MRKR

SEC source: 0001209191-20-018531 · doc4.xml · derivative · entry 1

Hoang Tsvetelina P · CIK 0001763023 · VP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,600

Underlying: Common Stock · 14,600 shares

Expires 2030-03-10

F1 · derivative.exercise_date: Represents a bonus for 2019 performance granted under the Company's 2014 Omnibus Stock Ownership Plan. This option vests in equal monthly installments over a four year period commencing on April 10, 2020 subject to the continued service by the Reporting Person to the Issuer as of the applicable vesting date.

SEC source: 0001209191-20-018524 · doc4.xml · derivative · entry 2

Agopyan Nadia · CIK 0001784758 · VP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,700

Underlying: Common Stock · 32,700 shares

Expires 2030-03-10

F2 · derivative.exercise_date: This option vests in equal monthly installments over a four year period commencing on April 10, 2020 subject to the continued service by the Reporting Person to the Issuer as of the applicable vesting date.

SEC source: 0001209191-20-018524 · doc4.xml · derivative · entry 1

Agopyan Nadia · CIK 0001784758 · VP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,300

Underlying: Common Stock · 7,300 shares

Expires 2030-03-10

F1 · derivative.exercise_date: Represents a bonus for 2019 performance granted under the Company's 2014 Omnibus Stock Ownership Plan. This option vests in equal monthly installments over a four year period commencing on April 10, 2020 subject to the continued service by the Reporting Person to the Issuer as of the applicable vesting date.

SEC source: 0001408408-20-000011 · ownership.xml · derivative · entry 2

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 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

Underlying: Common Stock · 416,667 shares

Expires 2020-03-09

F1 · price: On February 18, 2020, Eastern Capital Limited exercised the Series A-1 Warrant with respect to 416,667 Warrant Shares at an exercise price of $1.20 per share and acquired an additional 416,667 shares of Common Stock.

SEC source: 0001408408-20-000011 · ownership.xml · nonDerivative · entry 1

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,050,001

SEC source: 0001209191-19-046630 · doc4.xml · derivative · entry 1

Agopyan Nadia · CIK 0001784758 · VP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-08-15

F1 · derivative.exercise_date: Twenty-five percent (25%) of the shares underlying the Option shall vest on August 15, 2020, with the balance of the shares vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0001209191-19-046149 · doc4.xml · nonDerivative · entry 1

Hoang Peter L. · CIK 0001626893 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,711

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.55 to $4.67, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

SEC source: 0001209191-19-045152 · doc4.xml · derivative · entry 1

ELMS STEVE · CIK 0001250195 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2029-08-06

F1 · derivative.exercise_date: This option vests in equal monthly installments over a two year period commencing on September 6, 2019 subject to the continued service by the Reporting Person to the Issuer as of the applicable vesting date.

SEC source: 0001144204-19-025608 · tv521409_4.xml · nonDerivative · entry 1

Eansor Norman David · CIK 0001270905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,260

F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $5.51 per share, on the day immediately preceding the date of the Company's 2019 annual meeting.

SEC source: 0001144204-19-025607 · tv521408_4.xml · nonDerivative · entry 1

Wilson John Robert · CIK 0001755569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,068,043

F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $5.51 per share, on the day immediately preceding the date of the Company's 2019 annual meeting.

SEC source: 0001144204-19-025605 · tv521407_4.xml · nonDerivative · entry 1

Laskow-Pooley David · CIK 0001638533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,543

F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $5.51 per share, on the day immediately preceding the date of the Company's 2019 annual meeting.

SEC source: 0001144204-19-025602 · tv521406_4.xml · nonDerivative · entry 1

Wasserman Frederick Gerald · CIK 0001384383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,543

F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $5.51 per share, on the day immediately preceding the date of the Company's 2019 annual meeting.

SEC source: 0001144204-18-062322 · tv508156_4.xml · derivative · entry 1

Kim Anthony H. · CIK 0001759782 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2028-11-27

F1 · security: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, in connection with the execution of an employment agreement with the Company. One quarter of the shares vest on the first anniversary of the grant date and the remainder of the shares subsequently vest in equal monthly installments over a three year period upon the continued employment by the Company of the Reporting Person through the vesting dates. The option exercise price is the closing price on the date of the grant, November 27, 2018.

F1 · derivative.exercise_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, in connection with the execution of an employment agreement with the Company. One quarter of the shares vest on the first anniversary of the grant date and the remainder of the shares subsequently vest in equal monthly installments over a three year period upon the continued employment by the Company of the Reporting Person through the vesting dates. The option exercise price is the closing price on the date of the grant, November 27, 2018.

