanding following the issuer's underwritten public offering that closed on July 23, 2019. Mr. Bochnowski and Ms. Wright certified the exact number of option shares to be granted on July 24, 2019, such that the effective date of the option grant was July 24, 2019.

F3 · derivative.exercise_date: Vests in equal monthly installments beginning on July 24, 2019, with one month of options, or 3,377 options, vested as of the grant date based on the reporting person's number of years of service on the issuer's board of directors, such that the grant is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-19-042082 · a4.xml · derivative · entry 1

Wright Karen Steil · CIK 0001310280 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,932

Underlying: Common Stock · 303,932 shares

Expires 2022-07-24

F1 · security: Granted pursuant to the issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on July 19, 2019, subject to James J. Bochnowski, the chairman of the board of directors, and the reporting person, in her capacity as the Chief Financial Officer of the issuer, determining the exact number of option shares to be granted per option based on the issuer's fully diluted shares outstanding following the issuer's underwritten public offering that closed on July 23, 2019. Mr. Bochnowski and the reporting person certified the exact number of option shares to be granted on July 24, 2019, such that the effective date of the option grant was July 24, 2019.

F3 · derivative.exercise_date: Vests in equal monthly installments beginning on July 24, 2019, with four months of options, or 33,770 options, vested as of the grant date based on the reporting person's number of years of employment with the issuer, such that the grant is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-19-042092 · a4.xml · derivative · entry 1

MICEK JOHN · CIK 0001243187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,573

Underlying: Common Stock · 121,573 shares

Expires 2022-07-24

F1 · security: Granted pursuant to the issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on July 19, 2019, subject to James J. Bochnowski, the chairman of the board of directors, and Karen S. Wright, the Chief Financial Officer of the issuer, determining the exact number of option shares to be granted per option based on the issuer's fully diluted shares outstanding following the issuer's underwritten public offering that closed on July 23, 2019. Mr. Bochnowski and Ms. Wright certified the exact number of option shares to be granted on July 24, 2019, such that the effective date of the option grant was July 24, 2019.

F3 · derivative.exercise_date: Vests in equal monthly installments beginning on July 24, 2019, with three months of options, or 10,131 options, vested as of the grant date based on the reporting person's number of years of service on the issuer's board of directors, such that the grant is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-19-042085 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 347,351

Underlying: Common Stock · 347,351 shares

Expires 2022-07-24

F1 · security: Granted pursuant to the issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on July 19, 2019, subject to James J. Bochnowski, the chairman of the board of directors, and Karen S. Wright, the Chief Financial Officer of the issuer, determining the exact number of option shares to be granted per option based on the issuer's fully diluted shares outstanding following the issuer's underwritten public offering that closed on July 23, 2019. Mr. Bochnowski and Ms. Wright certified the exact number of option shares to be granted on July 24, 2019, such that the effective date of the option grant was July 24, 2019.

F3 · derivative.exercise_date: Vests in equal monthly installments beginning on July 24, 2019, with five months of options, or 48,243 options, vested as of the grant date based on the reporting person's number of years of employment with the issuer, such that the grant is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-19-042089 · a4.xml · derivative · entry 1

JOHNSON JEFFERY C. · CIK 0001735383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,573

Underlying: Common Stock · 121,573 shares

Expires 2022-07-24

F1 · security: Granted pursuant to the issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on July 19, 2019, subject to James J. Bochnowski, the chairman of the board of directors, and Karen S. Wright, the Chief Financial Officer of the issuer, determining the exact number of option shares to be granted per option based on the issuer's fully diluted shares outstanding following the issuer's underwritten public offering that closed on July 23, 2019. Mr. Bochnowski and Ms. Wright certified the exact number of option shares to be granted on July 24, 2019, such that the effective date of the option grant was July 24, 2019.

F3 · derivative.exercise_date: Vests in equal monthly installments beginning on July 24, 2019, with one month of options, or 3,377 options, vested as of the grant date based on the reporting person's number of years of service on the issuer's board of directors, such that the grant is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-19-041840 · a4.xml · derivative · entry 4

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 180,582

Underlying: Common Stock · 180,582 shares

Expires 2024-07-23

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F4 · derivative.expiration_date: The bridge warrant was issued pursuant to a purchase agreement dated April 11, 2019. The actual issuance of the bridge warrant was subject to shareholder approval, which was obtained on May 24, 2019, and is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of the purchase agreement unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16.

