NTRP

SEC source: 0001493152-20-011346 · ownership.xml · derivative · entry 1

RUPORT MARK · CIK 0001030874 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,654

Underlying: Common Stock · 116,654 shares

Expires 2025-05-27

F1 · date: The option grant was previously approved by a committee of the Issuer's Board of Directors, subject to stockholder approval of an amendment to the Issuer's equity incentive plan under which the option was granted. The Issuer's stockholders approved the amendment on June 15, 2020.

F2 · derivative.exercise_date: The stock option vests as follows: (i) 25% of the shares underlying the option vested on June 15, 2020, and (ii) the balance of the shares underlying the option will vest in equal (as closely as possible) monthly installments over three years from June 15, 2020, subject, in each case, to the Reporting Person being in the continous employ of the Issuer on the applicable vesting date.

SEC source: 0001493152-20-011345 · ownership.xml · derivative · entry 1

Fisher Ronald Kenneth Jr · CIK 0001698203 · VP of Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,331

Underlying: Common Stock · 23,331 shares

Expires 2025-05-27

F1 · date: The option grant was previously approved by a committee of the Issuer's Board of Directors, subject to stockholder approval of an amendment to the Issuer's equity incentive plan under which the option was granted. The Issuer's stockholders approved the amendment on June 15, 2020.

F2 · derivative.exercise_date: The stock option vests as follows: (i) 25% of the shares underlying the option vested on June 15, 2020, and (ii) the balance of the shares underlying the option will vest in equal (as closely as possible) monthly installments over three years from June 15, 2020, subject, in each case, to the Reporting Person being in the continous employ of the Issuer on the applicable vesting date.

SEC source: 0001493152-20-007777 · ownership.xml · derivative · entry 2

Rice John Reynolds · CIK 0001698204 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,044

Underlying: Common Stock · 16,044 shares

Expires 2025-04-30

SEC source: 0001493152-20-007777 · ownership.xml · nonDerivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 523

F1 · shares: The shares shown were forfeited in connection with the Reporting Person's resignation as an employee of the Issuer.

SEC source: 0001493152-20-006418 · ownership.xml · nonDerivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,492

F1 · security: The shares shown were issued under the Issuer's 2013 Equity Incentive Plan. Such shares will vest in full on December 31, 2020, provided that the Reporting Person remains an employee of, or a consultant to, the Issuer through such vesting date.

SEC source: 0001493152-20-006417 · ownership.xml · nonDerivative · entry 1

Beckett Darren · CIK 0001745828 · CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,125

F1 · security: The shares shown were issued under the Issuer's 2013 Equity Incentive Plan. Such shares will vest in full on December 31, 2020, provided that the Reporting Person remains an employee of, or a consultant to, the Issuer through such vesting date.

SEC source: 0001493152-20-006416 · ownership.xml · nonDerivative · entry 1

Fisher Ronald Kenneth Jr · CIK 0001698203 · VP of Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,325

F1 · security: The shares shown were issued under the Issuer's 2013 Equity Incentive Plan. Such shares will vest in full on December 31, 2020, provided that the Reporting Person remains an employee of, or a consultant to, the Issuer through such vesting date.

SEC source: 0001493152-20-006415 · ownership.xml · nonDerivative · entry 1

Orzechowski Frank · CIK 0001781860 · CFO, PFO and PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 969

F1 · security: The shares shown were issued under the Issuer's 2013 Equity Incentive Plan. Such shares will vest in full on December 31, 2020, provided that the Reporting Person remains an employee of, or a consultant to, the Issuer through such vesting date.

SEC source: 0001493152-20-006414 · ownership.xml · nonDerivative · entry 1

RUPORT MARK · CIK 0001030874 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 969

F1 · security: The shares shown were issued under the Issuer's 2013 Equity Incentive Plan. Such shares will vest in full on December 31, 2020, provided that the Reporting Person remains an employee of, or a consultant to, the Issuer through such vesting date.

SEC source: 0001493152-20-003022 · ownership.xml · derivative · entry 2

Battinelli Salvatore F · CIK 0001714848 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,272

Underlying: Common Stock · 24,272 shares

Expires 2025-07-28

F1 · price: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 16.67 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 24,272 shares of the Company's Common Stock for an aggregate purchase price of $25,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

SEC source: 0001493152-20-003022 · ownership.xml · derivative · entry 1

Battinelli Salvatore F · CIK 0001714848 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16.67

Underlying: Common Stock · 31,756 shares

Expires not disclosed

F1 · security: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 16.67 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 24,272 shares of the Company's Common Stock for an aggregate purchase price of $25,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

F1 · derivative.expiration_date: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 16.67 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 24,272 shares of the Company's Common Stock for an aggregate purchase price of $25,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

F2 · derivative.underlying_shares: Represents the maximum amount of common shares issuable upon conversion as described in footnote 1.

