MNOV

SEC source: 0001683168-21-001543 · ownership.xml · derivative · entry 1

Gaeta Federico C.A. · CIK 0001859057 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2031-04-22

F1 · derivative.exercise_date: The option vests in equal monthly installments over a period of three (3) years commencing April 22, 2021, subject to continued service with the Company.

SEC source: 0001683168-21-000953 · ownership.xml · nonDerivative · entry 1

Nagao Hideki · CIK 0001315306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,646

SEC source: 0001683168-21-000740 · ownership.xml · derivative · entry 3

IWAKI YUICHI · CIK 0001263965 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,250 shares

Expires 2021-08-02

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

SEC source: 0001683168-21-000740 · ownership.xml · nonDerivative · entry 1

IWAKI YUICHI · CIK 0001263965 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 927,350

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

SEC source: 0001683168-21-000391 · ownership.xml · derivative · entry 1

IWAKI YUICHI · CIK 0001263965 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 495,000

Underlying: Common Stock · 495,000 shares

Expires 2030-01-08

F1 · balance_after: On January 09, 2020, the reporting person was granted an option to purchase 550,000 shares of common stock. The option vests based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2020. Such performance criteria for 2020 were achieved at the 90% attainment level, resulting in vesting of the option as to 495,000 shares.

SEC source: 0001683168-21-000393 · ownership.xml · derivative · entry 1

OBrien Geoffrey · CIK 0001589471 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,000

Underlying: Common Stock · 99,000 shares

Expires 2030-01-08

F1 · balance_after: On January 09, 2020, the reporting person was granted an option to purchase 220,000 shares of common stock. The option vests based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2020. Such performance criteria for 2020 were achieved at the 45% attainment level, resulting in vesting of the option as to 99,000 shares.

SEC source: 0001683168-21-000392 · ownership.xml · derivative · entry 1

Matsuda Kazuko · CIK 0001531140 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires 2030-01-08

F1 · balance_after: On January 9, 2020, the reporting person was granted an option to purchase 325,000 shares of common stock. The option vests based on the satisfaction of certain performance criteria for the fiscal year ended December 31, 2020. Such performance criteria for 2020 have been met, resulting in full vesting of the option.

SEC source: 0001683168-20-003513 · ownership.xml · derivative · entry 1

BEAVER CAROLYN · CIK 0001335581 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-10-19

F1 · derivative.exercise_date: The option vests in three equal installments on December 31, 2020, March 31, 2021 and June 30, 2021, subject to continued service with the Company.

SEC source: 0001683168-20-003158 · ownership.xml · nonDerivative · entry 1

Nagao Hideki · CIK 0001315306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001683168-20-002584 · ownership.xml · derivative · entry 2

Nagao Hideki · CIK 0001315306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2023-10-14

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

SEC source: 0001683168-20-002584 · ownership.xml · nonDerivative · entry 1

Nagao Hideki · CIK 0001315306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

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

SEC source: 0001683168-20-001986 · ownership.xml · derivative · entry 1

Nagao Hideki · CIK 0001315306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-15

F1 · derivative.exercise_date: The option vests in four equal installments on September 30, 2020, December 31, 2020, March 31, 2021 and June 30, 2021, subject to continued service with the Company.

SEC source: 0001683168-20-001984 · ownership.xml · derivative · entry 1

Kobayashi Yutaka · CIK 0001589259 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-15

F1 · derivative.exercise_date: The option vests in four equal installments on September 30, 2020, December 31, 2020, March 31, 2021 and June 30, 2021, subject to continued service with the Company.

SEC source: 0001683168-20-001952 · ownership.xml · derivative · entry 2

Matsuda Kazuko · CIK 0001531140 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2020-06-13

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_date: The option vested over a period of 4 years in equal monthly installments from the 6/14/2010 date of grant and is now fully vested.

SEC source: 0001683168-20-001952 · ownership.xml · nonDerivative · entry 1

Matsuda Kazuko · CIK 0001531140 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,192

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

SEC source: 0001683168-20-001157 · ownership.xml · derivative · entry 4

IWAKI YUICHI · CIK 0001263965 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,583

Underlying: Common stock · 60,417 shares

Expires 2021-07-12

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

F3 · derivative.exercise_date: The option vested over a period of 4 years in equal monthly installments from the 7/13/2011 date of grant and is now fully vested.