SEC source: 0001104659-19-041840 · a4.xml · derivative · entry 3

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 180,582

Underlying: Common Stock · 180,582 shares

Expires 2024-07-23

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F4 · derivative.expiration_date: The bridge warrant was issued pursuant to a purchase agreement dated April 11, 2019. The actual issuance of the bridge warrant was subject to shareholder approval, which was obtained on May 24, 2019, and is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of the purchase agreement unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16.

SEC source: 0001104659-19-041840 · a4.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 181,618

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F2 · balance_after: On June 7, 2019, the issuer effected a 70-to-1 reverse stock split of the issued and outstanding shares of its voting common stock. Upon effectiveness of the reverse stock split, every 70 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16.

SEC source: 0001104659-19-041841 · a4.xml · derivative · entry 4

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,705

Underlying: Common Stock · 12,705 shares

Expires 2024-07-23

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F4 · derivative.expiration_date: The bridge warrant is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of issuance, unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001104659-19-041841 · a4.xml · derivative · entry 3

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 12,705

Underlying: Common Stock · 12,705 shares

Expires 2024-07-23

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F4 · derivative.expiration_date: The bridge warrant is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of issuance, unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001104659-19-041841 · a4.xml · nonDerivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,276

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F2 · balance_after: On June 7, 2019, the issuer effected a 70-to-1 reverse stock split of the issued and outstanding shares of its voting common stock. Upon effectiveness of the reverse stock split, every 70 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001104659-19-041839 · a4.xml · derivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2024-06-07

F2 · price: The reporting person purchased a 12% promissory notes and received a bridge warrant in connection therewith, which was exercisable for a number of shares of voting common stock equal to 75% of the principal amount of the promissory note divided by the exercise price of $2.00.

F1 · derivative.expiration_date: The bridge warrant was issued pursuant to a purchase agreement dated June 7, 2019, but the exercise price was not determinable until the closing of the issuer's underwritten public offering on July 23, 2019. The bridge warrant is exercisable upon the consummation of such underwritten public offering for a period of five years from the date of issuance, unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The exercise price for the bridge warrant is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering.

SEC source: 0001104659-19-041841 · a4.xml · derivative · entry 2

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 34,375

Underlying: Common Stock · 34,375 shares

Expires 2024-05-31

F5 · price: The reporting person purchased two 12% promissory notes and received bridge warrants in connection therewith, which were exercisable for a number of shares of voting common stock equal to 125% of the principal amount of the first promissory note and 75% of the principal amount of the second promissory note, respectively, in each case divided by the exercise price of $2.00.

F4 · derivative.expiration_date: The bridge warrant is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of issuance, unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001104659-19-041840 · a4.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 218,750

Underlying: Common Stock · 218,750 shares

Expires 2024-04-11

F4 · date: The bridge warrant was issued pursuant to a purchase agreement dated April 11, 2019. The actual issuance of the bridge warrant was subject to shareholder approval, which was obtained on May 24, 2019, and is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of the purchase agreement unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F5 · price: The reporting person purchased a 12% promissory note and received a bridge warrant in connection therewith, which was exercisable for a number of shares of voting common stock equal to 125% of the principal amount of the promissory note divided by the exercise price of $2.00.

F4 · derivative.expiration_date: The bridge warrant was issued pursuant to a purchase agreement dated April 11, 2019. The actual issuance of the bridge warrant was subject to shareholder approval, which was obtained on May 24, 2019, and is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of the purchase agreement unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16.

