MBRX

SEC source: 0001437749-21-014426 · rdgdoc.xml · derivative · entry 1

George Robert E. · CIK 0001674701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,668

Underlying: Common Stock · 10,000 shares

Expires 2031-06-07

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001437749-21-014429 · rdgdoc.xml · derivative · entry 1

CANNON MICHAEL D · CIK 0001203602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,668

Underlying: Common Stock · 10,000 shares

Expires 2031-06-07

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001437749-21-014428 · rdgdoc.xml · derivative · entry 1

Cermak Elizabeth · CIK 0001471971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 10,000 shares

Expires 2031-06-07

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001437749-21-014427 · rdgdoc.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,168

Underlying: Common Stock · 10,000 shares

Expires 2031-06-07

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001437749-20-020742 · rdgdoc.xml · derivative · entry 1

Cermak Elizabeth · CIK 0001471971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-10-02

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001659617-20-000206 · wf-form4_159829941790393.xml · derivative · entry 1

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-08-20

F2 · price: Issued in connection with the reporting person providing services to the Company.

F1 · derivative.exercise_date: The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-20-000178 · wf-form4_159476421761509.xml · derivative · entry 3

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,430,891

Underlying: Common Stock · 79,227 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 11, 2019, the reporting person was granted 316,907 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date.

F3 · derivative.expiration_date: On July 11, 2019, the reporting person was granted 316,907 restricted stock units, vesting in four equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001659617-20-000178 · wf-form4_159476421761509.xml · nonDerivative · entry 2

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,027,659

F2 · shares: Shares withheld for payment of taxes upon vesting of restricted stock unit awards.

SEC source: 0001659617-20-000178 · wf-form4_159476421761509.xml · nonDerivative · entry 1

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,046,951

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001659617-20-000173 · wf-form4_159415661342622.xml · derivative · entry 2

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,510,118

Underlying: Common Stock · 353,211 shares

Expires not disclosed

F3 · derivative.exercise_price: (3) Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · price: (2) Issued in connection with the reporting person's employment with the Company.

F4 · derivative.exercise_date: (4) The restricted stock units set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

F4 · derivative.expiration_date: (4) The restricted stock units set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-20-000173 · wf-form4_159415661342622.xml · derivative · entry 1

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,156,907

Underlying: Common Stock · 500,000 shares

Expires 2030-07-02

F2 · price: (2) Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: (1) The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-20-000172 · wf-form4_159415646381168.xml · derivative · entry 1

Foster Jonathan P. · CIK 0001545414 · Exec. Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,621,000

Underlying: Common Stock · 460,000 shares

Expires 2030-07-02

F2 · price: (2) Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: (1) The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-20-000171 · wf-form4_159415638537678.xml · derivative · entry 1

PICKER DONALD H · CIK 0001266800 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,000

Underlying: Common Stock · 100,000 shares

Expires 2030-07-02

F2 · price: (2) Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: (1) The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-20-000151 · wf-form4_159242581160556.xml · derivative · entry 1

George Robert E. · CIK 0001674701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-16

F2 · price: (2) The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: (1) The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors in each vesting date.

SEC source: 0001659617-20-000153 · wf-form4_159242604415421.xml · derivative · entry 1

CANNON MICHAEL D · CIK 0001203602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-15

F2 · price: (2) The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: (1) The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors in each vesting date.

SEC source: 0001659617-20-000152 · wf-form4_159242592252592.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-15

F2 · price: (2) Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: (1) The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors in each vesting date.

SEC source: 0001659617-19-000105 · wf-form4_156322208980596.xml · derivative · entry 2

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,656,907

Underlying: Common Stock · 316,907 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · price: Issued in connection with the reporting person's employment with the Company.