SEC source: 0001144204-18-054994 · tv505273_form4.xml · derivative · entry 2

Hoang Peter L. · CIK 0001626893 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-10-19

F2 · security: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended to Tsvetelina Hoang, Mr. Hoang's wife who serves as the Company's Vice President, Research and Development. One fifth of the shares vest ten months after the grant date, the remainder of the shares vest in monthly installments thereafter upon the continued employment of Dr. Hoang by the Company through the vesting dates. The option exercise price is the closing price on the date of the grant, October 19, 2018.

F2 · derivative.exercise_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended to Tsvetelina Hoang, Mr. Hoang's wife who serves as the Company's Vice President, Research and Development. One fifth of the shares vest ten months after the grant date, the remainder of the shares vest in monthly installments thereafter upon the continued employment of Dr. Hoang by the Company through the vesting dates. The option exercise price is the closing price on the date of the grant, October 19, 2018.

SEC source: 0001144204-18-054994 · tv505273_form4.xml · derivative · entry 1

Hoang Peter L. · CIK 0001626893 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,359,855

Underlying: Common Stock · 1,359,855 shares

Expires 2028-10-19

F1 · security: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended. These options vest and are exercisable immediately. The option exercise price is the closing price on the date of the grant, October 19, 2018.

F1 · derivative.exercise_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended. These options vest and are exercisable immediately. The option exercise price is the closing price on the date of the grant, October 19, 2018.

SEC source: 0001144204-18-054993 · tv505272_form4.xml · derivative · entry 1

Vera Juan · CIK 0001755495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-10-19

F1 · security: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, that were granted in connection with entering into a consulting agreement with the Company to serve as the Company's Chief Development Officer. One quarter of the shares vest on the first anniversary of the grant date and the remainder of the shares subsequently vest in equal monthly installments over a three year period upon the continued performance of services by the Reporting Person to the Company through the vesting dates. The option exercise price is the closing price on the date of the grant, October 19, 2018.

F1 · derivative.exercise_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, that were granted in connection with entering into a consulting agreement with the Company to serve as the Company's Chief Development Officer. One quarter of the shares vest on the first anniversary of the grant date and the remainder of the shares subsequently vest in equal monthly installments over a three year period upon the continued performance of services by the Reporting Person to the Company through the vesting dates. The option exercise price is the closing price on the date of the grant, October 19, 2018.

SEC source: 0001144204-18-054992 · tv505271_form4.xml · derivative · entry 1

Loiacono Michael · CIK 0001679119 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2028-10-19

F1 · security: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended. These shares vest in monthly installments over a four year period upon the continued employment of the Reporting Person by the Company through the vesting dates. The option exercise price is the closing price on the date of the grant, October 19, 2018.

F1 · derivative.exercise_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended. These shares vest in monthly installments over a four year period upon the continued employment of the Reporting Person by the Company through the vesting dates. The option exercise price is the closing price on the date of the grant, October 19, 2018.

SEC source: 0001144204-18-054586 · tv505080_4.xml · derivative · entry 1

Eansor Norman David · CIK 0001270905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

F1 · security: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, in connection with the non-employee director compensation program upon appointment as a director of the Company on October 17, 2018. These shares vest in monthly installments over a two year period. The option exercise price is the closing price on the date of the grant, October 17, 2018.

F1 · derivative.exercise_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, in connection with the non-employee director compensation program upon appointment as a director of the Company on October 17, 2018. These shares vest in monthly installments over a two year period. The option exercise price is the closing price on the date of the grant, October 17, 2018.

F1 · derivative.expiration_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, in connection with the non-employee director compensation program upon appointment as a director of the Company on October 17, 2018. These shares vest in monthly installments over a two year period. The option exercise price is the closing price on the date of the grant, October 17, 2018.

SEC source: 0001144204-18-054584 · tv505078_4.xml · derivative · entry 1

Wilson John Robert · CIK 0001755569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

F1 · security: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, in connection with the non-employee director compensation program upon appointment as a director of the Company on October 17, 2018. These shares vest in monthly installments over a two year period. The option exercise price is the closing price on the date of the grant, October 17, 2018.

F1 · derivative.exercise_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, in connection with the non-employee director compensation program upon appointment as a director of the Company on October 17, 2018. These shares vest in monthly installments over a two year period. The option exercise price is the closing price on the date of the grant, October 17, 2018.