SEC source: 0001104659-19-015306 · a4.xml · derivative · entry 2

Sagard Capital Partners, L.P. · CIK 0001423385 · 10% owner

Sagard Capital Partners GP, Inc. · CIK 0001423388 · 10% owner

Sagard Capital Partners Management Corp · CIK 0001423386 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,524,926

Underlying: Voting Common Stock · 33,149,556 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series A Preferred Stock ("Preferred Stock") is now convertible into six shares of Voting Common Stock at an effective conversion price of $0.2775 per share (based on an original price per share of Preferred Stock of $1.665). The conversion price is subject to certain adjustments in the event of any stock dividend, stock split, reverse stock split, combination or other similar recapitalization. As described in Footnote (6), this Form 4 is being filed solely due to a reduction of the conversion price of the Preferred Stock (which results in a commensurate increase in the number of underlying shares of Voting Common Stock). The Reporting Persons did not actually dispose of any shares of Preferred Stock.

F6 · price: The two transactions reported in Table II arise out of an amendment of the Certificate of Designation as of March 14, 2019 to reduce the then-current conversion price per share from $2.775 per share to $0.2775 per share. Consistent with existing SEC interpretive and no-action positions, the amendment is reported above as if such reduction consisted of the cancellation of "old" Preferred Stock with the prior conversion price of $2.775 and the acquisition of "new" Preferred Stock with the reduced conversion price of $0.2775. The Reporting Persons did not actually dispose of any shares of Preferred Stock.

F2 · derivative.exercise_date: The shares of Preferred Stock will be mandatorily converted into shares of the Issuer's Voting Common Stock upon the date and time, or the occurrence of an event, specified by vote or written consent of the holders of a majority of the then outstanding shares of Preferred Stock. Additionally, at any time after the first anniversary of the original issuance of the Preferred Stock (March 23, 2018), so long as certain call conditions specified in the Issuer's Certificate of Designation filed March 22, 2018, as amended on March 14, 2019 (as so amended, the "Certificate") have been satisfied, the Issuer shall have the right to offer to redeem shares of Preferred Stock at a share price equal to two times the original share issue price of the Purchased Shares.

F3 · derivative.exercise_date: If a holder of Preferred Stock fails to accept the Issuer's offer to redeem such holder's shares of Preferred Stock, as described in Footnote (2), such holder's shares of Preferred Stock shall automatically be converted into shares of the Issuer's Voting Common Stock.

F4 · derivative.exercise_date: If certain revenue, Voting Common Stock price, and registration conditions are not satisfied, then the holders of at least a majority of the shares of Preferred Stock then outstanding may require the Issuer to redeem such holders' shares of Preferred Stock then outstanding at a per share purchase price equal to $2.3057 ("Mandatory Redemption"). The Mandatory Redemption right terminates upon those certain revenue and Voting Common Stock price conditions mentioned in the previous sentence being satisfied by, at the latest, June 30, 2021.

F5 · derivative.exercise_date: The holders of Preferred Stock also have the right to require the Issuer to repurchase their shares of then outstanding Preferred Stock at a price to be calculated pursuant to the terms of the Certificate upon the occurrence of an acquisition by a person or group of (i) more than 50% of the voting and/or economic interest of the Issuer's capital stock, (ii) the power (whether or not exercised) to elect a majority of the members of the Issuer board of directors (or similar governing body) or (iii) the occurrence of any "change of control" or similar event under any agreements relating to any indebtedness of the Issuer or its subsidiaries, or a merger or sale of substantially all of the Issuer's assets.

F2 · derivative.expiration_date: The shares of Preferred Stock will be mandatorily converted into shares of the Issuer's Voting Common Stock upon the date and time, or the occurrence of an event, specified by vote or written consent of the holders of a majority of the then outstanding shares of Preferred Stock. Additionally, at any time after the first anniversary of the original issuance of the Preferred Stock (March 23, 2018), so long as certain call conditions specified in the Issuer's Certificate of Designation filed March 22, 2018, as amended on March 14, 2019 (as so amended, the "Certificate") have been satisfied, the Issuer shall have the right to offer to redeem shares of Preferred Stock at a share price equal to two times the original share issue price of the Purchased Shares.

F3 · derivative.expiration_date: If a holder of Preferred Stock fails to accept the Issuer's offer to redeem such holder's shares of Preferred Stock, as described in Footnote (2), such holder's shares of Preferred Stock shall automatically be converted into shares of the Issuer's Voting Common Stock.