SEC source: 0001683168-20-001157 · ownership.xml · nonDerivative · entry 1

IWAKI YUICHI · CIK 0001263965 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 841,100

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

SEC source: 0001683168-20-001158 · ownership.xml · derivative · entry 2

Matsuda Kazuko · CIK 0001531140 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,554

Underlying: Common stock · 28,446 shares

Expires 2021-07-12

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_date: The option vested over a period of 4 years in equal monthly installments from the 7/13/2011 date of grant and is now fully vested.

SEC source: 0001683168-20-001158 · ownership.xml · nonDerivative · entry 1

Matsuda Kazuko · CIK 0001531140 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,192

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

SEC source: 0001683168-20-000807 · ownership.xml · nonDerivative · entry 1

Matsuda Kazuko · CIK 0001531140 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,476

F1 · balance_after: The reported shares were purchased in multiple transactions. The purchase price reported in Column 4 is a weighted average price ranging from $3.54 to $3.69. The reporting person undertakes to provide to MediciNova, Inc., any security holder of MediciNova, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes 289 shares acquired under MediciNova's employee stock purchase plan, which are exempt under Rule 16b-3(c).

SEC source: 0001683168-20-000840 · ownership.xml · nonDerivative · entry 1

Matsuda Kazuko · CIK 0001531140 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,746

F1 · price: The reported shares were purchased in multiple transactions. The purchase price reported in Column 4 is a weighted average price ranging from $3.54 to $3.69. The reporting person undertakes to provide to MediciNova, Inc., any security holder of MediciNova, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes 289 shares acquired under MediciNova's employee stock purchase plan, which are exempt under Rule 16b-3(c).

F3 · balance_after: This report is being amended to correct the amount of securities beneficially owned in Column 5.

SEC source: 0001683168-20-000786 · ownership.xml · nonDerivative · entry 1

IWAKI YUICHI · CIK 0001263965 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 780,683

F1 · balance_after: The reported shares were purchased in multiple transactions. The purchase price reported in Column 4 is a weighted average price at price ranging from $3.055 to $3.14. The reporting person undertakes to provide to MediciNova, Inc., any security holder of MediciNova, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes 1,291shares acquired under MediciNova's employee stock purchase plan, which are exempt under Rule 16b-3(c).

SEC source: 0001683168-20-000087 · ownership.xml · derivative · entry 1

IWAKI YUICHI · CIK 0001263965 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,500

Underlying: Common Stock · 412,500 shares

Expires 2029-01-14

F1 · balance_after: On January 15, 2019, the reporting person was granted an option to purchase 550,000 shares of common stock. The option vests based on MNOV's satisfaction of certain performance criteria for the fiscal year ended December 31, 2019. The performance criterial for 2019 were achieved at the 75% attainment level, resulting in vesting of the option as to 412,500 shares.

SEC source: 0001683168-20-000089 · ownership.xml · derivative · entry 1

OBrien Geoffrey · CIK 0001589471 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2029-01-14

F1 · balance_after: On January 15, 2019, the reporting person was granted an option to purchase 220,000 shares of common stock. The option vests based on MNOV's satisfaction of certain performance criteria for the fiscal year ended December 31, 2019. The performance criterial for 2019 were achieved at the 75% attainment level, resulting in vesting of the option as to 165,000 shares.

SEC source: 0001683168-20-000088 · ownership.xml · derivative · entry 1

Matsuda Kazuko · CIK 0001531140 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,750

Underlying: Common Stock · 243,750 shares

Expires 2029-01-14

F1 · balance_after: On January 15, 2019, the reporting person was granted an option to purchase 325,000 shares of common stock. The option vests based on MNOV's satisfaction of certain performance criteria for the fiscal year ended December 31, 2019. The performance criterial for 2019 were achieved at the 75% attainment level, resulting in vesting of the option as to 243,750 shares.

SEC source: 0001683168-19-001890 · ownership.xml · derivative · entry 2

Matsuda Kazuko · CIK 0001531140 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,000 shares

Expires 2019-07-06

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

F2 · derivative.exercise_date: The option vested over a period of 4 years in equal monthly installments from the 7/7/2009 date of grant and is now fully vested.

SEC source: 0001683168-19-001890 · ownership.xml · nonDerivative · entry 1

Matsuda Kazuko · CIK 0001531140 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,457

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 · balance_after: Includes 10,454 shares acquired under MediciNova's employee stock purchase plan, which are exempt under Rule 16b-3(c).