F1 · derivative.expiration_date: Represents options granted under the Company's 2014 Omnibus Stock Ownership Plan, as amended, in connection with the non-employee director compensation program upon appointment as a director of the Company on October 17, 2018. These shares vest in monthly installments over a two year period. The option exercise price is the closing price on the date of the grant, October 17, 2018.

SEC source: 0001144204-18-054109 · tv504936_4.xml · nonDerivative · entry 1

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,221

F1 · shares: Represents the pro-rated portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $7.74 per share, on the day immediately preceding the date of the Company's 2018 annual meeting.

SEC source: 0001144204-18-054107 · tv504935_4.xml · nonDerivative · entry 1

Grisewood Sherry · CIK 0001658039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,582

F1 · shares: Represents the pro-rated portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $7.74 per share, on the day immediately preceding the date of the Company's 20178annual meeting.

SEC source: 0001144204-18-054105 · tv504934_4.xml · nonDerivative · entry 1

Reddish Mark · CIK 0001547593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,110

F1 · shares: Represents the pro-rated portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $7.74 per share, on the day immediately preceding the date of the Company's 2018 annual meeting.

SEC source: 0001144204-18-054103 · tv504933_4.xml · nonDerivative · entry 1

Laskow-Pooley David · CIK 0001638533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,283

F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $7.74 per share, on the day immediately preceding the date of the Company's 2018 annual meeting.

SEC source: 0001144204-18-054101 · tv504932_4.xml · nonDerivative · entry 1

Wasserman Frederick Gerald · CIK 0001384383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,283

F1 · shares: Represents the portion of the annual board retainer for each non-employee director payable in immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan, as amended and based on the closing price of $7.74 per share, on the day immediately preceding the date of the Company's 2018 annual meeting.

SEC source: 0001144204-18-053247 · tv504612_4.xml · derivative · entry 3

WILSON GLYNN · CIK 0001405625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,120 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.

F3 · derivative.exercise_price: Represents elimination of Reporting Person's right to receive shares under his employment agreement following the issuance of the shares to the Reporting Person reflected on Table I by the Company.

F3 · derivative.exercise_date: Represents elimination of Reporting Person's right to receive shares under his employment agreement following the issuance of the shares to the Reporting Person reflected on Table I by the Company.

F3 · derivative.expiration_date: Represents elimination of Reporting Person's right to receive shares under his employment agreement following the issuance of the shares to the Reporting Person reflected on Table I by the Company.

SEC source: 0001144204-18-053247 · tv504612_4.xml · nonDerivative · entry 2

WILSON GLYNN · CIK 0001405625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,776

F2 · shares: Represents withholding of shares of common stock to satisfy tax withholding obligations in connection with the issuance of the stock award.

SEC source: 0001144204-18-053247 · tv504612_4.xml · nonDerivative · entry 1

WILSON GLYNN · CIK 0001405625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,337

F1 · shares: Represents issuance of fully vested shares of common stock under the Company's 2014 Omnibus Stock Ownership Plan pursuant to the Company's obligation to do so under the terms of the Reporting Person's employment agreement as amended.

SEC source: 0001144204-18-050737 · tv503493_4.xml · derivative · entry 1

WILSON GLYNN · CIK 0001405625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,120

Underlying: Common Stock · 31,120 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents the number of shares of restricted stock the reporting person has a present right to receive under the terms of the amendment to his employment agreement with the Company, and such shares are based on a value of $300,000 and the closing price of the Company's common stock on September 21, 2018 of $9.64 per share, (which was the date immediately preceding the anniversary of the amendment) and upon issuance under the Company's 2014 Omnibus Stock Ownership Plan to be fully vested.

F1 · price: Represents the number of shares of restricted stock the reporting person has a present right to receive under the terms of the amendment to his employment agreement with the Company, and such shares are based on a value of $300,000 and the closing price of the Company's common stock on September 21, 2018 of $9.64 per share, (which was the date immediately preceding the anniversary of the amendment) and upon issuance under the Company's 2014 Omnibus Stock Ownership Plan to be fully vested.

F1 · derivative.exercise_date: Represents the number of shares of restricted stock the reporting person has a present right to receive under the terms of the amendment to his employment agreement with the Company, and such shares are based on a value of $300,000 and the closing price of the Company's common stock on September 21, 2018 of $9.64 per share, (which was the date immediately preceding the anniversary of the amendment) and upon issuance under the Company's 2014 Omnibus Stock Ownership Plan to be fully vested.