F4 · derivative.expiration_date: If certain revenue, Voting Common Stock price, and registration conditions are not satisfied, then the holders of at least a majority of the shares of Preferred Stock then outstanding may require the Issuer to redeem such holders' shares of Preferred Stock then outstanding at a per share purchase price equal to $2.3057 ("Mandatory Redemption"). The Mandatory Redemption right terminates upon those certain revenue and Voting Common Stock price conditions mentioned in the previous sentence being satisfied by, at the latest, June 30, 2021.

F5 · derivative.expiration_date: The holders of Preferred Stock also have the right to require the Issuer to repurchase their shares of then outstanding Preferred Stock at a price to be calculated pursuant to the terms of the Certificate upon the occurrence of an acquisition by a person or group of (i) more than 50% of the voting and/or economic interest of the Issuer's capital stock, (ii) the power (whether or not exercised) to elect a majority of the members of the Issuer board of directors (or similar governing body) or (iii) the occurrence of any "change of control" or similar event under any agreements relating to any indebtedness of the Issuer or its subsidiaries, or a merger or sale of substantially all of the Issuer's assets.

F7 · ownership.direct: Sagard is the direct beneficial owner of the shares of Preferred Stock reported herein. GP and Sagard Management are indirect beneficial owners of such shares of Preferred Stock. Each of Power Corporation of Canada, Sagard Holdings ULC and the Trust and the trustees of the Trust disclaims beneficial ownership (as defined in Rule 16a-1(a)(2)) of the securities reported herein except to the extent of its pecuniary interest therein, if any.

F7 · ownership.nature: Sagard is the direct beneficial owner of the shares of Preferred Stock reported herein. GP and Sagard Management are indirect beneficial owners of such shares of Preferred Stock. Each of Power Corporation of Canada, Sagard Holdings ULC and the Trust and the trustees of the Trust disclaims beneficial ownership (as defined in Rule 16a-1(a)(2)) of the securities reported herein except to the extent of its pecuniary interest therein, if any.

SEC source: 0001104659-19-015306 · a4.xml · derivative · entry 1

Sagard Capital Partners, L.P. · CIK 0001423385 · 10% owner

Sagard Capital Partners GP, Inc. · CIK 0001423388 · 10% owner

Sagard Capital Partners Management Corp · CIK 0001423386 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Voting Common Stock · 3,314,956 shares

Expires not disclosed

F6 · price: The two transactions reported in Table II arise out of an amendment of the Certificate of Designation as of March 14, 2019 to reduce the then-current conversion price per share from $2.775 per share to $0.2775 per share. Consistent with existing SEC interpretive and no-action positions, the amendment is reported above as if such reduction consisted of the cancellation of "old" Preferred Stock with the prior conversion price of $2.775 and the acquisition of "new" Preferred Stock with the reduced conversion price of $0.2775. The Reporting Persons did not actually dispose of any shares of Preferred Stock.

F2 · derivative.exercise_date: The shares of Preferred Stock will be mandatorily converted into shares of the Issuer's Voting Common Stock upon the date and time, or the occurrence of an event, specified by vote or written consent of the holders of a majority of the then outstanding shares of Preferred Stock. Additionally, at any time after the first anniversary of the original issuance of the Preferred Stock (March 23, 2018), so long as certain call conditions specified in the Issuer's Certificate of Designation filed March 22, 2018, as amended on March 14, 2019 (as so amended, the "Certificate") have been satisfied, the Issuer shall have the right to offer to redeem shares of Preferred Stock at a share price equal to two times the original share issue price of the Purchased Shares.

F3 · derivative.exercise_date: If a holder of Preferred Stock fails to accept the Issuer's offer to redeem such holder's shares of Preferred Stock, as described in Footnote (2), such holder's shares of Preferred Stock shall automatically be converted into shares of the Issuer's Voting Common Stock.

F4 · derivative.exercise_date: If certain revenue, Voting Common Stock price, and registration conditions are not satisfied, then the holders of at least a majority of the shares of Preferred Stock then outstanding may require the Issuer to redeem such holders' shares of Preferred Stock then outstanding at a per share purchase price equal to $2.3057 ("Mandatory Redemption"). The Mandatory Redemption right terminates upon those certain revenue and Voting Common Stock price conditions mentioned in the previous sentence being satisfied by, at the latest, June 30, 2021.