F4 · derivative.exercise_date: The restricted stock units set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

F4 · derivative.expiration_date: The restricted stock units set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-19-000105 · wf-form4_156322208980596.xml · derivative · entry 1

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,340,000

Underlying: Common Stock · 500,000 shares

Expires 2029-07-11

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-19-000104 · wf-form4_156322181376648.xml · derivative · entry 1

George Robert E. · CIK 0001674701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 35,000 shares

Expires 2029-07-11

F2 · price: (2) The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: (1) The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001659617-19-000107 · wf-form4_156322231160782.xml · derivative · entry 1

CANNON MICHAEL D · CIK 0001203602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 35,000 shares

Expires 2029-07-11

F2 · price: (2) The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: (1) The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001659617-19-000103 · wf-form4_156322163353261.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 35,000 shares

Expires 2029-07-11

F2 · price: (2) The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: (1) The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001659617-19-000102 · wf-form4_156322120093753.xml · derivative · entry 1

PICKER DONALD H · CIK 0001266800 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,000

Underlying: Common Stock · 100,000 shares

Expires 2029-07-11

F2 · price: (2) Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: (1) The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-19-000101 · wf-form4_156322106686428.xml · derivative · entry 1

Foster Jonathan P. · CIK 0001545414 · Exec. Vice President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,161,000

Underlying: Common Stock · 315,000 shares

Expires 2029-07-11

F2 · price: (2) Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: (1) The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001144204-19-028195 · tv522431_4.xml · derivative · entry 1

George Robert E. · CIK 0001674701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 15,000 shares

Expires 2029-05-22

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-19-028197 · tv522433_4.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 15,000 shares

Expires 2029-05-22

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-19-028196 · tv522432_4.xml · derivative · entry 1

CANNON MICHAEL D · CIK 0001203602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 15,000 shares

Expires 2029-05-22

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-18-033605 · tv496089_4.xml · derivative · entry 1

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 943,000

Underlying: Common stock · 603,000 shares

Expires 2028-06-06

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001144204-18-033607 · tv496091_4.xml · derivative · entry 1

George Robert E. · CIK 0001674701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 35,000 shares

Expires 2028-06-06

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-18-033609 · tv496093_4.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 35,000 shares

Expires 2028-06-06

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Companya(euro)(TM)s Board of Directors on each vesting date.

SEC source: 0001144204-18-033610 · tv496094_4.xml · derivative · entry 1

CANNON MICHAEL D · CIK 0001203602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 35,000 shares

Expires 2028-06-06

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-18-033608 · tv496092_4.xml · derivative · entry 1

PICKER DONALD H · CIK 0001266800 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common stock · 75,000 shares

Expires 2028-06-06

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001144204-18-033606 · tv496090_4.xml · derivative · entry 1

Foster Jonathan P. · CIK 0001545414 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 846,000

Underlying: Common stock · 301,000 shares

Expires 2028-06-06

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-19-000106 · wf-form4a_156322215943382.xml · derivative · entry 1

KLEMP WALTER V · CIK 0000938419 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 840,000

Underlying: Common Stock · 500,000 shares

Expires 2028-06-06

F1 · shares: As previously reported on a Form 4 filed on June 8, 2018 by the reporting person, the reporting person reported acquiring stock options to purchase 603,000 shares of common stock. However, the Company subsequently determined that stock options to purchase 103,000 shares of common stock under the Company's 2015 Stock Plan were not validly granted pursuant to the plan because they exceeded the limit on the number of stock options that may be granted to any individual participant one year period. Accordingly, the attempted grant of these excess stock options was ineffective, and they were never granted to the reporting person. The reporting person is filing this amendment to report the correct amount of stock options acquired, and to revise the vesting schedule for the stock options to provide that 150,750 options vested as of June 6, 2019, and the remaining options shall vest in three equal installments on June 6, 2020, 2021, and 2022.

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: As previously reported on a Form 4 filed on June 8, 2018 by the reporting person, the reporting person reported acquiring stock options to purchase 603,000 shares of common stock. However, the Company subsequently determined that stock options to purchase 103,000 shares of common stock under the Company's 2015 Stock Plan were not validly granted pursuant to the plan because they exceeded the limit on the number of stock options that may be granted to any individual participant one year period. Accordingly, the attempted grant of these excess stock options was ineffective, and they were never granted to the reporting person. The reporting person is filing this amendment to report the correct amount of stock options acquired, and to revise the vesting schedule for the stock options to provide that 150,750 options vested as of June 6, 2019, and the remaining options shall vest in three equal installments on June 6, 2020, 2021, and 2022.