SEC source: 0001683168-19-001855 · ownership.xml · derivative · entry 1

Nagao Hideki · CIK 0001315306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: The option vests in four equal installments on September 10, 2019, December 10, 2019, March 10, 2020 and June 10, 2020, subject to continued service with the Company.

SEC source: 0001683168-19-001854 · ownership.xml · derivative · entry 1

Kobayashi Yutaka · CIK 0001589259 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: The option vests in four equal installments on September 10, 2019, December 10, 2019, March 10, 2020 and June 10, 2020, subject to continued service with the Company.

SEC source: 0001683168-19-001853 · ownership.xml · derivative · entry 1

Ishizaka Yoshio · CIK 0001603893 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: The option vests in four equal installments on September 10, 2019, December 10, 2019, March 10, 2020 and June 10, 2020, subject to continued service with the Company.

SEC source: 0001683168-19-001515 · ownership.xml · derivative · entry 2

Nagao Hideki · CIK 0001315306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires 2019-06-11

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

SEC source: 0001683168-19-001515 · ownership.xml · nonDerivative · entry 1

Nagao Hideki · CIK 0001315306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

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

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 24

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,000 shares

Expires 2028-01-05

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.

F12 · derivative.exercise_date: The option was granted on 1/6/2018, was subject to vesting based on achievement of performance criteria and vested in full on 1/15/2019.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 23

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2027-01-17

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.

F11 · derivative.exercise_date: The option was granted on 1/18/2017, was subject to vesting based on achievement of performance criteria and vested in full on 1/6/2018.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 22

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires 2026-01-06

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.

F10 · derivative.exercise_date: The option was granted on 1/7/2016, was subject to vesting based on achievement of performance criteria and vested in full on 1/18/2017.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 21

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2026-01-06

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.

F9 · derivative.exercise_date: The option vested over a period of 3 years in equal monthly installments from the 1/7/2016 date of grant and is now fully vested.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 20

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,000 shares

Expires 2025-01-06

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.

F8 · derivative.exercise_date: The option was granted on 1/7/2015, was subject to vesting based on achievement of performance criteria and vested in full on 1/7/2016.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 19

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2024-12-03

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.

F7 · derivative.exercise_date: The option vested over a period of 3 years in equal monthly installments from the 12/4/2014 date of grant and is now fully vested.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 18

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,000 shares

Expires 2023-12-11

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.

F6 · derivative.exercise_date: The option was granted on 12/12/2013, was subject to vesting based on achievement of performance criteria and vested in full on 12/4/2014.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 17

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,500 shares

Expires 2023-05-12

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

F5 · derivative.exercise_date: The option vested over a period of 4 years in equal monthly installments from the 5/13/2013 date of grant and is now fully vested.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 16

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires 2023-05-12

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.

F4 · derivative.exercise_date: The option was granted on 5/13/2013, was subject to vesting based on achievement of performance criteria and vested in full on 12/2/2013.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 15

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 63,750 shares

Expires 2021-08-02

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

F3 · derivative.exercise_date: The option was granted on 8/3/2011, was subject to vesting based on achievement of performance criteria and vested in full on 6/14/2012.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 14

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,000 shares

Expires 2021-07-12

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

F2 · derivative.exercise_date: The option vested over a period of 4 years in equal monthly installments from the 7/13/2011 date of grant and is now fully vested.

SEC source: 0001683168-19-000530 · ownership.xml · derivative · entry 13

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2020-01-28

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

F1 · derivative.exercise_date: The option vested over a period of 4 years in equal monthly installments from the 1/28/2010 date of grant and is now fully vested.

SEC source: 0001683168-19-000530 · ownership.xml · nonDerivative · entry 12

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,040,530

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

SEC source: 0001683168-19-000530 · ownership.xml · nonDerivative · entry 11

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 935,530

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

SEC source: 0001683168-19-000530 · ownership.xml · nonDerivative · entry 10

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,530

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

SEC source: 0001683168-19-000530 · ownership.xml · nonDerivative · entry 9

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 715,530

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

SEC source: 0001683168-19-000530 · ownership.xml · nonDerivative · entry 8

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 685,530

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

SEC source: 0001683168-19-000530 · ownership.xml · nonDerivative · entry 7

Okajima Masatsune · CIK 0001374660 · VP and Head of Japanese Office

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 580,530

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.