F5 · derivative.exercise_date: The holders of Preferred Stock also have the right to require the Issuer to repurchase their shares of then outstanding Preferred Stock at a price to be calculated pursuant to the terms of the Certificate upon the occurrence of an acquisition by a person or group of (i) more than 50% of the voting and/or economic interest of the Issuer's capital stock, (ii) the power (whether or not exercised) to elect a majority of the members of the Issuer board of directors (or similar governing body) or (iii) the occurrence of any "change of control" or similar event under any agreements relating to any indebtedness of the Issuer or its subsidiaries, or a merger or sale of substantially all of the Issuer's assets.

F2 · derivative.expiration_date: The shares of Preferred Stock will be mandatorily converted into shares of the Issuer's Voting Common Stock upon the date and time, or the occurrence of an event, specified by vote or written consent of the holders of a majority of the then outstanding shares of Preferred Stock. Additionally, at any time after the first anniversary of the original issuance of the Preferred Stock (March 23, 2018), so long as certain call conditions specified in the Issuer's Certificate of Designation filed March 22, 2018, as amended on March 14, 2019 (as so amended, the "Certificate") have been satisfied, the Issuer shall have the right to offer to redeem shares of Preferred Stock at a share price equal to two times the original share issue price of the Purchased Shares.

F3 · derivative.expiration_date: If a holder of Preferred Stock fails to accept the Issuer's offer to redeem such holder's shares of Preferred Stock, as described in Footnote (2), such holder's shares of Preferred Stock shall automatically be converted into shares of the Issuer's Voting Common Stock.

F4 · derivative.expiration_date: If certain revenue, Voting Common Stock price, and registration conditions are not satisfied, then the holders of at least a majority of the shares of Preferred Stock then outstanding may require the Issuer to redeem such holders' shares of Preferred Stock then outstanding at a per share purchase price equal to $2.3057 ("Mandatory Redemption"). The Mandatory Redemption right terminates upon those certain revenue and Voting Common Stock price conditions mentioned in the previous sentence being satisfied by, at the latest, June 30, 2021.

F5 · derivative.expiration_date: The holders of Preferred Stock also have the right to require the Issuer to repurchase their shares of then outstanding Preferred Stock at a price to be calculated pursuant to the terms of the Certificate upon the occurrence of an acquisition by a person or group of (i) more than 50% of the voting and/or economic interest of the Issuer's capital stock, (ii) the power (whether or not exercised) to elect a majority of the members of the Issuer board of directors (or similar governing body) or (iii) the occurrence of any "change of control" or similar event under any agreements relating to any indebtedness of the Issuer or its subsidiaries, or a merger or sale of substantially all of the Issuer's assets.

F7 · ownership.direct: Sagard is the direct beneficial owner of the shares of Preferred Stock reported herein. GP and Sagard Management are indirect beneficial owners of such shares of Preferred Stock. Each of Power Corporation of Canada, Sagard Holdings ULC and the Trust and the trustees of the Trust disclaims beneficial ownership (as defined in Rule 16a-1(a)(2)) of the securities reported herein except to the extent of its pecuniary interest therein, if any.

F7 · ownership.nature: Sagard is the direct beneficial owner of the shares of Preferred Stock reported herein. GP and Sagard Management are indirect beneficial owners of such shares of Preferred Stock. Each of Power Corporation of Canada, Sagard Holdings ULC and the Trust and the trustees of the Trust disclaims beneficial ownership (as defined in Rule 16a-1(a)(2)) of the securities reported herein except to the extent of its pecuniary interest therein, if any.