F1 · derivative.expiration_date: Represents the number of shares of restricted stock the reporting person has a present right to receive under the terms of the amendment to his employment agreement with the Company, and such shares are based on a value of $300,000 and the closing price of the Company's common stock on September 21, 2018 of $9.64 per share, (which was the date immediately preceding the anniversary of the amendment) and upon issuance under the Company's 2014 Omnibus Stock Ownership Plan to be fully vested.

SEC source: 0001408408-18-000007 · ecl_tpivf4052018.xml · nonDerivative · entry 1

Eastern Capital LTD · CIK 0001408408 · 10% owner

Portfolio Services Ltd. · CIK 0001488856 · 10% owner

DART KENNETH BRYAN · CIK 0001331271 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,300,002

F1 · security: On May 14, 2018, Eastern Capital Limited entered into a Common Stock Purchase Agreement with the Issuer to purchase 1,300,000 shares of common stock at a price per share of $2.40.

SEC source: 0001144204-18-012627 · tv487621_4.xml · derivative · entry 7

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JNS Holdings Group LLC

Disclosed balance after: 49,167

Underlying: Common Stock · 49,167 shares

Expires 2021-08-11

F1 · kind: Securities received from pro rata distribution in connection with the dissolution of American Capital Management LLC, of which the reporting person was a non-managing member.

SEC source: 0001144204-18-012627 · tv487621_4.xml · derivative · entry 6

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JNS Holdings Group LLC

Disclosed balance after: 31,093

Underlying: Common Stock · 31,093 shares

Expires 2020-10-08

F1 · kind: Securities received from pro rata distribution in connection with the dissolution of American Capital Management LLC, of which the reporting person was a non-managing member.

SEC source: 0001144204-18-012627 · tv487621_4.xml · derivative · entry 5

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JNS Holdings Group LLC

Disclosed balance after: 10,574

Underlying: Common Stock · 10,574 shares

Expires 2020-10-08

F1 · kind: Securities received from pro rata distribution in connection with the dissolution of American Capital Management LLC, of which the reporting person was a non-managing member.

SEC source: 0001144204-18-012627 · tv487621_4.xml · derivative · entry 4

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JNS Holdings Group LLC

Disclosed balance after: 41,667

Underlying: Common Stock · 41,667 shares

Expires 2020-01-16

F1 · kind: Securities received from pro rata distribution in connection with the dissolution of American Capital Management LLC, of which the reporting person was a non-managing member.

SEC source: 0001144204-18-012627 · tv487621_4.xml · derivative · entry 3

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JNS Holdings Group LLC

Disclosed balance after: 44,000

Underlying: Common Stock · 44,000 shares

Expires 2020-01-16

F1 · kind: Securities received from pro rata distribution in connection with the dissolution of American Capital Management LLC, of which the reporting person was a non-managing member.

SEC source: 0001144204-18-012627 · tv487621_4.xml · derivative · entry 2

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JNS Holdings Group LLC

Disclosed balance after: 41,667

Underlying: Common Stock · 41,667 shares

Expires 2020-01-16

F1 · kind: Securities received from pro rata distribution in connection with the dissolution of American Capital Management LLC, of which the reporting person was a non-managing member.

SEC source: 0001144204-18-012627 · tv487621_4.xml · nonDerivative · entry 1

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JNS Holdings Group LLC

Disclosed balance after: 153,333

F1 · kind: Securities received from pro rata distribution in connection with the dissolution of American Capital Management LLC, of which the reporting person was a non-managing member.

SEC source: 0001144204-17-049443 · v475755_4.xml · nonDerivative · entry 2

Hoang Peter L. · CIK 0001626893 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,711

F2 · shares: Represents withholding of shares of common stock to satisfy tax withholding obligations in connection with the issuance of the restricted stock award.

SEC source: 0001144204-17-049443 · v475755_4.xml · nonDerivative · entry 1

Hoang Peter L. · CIK 0001626893 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

F1 · shares: Represents shares of fully vested restricted stock issued under the Company's 2014 Omnibus Stock Ownership Plan in connection with initial employment as President and Chief Executive Officer and the execution of employment agreement.

SEC source: 0001144204-17-049725 · v475881_4.xml · nonDerivative · entry 2

WILSON GLYNN · CIK 0001405625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,217

F2 · shares: Represents withholding of shares of common stock to satisfy tax withholding obligations in connection with the issuance of the restricted stock award.

SEC source: 0001144204-17-049725 · v475881_4.xml · nonDerivative · entry 1

WILSON GLYNN · CIK 0001405625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,567

F1 · shares: Represents shares of fully vested restricted stock issued under the Company's 2014 Omnibus Stock Ownership Plan in connection with the execution of amendment to employment agreement reflecting change in status from President and Chief Executive Officer to Strategic Advisor.