SEC source: 0001493152-20-003021 · ownership.xml · derivative · entry 2

RUPORT MARK · CIK 0001030874 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,544

Underlying: Common Stock · 48,544 shares

Expires 2025-07-28

F1 · price: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 33.33 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 48,544 shares of the Company's Common Stock for an aggregate purchase price of $50,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

SEC source: 0001493152-20-003021 · ownership.xml · derivative · entry 1

RUPORT MARK · CIK 0001030874 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33.33

Underlying: Common Stock · 63,494 shares

Expires not disclosed

F1 · security: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 33.33 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 48,544 shares of the Company's Common Stock for an aggregate purchase price of $50,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

F1 · derivative.expiration_date: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 33.33 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 48,544 shares of the Company's Common Stock for an aggregate purchase price of $50,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

F2 · derivative.underlying_shares: Represents the maximum amount of common shares issuable upon conversion as described in footnote 1.

SEC source: 0001493152-20-003020 · ownership.xml · derivative · entry 2

Garofalo Frank J · CIK 0001698160 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,272

Underlying: Common Stock · 24,272 shares

Expires 2025-07-28

F1 · price: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 16.67 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 24,272 shares of the Company's Common Stock for an aggregate purchase price of $25,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

SEC source: 0001493152-20-003020 · ownership.xml · derivative · entry 1

Garofalo Frank J · CIK 0001698160 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16.67

Underlying: Common Stock · 31,756 shares

Expires not disclosed

F1 · security: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 16.67 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 24,272 shares of the Company's Common Stock for an aggregate purchase price of $25,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

F1 · derivative.expiration_date: Pursuant to a Securities Purchase Agreement between the Company and the Reporting Person, the Reporting Person purchased 16.67 shares of the Company's Series E Preferred Stock (the "Preferred Shares") and warrants to purchase 24,272 shares of the Company's Common Stock for an aggregate purchase price of $25,000 or $1,500 per Preferred Share (the "Stated Value"). Dividends accrue on a monthly basis of 9% per annum and shall increase the Stated Value. The holder shall have the right to convert the Preferred Shares into common shares at a conversion rate determined by dividing the Conversion Amount by $1.03. The Conversion Amount is the sum of the Stated Value (including as a result of accrued dividends) plus the amount of any dividend that, but for the conversion, would have accrued at the dividend rate for the three year period commencing January 28, 2020. The Preferred Shares have no expiration date.

F2 · derivative.underlying_shares: Represents the maximum amount of common shares issuable upon conversion as described in footnote 1.

SEC source: 0001179110-21-001589 · edgar.xml · derivative · entry 4

Schwartz Carl I. · CIK 0001573354 · Former 10% holder

10b5-1 filing: Not disclosed

Ownership: Indirect · By Carl & Shirley Schwartz Trust

Disclosed balance after: 38,835

Underlying: Common Stock · 38,835 shares

Expires 2025-07-26

F4 · derivative.exercise_price: Conversion and exercise prices have been adjusted to reflect a 1 for 10 reverse stock split effected by the issuer on February 27, 2020.

F3 · price: Purchase was made in conjunction with purchase of Series E Convertible Preferred Stock.

F1 · derivative.underlying_shares: Share ownership totals have been adjusted to reflect a 1 for 10 reverse stock split effected by the issuer on February 27, 2020.

F1 · balance_after: Share ownership totals have been adjusted to reflect a 1 for 10 reverse stock split effected by the issuer on February 27, 2020.

SEC source: 0001179110-21-001589 · edgar.xml · derivative · entry 3

Schwartz Carl I. · CIK 0001573354 · Former 10% holder

10b5-1 filing: Not disclosed

Ownership: Indirect · By Carl & Shirley Schwartz Trust

Disclosed balance after: 266.67

Underlying: Common Stock · 38,835 shares

Expires not disclosed

F4 · derivative.exercise_price: Conversion and exercise prices have been adjusted to reflect a 1 for 10 reverse stock split effected by the issuer on February 27, 2020.