SEC source: 0001104659-18-060778 · a4.xml · nonDerivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 40,000

F1 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001250853-18-000124 · primary_doc.xml · nonDerivative · entry 1

GLASER JONATHAN M · CIK 0001264694 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pacific Capital Management, LLC

Disclosed balance after: 720,405

SEC source: 0000902664-18-003807 · ownership.xml · derivative · entry 2

Nantucket Investments Ltd · CIK 0001714148 · 10% owner

Burford Capital Ltd · CIK 0001714174 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,180,451

Underlying: Common Stock · 18,019 shares

Expires not disclosed

F2 · derivative.exercise_price: The shares of non-voting common stock are convertible into shares of Common Stock on a one-for-one basis (x) upon transfers to non-affiliates of Nantucket, (y) upon the release from escrow of certain shares of non-voting common stock held by Nantucket to the legacy stockholders of Napo Pharmaceuticals, Inc. under specified conditions and (z) at any time on or after April 1, 2018 at the option of the holder thereof. The shares of non-voting common stock have no expiration date.

F2 · derivative.exercise_date: The shares of non-voting common stock are convertible into shares of Common Stock on a one-for-one basis (x) upon transfers to non-affiliates of Nantucket, (y) upon the release from escrow of certain shares of non-voting common stock held by Nantucket to the legacy stockholders of Napo Pharmaceuticals, Inc. under specified conditions and (z) at any time on or after April 1, 2018 at the option of the holder thereof. The shares of non-voting common stock have no expiration date.

F2 · derivative.expiration_date: The shares of non-voting common stock are convertible into shares of Common Stock on a one-for-one basis (x) upon transfers to non-affiliates of Nantucket, (y) upon the release from escrow of certain shares of non-voting common stock held by Nantucket to the legacy stockholders of Napo Pharmaceuticals, Inc. under specified conditions and (z) at any time on or after April 1, 2018 at the option of the holder thereof. The shares of non-voting common stock have no expiration date.

F1 · ownership.direct: The securities reported herein are held by Nantucket Investments Limited, a company organized under the laws of Guernsey ("Nantucket"). Burford Capital LLC, a Delaware limited liability company, is the investment adviser to Nantucket. Burford Capital Holdings (UK) Limited, a company organized under the laws of England and Wales, is the sole owner of Burford Capital LLC and is majority owned by Burford Capital Limited, a company organized under the laws of Guernsey and publicly traded on the London Stock Exchange. Each of Nantucket, Burford Capital Limited, Burford Capital LLC and Burford Capital Holdings (UK) Limited disclaim beneficial ownership of the securities listed herein, except to the extent of its respective pecuniary interest therein.

SEC source: 0000902664-18-003807 · ownership.xml · nonDerivative · entry 1

Nantucket Investments Ltd · CIK 0001714148 · 10% owner

Burford Capital Ltd · CIK 0001714174 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · ownership.direct: The securities reported herein are held by Nantucket Investments Limited, a company organized under the laws of Guernsey ("Nantucket"). Burford Capital LLC, a Delaware limited liability company, is the investment adviser to Nantucket. Burford Capital Holdings (UK) Limited, a company organized under the laws of England and Wales, is the sole owner of Burford Capital LLC and is majority owned by Burford Capital Limited, a company organized under the laws of Guernsey and publicly traded on the London Stock Exchange. Each of Nantucket, Burford Capital Limited, Burford Capital LLC and Burford Capital Holdings (UK) Limited disclaim beneficial ownership of the securities listed herein, except to the extent of its respective pecuniary interest therein.

SEC source: 0001104659-18-045787 · a4.xml · nonDerivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

SEC source: 0001104659-18-046301 · a4.xml · nonDerivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 14,732

F1 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001104659-18-045786 · a4.xml · nonDerivative · entry 2

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,732

F1 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001104659-18-060616 · a4a.xml · nonDerivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 15,000

F1 · shares: These shares were omitted from the reporting person's original Form 4.

F2 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001104659-18-045786 · a4.xml · nonDerivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,732

F1 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16.

SEC source: 0001104659-18-045067 · a4.xml · derivative · entry 1

MacNaughtan Murray David · CIK 0001744661 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,860

Underlying: Common Stock · 104,860 shares

Expires 2028-07-11

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the Issuer's board of directors on July 11, 2018.

F3 · derivative.exercise_date: Vests in equal monthly installments, beginning on July 11, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-045068 · a4.xml · derivative · entry 1

DIVIS GREG J · CIK 0001410677 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,860

Underlying: Common Stock · 104,860 shares

Expires 2028-07-11

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the Issuer's board of directors on July 11, 2018.