SEC source: 0001144204-17-045909 · v474359_4.xml · nonDerivative · entry 1

Silverman Joshua · CIK 0001524858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,115

F1 · shares: Represents the portion of the annual retainer for each non-employee director payable in immediately vested restricted, common stock under the Company's 2014 Omnibus Stock Ownership Plan and based on the closing price of $3.05 per share, on the day immediately preceding the date of the Company's 2017 annual meeting.

SEC source: 0001144204-17-045906 · v474358_4.xml · nonDerivative · entry 1

Wasserman Frederick Gerald · CIK 0001384383 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,115

F1 · shares: Represents the portion of the annual retainer for each non-employee director payable in immediately vested restricted, common stock under the Company's 2014 Omnibus Stock Ownership Plan and based on the closing price of $3.05 per share, on the day immediately preceding the date of the Company's 2017 annual meeting.

SEC source: 0001144204-17-045905 · v474357_4.xml · nonDerivative · entry 1

Laskow-Pooley David · CIK 0001638533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,115

F1 · shares: Represents the portion of the annual retainer for each non-employee director payable in immediately vested restricted, common stock under the Company's 2014 Omnibus Stock Ownership Plan and based on the closing price of $3.05 per share, on the day immediately preceding the date of the Company's 2017 annual meeting.

SEC source: 0001144204-17-045903 · v474356_4.xml · nonDerivative · entry 1

Grisewood Sherry · CIK 0001658039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,476

F1 · shares: Represents the portion of the annual retainer for each non-employee director payable in immediately vested restricted, common stock under the Company's 2014 Omnibus Stock Ownership Plan and based on the closing price of $3.05 per share, on the day immediately preceding the date of the Company's 2017 annual meeting.

SEC source: 0001144204-17-045902 · v474355_4.xml · nonDerivative · entry 1

Reddish Mark · CIK 0001547593 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,004

F1 · shares: Represents the portion of the annual retainer for each non-employee director payable in immediately vested restricted, common stock under the Company's 2014 Omnibus Stock Ownership Plan and based on the closing price of $3.05 per share, on the day immediately preceding the date of the Company's 2017 annual meeting.

SEC source: 0001144204-17-014231 · v461691_4.xml · nonDerivative · entry 1

BONFIGLIO JOHN N · CIK 0001222253 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,054

F1 · shares: Represents the portion of a discretionary bonus award for 2016 payable as a restricted, immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan. The issuance of 5,220 shares of restricted common stock was based on the closing price or our common stock of $4.31 per share, on the day immediately preceding the date the 2016 bonus award was approved.

SEC source: 0001144204-17-014235 · v461697_4.xml · nonDerivative · entry 1

WILSON GLYNN · CIK 0001405625 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,567

F1 · shares: Represents the portion of a discretionary bonus award for 2016 payable as a restricted, immediately vested, common stock under the Company's 2014 Omnibus Stock Ownership Plan. The issuance of 12,761 shares of restricted common stock was based on the closing price or our common stock of $4.31 per share, on the day immediately preceding the date the 2016 bonus award was approved.

SEC source: 0001144204-16-139495 · v455027_4.xml · derivative · entry 4

BONFIGLIO JOHN N · CIK 0001222253 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,416

Underlying: Common Stock · 10,417 shares

Expires 2025-02-10

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: Represents a partial exercise of a stock option award under the Company's 2014 Omnibus Stock Ownership Plan (the "Plan") originally granted in connection with services to the Company as a consultant. The options fully vested on January 31, 2016. In connection with the exercise of the options, Reporting Person transferred the shares to his spouse.

SEC source: 0001144204-16-139495 · v455027_4.xml · nonDerivative · entry 3

BONFIGLIO JOHN N · CIK 0001222253 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 10,417

F1 · shares: Represents a partial exercise of a stock option award under the Company's 2014 Omnibus Stock Ownership Plan (the "Plan") originally granted in connection with services to the Company as a consultant. The options fully vested on January 31, 2016. In connection with the exercise of the options, Reporting Person transferred the shares to his spouse.

SEC source: 0001144204-16-139495 · v455027_4.xml · nonDerivative · entry 2

BONFIGLIO JOHN N · CIK 0001222253 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,834

F1 · shares: Represents a partial exercise of a stock option award under the Company's 2014 Omnibus Stock Ownership Plan (the "Plan") originally granted in connection with services to the Company as a consultant. The options fully vested on January 31, 2016. In connection with the exercise of the options, Reporting Person transferred the shares to his spouse.