SEC source: 0001144204-17-051543 · v476495_4.xml · derivative · entry 1

KLEMP WALTER V · CIK 0000938419 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,000

Underlying: Common stock · 340,000 shares

Expires 2027-10-03

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001144204-17-051549 · v476494_4.xml · derivative · entry 1

PICKER DONALD H · CIK 0001266800 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock · 60,000 shares

Expires 2027-10-03

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001144204-17-051545 · v476493_4.xml · derivative · entry 1

Foster Jonathan P. · CIK 0001545414 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 545,000

Underlying: Common stock · 145,000 shares

Expires 2027-10-03

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001144204-17-044233 · v473535_4.xml · nonDerivative · entry 1

KLEMP WALTER V · CIK 0000938419 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 967,724

F1 · kind: The reporting person entered into a private sale agreement for the shares of common stock set forth in the table. The 12,000 shares of common stock purchased by the reporting person on May 11, 2017 are a matching transaction under Section 16 of the Securities Exchange Act of 1934 with 12,000 shares of common stock sold by the reporting person as set forth in the table above. In Accordance with Section 16, the reporting person will disgorge to the issuer an aggregate short-swing profit of $10,716.

F2 · balance_after: In addition to the shares held directly by the reporting person, the reporting person is the majority shareholder and control person of Annamed, Inc. Annamed, Inc. holds 1,425,000 shares of Issuer common stock. The Pursuant to General Instruction 5(b)(iv) of Form 3, the amount set forth in the table represents the reporting person's proportionate interest in the Issuer common stock beneficially owned by Annamed, Inc.

SEC source: 0001144204-17-044232 · v473534_4.xml · nonDerivative · entry 1

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,781,573

F1 · kind: The reporting person entered into a private sale agreement for the shares of common stock set forth in the table.

F2 · balance_after: In addition to the shares held directly by the reporting person, The reporting person is a shareholder and control person of IntertechBio Corp. IntertechBio Corp. holds 630,000 shares of Issuer common stock. Pursuant to General Instruction 5(b)(iv) of Form 3, the amount set forth in the table represents the reporting person's proportionate interest in the Issuer common stock beneficially owned by IntertechBio Corp. The reporting person is also a shareholder and control person of Houston Pharmaceuticals, Inc. Houston Pharmaceuticals, Inc. holds 629,000 shares of Issuer common stock. Pursuant to General Instruction 5(b)(iv) of Form 3, the amount set forth in the table represents the reporting person's proportionate interest in the Issuer common stock beneficially owned by Houston Pharmaceuticals, Inc.

SEC source: 0001144204-17-038497 · v471464_4.xml · derivative · entry 1

George Robert E. · CIK 0001674701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 15,000 shares

Expires 2027-07-24

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-17-038495 · v471461_4.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-07-24

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-17-038499 · v471463_4.xml · derivative · entry 1

CANNON MICHAEL D · CIK 0001203602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 15,000 shares

Expires 2027-07-24

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-17-026954 · v466826_form4.xml · nonDerivative · entry 1

KLEMP WALTER V · CIK 0000938419 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,067,724

F1 · balance_after: In addition to the shares held directly by the reporting person, the reporting person is the majority shareholder and control person of Annamed, Inc. Annamed, Inc. holds 1,425,000 shares of Issuer common stock. The Pursuant to General Instruction 5(b)(iv) of Form 3, the amount set forth in the table represents the reporting person's proportionate interest in the Issuer common stock beneficially owned by Annamed, Inc.

SEC source: 0001144204-17-024864 · v466235_4.xml · nonDerivative · entry 1

Northcut Jacqueline · CIK 0001674644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

SEC source: 0001144204-17-023240 · v465565_4.xml · nonDerivative · entry 1

George Robert E. · CIK 0001674701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

SEC source: 0001144204-17-022289 · v465197_form4.xml · nonDerivative · entry 1

Foster Jonathan P. · CIK 0001545414 · Exec. Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001144204-16-125634 · v449473_4.xml · derivative · entry 1

Northcut Jacqueline · CIK 0001674644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-09-23

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-16-125633 · v449472_4.xml · derivative · entry 1

George Robert E. · CIK 0001674701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-09-23

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-16-125635 · v449474_4.xml · derivative · entry 1

CANNON MICHAEL D · CIK 0001203602 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2026-09-23

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.