F3 · derivative.exercise_date: Vests in equal monthly installments, beginning on July 11, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038707 · a4.xml · derivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 447,935

Underlying: Common Stock · 447,935 shares

Expires 2028-04-12

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on April 12, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 1, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038709 · a4.xml · derivative · entry 1

Wright Karen Steil · CIK 0001310280 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,854

Underlying: Common Stock · 85,854 shares

Expires 2028-04-12

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on April 12, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 1, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038713 · a4.xml · derivative · entry 2

MICEK JOHN · CIK 0001243187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,804

Underlying: Common Stock · 146,804 shares

Expires 2028-05-14

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F5 · date: The option grant was approved by the Issuer's board of directors on May 14, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F6 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 14, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038712 · a4.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,665

Underlying: Common Stock · 251,665 shares

Expires 2028-05-14

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F5 · date: The option grant was approved by the Issuer's board of directors on May 14, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F6 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 14, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038715 · a4.xml · derivative · entry 1

JOHNSON JEFFERY C. · CIK 0001735383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,860

Underlying: Common Stock · 104,860 shares

Expires 2028-04-12

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on April 12, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 1, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038714 · a4.xml · derivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,860

Underlying: Common Stock · 104,860 shares

Expires 2028-04-12

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on April 12, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 1, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038711 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,311

Underlying: Common Stock · 149,311 shares

Expires 2028-04-12

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on April 12, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 1, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-017522 · a4.xml · derivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,247,242

Underlying: Common Stock · 3,247,242 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F3 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-017523 · a4.xml · derivative · entry 1

Wright Karen Steil · CIK 0001310280 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 998,857

Underlying: Common Stock · 998,857 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F3 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-017524 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,327,881

Underlying: Common Stock · 1,327,881 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F3 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038719 · a4.xml · derivative · entry 1

Azhir Ari · CIK 0001693073 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,286

Underlying: Common Stock · 39,286 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038713 · a4.xml · derivative · entry 1

MICEK JOHN · CIK 0001243187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,643

Underlying: Common Stock · 38,643 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038712 · a4.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,709

Underlying: Common Stock · 71,709 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038718 · a4.xml · derivative · entry 1

Yang Zhi · CIK 0001623220 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,965

Underlying: Common Stock · 12,965 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038717 · a4.xml · derivative · entry 1

Kamphuis Folkert W. · CIK 0001644201 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,164

Underlying: Common Stock · 53,164 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038716 · a4.xml · derivative · entry 1

Qiu Jiahao · CIK 0001621947 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,965

Underlying: Common Stock · 12,965 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-17-075717 · a4.xml · derivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,807

Underlying: Common Stock · 285,807 shares

Expires 2027-12-21

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in full on March 31, 2018 if reporting person is an employee as of such date.

SEC source: 0001104659-17-075721 · a4.xml · derivative · entry 1

Wright Karen Steil · CIK 0001310280 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,295

Underlying: Common Stock · 54,295 shares

Expires 2027-12-21

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in full on March 31, 2018 if reporting person is an employee as of such date.

SEC source: 0001104659-17-075720 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,269

Underlying: Common Stock · 95,269 shares

Expires 2027-12-21

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in full on March 31, 2018 if reporting person is an employee as of such date.

SEC source: 0001104659-17-048563 · a4.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bochnowski Family Trust

Disclosed balance after: 797,935

F1 · ownership.nature: The Reporting Person is a co-trustee and beneficiary of such trust, and shares voting and investment control over such shares with his spouse.

SEC source: 0001104659-16-163171 · a4.xml · derivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,998

Underlying: Common Stock · 16,998 shares

Expires 2026-12-19

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in equal monthly installments, beginning on January 19, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-16-163179 · a4.xml · derivative · entry 1

Wright Karen Steil · CIK 0001310280 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,866

Underlying: Common Stock · 2,866 shares

Expires 2026-12-19

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in equal monthly installments, beginning on January 19, 2017, such that it is vested in full on the 3-year anniversary of the grant date.