F2 · derivative.expiration_date: No expiration date.

F1 · derivative.underlying_shares: Share ownership totals have been adjusted to reflect a 1 for 10 reverse stock split effected by the issuer on February 27, 2020.

SEC source: 0001250853-19-000110 · primary_doc.xml · derivative · entry 2

RUPORT MARK · CIK 0001030874 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2024-12-02

F2 · derivative.exercise_date: The stock option vests and becomes exercisable in equal (as closely as possible) monthly installments over three years from the Grant Date, subject to the Reporting Person being in the continuous employ of the Issuer on the applicable vesting date.

SEC source: 0001250853-19-000110 · primary_doc.xml · derivative · entry 1

RUPORT MARK · CIK 0001030874 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2024-12-02

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in full on the one month anniversary of December 3, 2019 (the "Grant Date")

SEC source: 0001250853-19-000101 · primary_doc.xml · derivative · entry 1

Beckett Darren · CIK 0001745828 · CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-10-10

SEC source: 0001179110-19-009568 · edgar.xml · nonDerivative · entry 4

Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

SEC source: 0001179110-19-009767 · edgar.xml · nonDerivative · entry 4

Schwartz Carl I. · CIK 0001573354 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

SEC source: 0001179110-19-009568 · edgar.xml · nonDerivative · entry 3

Schwartz Carl I. · CIK 0001573354 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,937,567

SEC source: 0001179110-19-009767 · edgar.xml · nonDerivative · entry 3

Schwartz Carl I. · CIK 0001573354 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,937,567

SEC source: 0001250853-19-000096 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,922

Underlying: Common Stock · 22,922 shares

Expires 2024-07-31

SEC source: 0001250853-19-000092 · primary_doc.xml · derivative · entry 1

Beckett Darren · CIK 0001745828 · CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2024-07-17

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in four annual installments of 1,250 shares each over four years from the date of grant; provided, in each case, that the Reporting Person remains an employee of the Issuer through such vesting date.

SEC source: 0001250853-19-000091 · primary_doc.xml · derivative · entry 2

Orzechowski Frank · CIK 0001781860 · CFO, PFO and PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2024-06-30

F1 · date: The option grant was previously approved by a committee of the Issuer's Board of Directors, subject to stockholder approval of an amendment to the Issuer's equity incentive plan under which the option was granted. The Issuer's stockholders approved the amendment on July 18, 2019.

F2 · derivative.exercise_date: The stock option vests as follows: 3,872 shares will vest and become exercisable on July 1, 2020; 9,000 shares will vest and become exercisable on July 1, 2021; 14,128 shares will vest and become exercisable on July 1, 2022, and 33,000 shares will vest and become exercisable on July 1, 2023, subject, in each case, to the Reporting Person being in the continuous employ of the Issuer on the applicable vesting date.

SEC source: 0001250853-19-000091 · primary_doc.xml · derivative · entry 1

Orzechowski Frank · CIK 0001781860 · CFO, PFO and PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2024-06-30

F1 · date: The option grant was previously approved by a committee of the Issuer's Board of Directors, subject to stockholder approval of an amendment to the Issuer's equity incentive plan under which the option was granted. The Issuer's stockholders approved the amendment on July 18, 2019.

SEC source: 0001250853-19-000090 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,916

Underlying: Common Stock · 22,916 shares

Expires 2024-06-30

F1 · date: The option grant was previously approved by a committee of the Issuer's Board of Directors, subject to stockholder approval of an amendment to the Issuer's equity incentive plan under which the option was granted. The Issuer's stockholders approved the amendment on July 18, 2019.

SEC source: 0001250853-19-000072 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,916

Underlying: Common Stock · 22,916 shares

Expires 2024-05-31

SEC source: 0001179110-19-006589 · edgar.xml · derivative · entry 3

Schwartz Carl I. · CIK 0001573354 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Carl I. Schwartz Revocable Family Trust dtd 03/14/19

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2024-11-08

F1 · price: Purchase price included 200,000 Warrants reported on table II.

F2 · derivative.exercise_date: Warrant contains a Beneficial Ownership Limitation provision that does not permit an exercise if it would result in the holder owning more than 4.99% of the outstanding shares of the Issuer. These limits may be increased up to 9.99% upon notice to the Issuer.

SEC source: 0001179110-19-006589 · edgar.xml · nonDerivative · entry 2

Schwartz Carl I. · CIK 0001573354 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Carl I. Schwartz Revocable Family Trust dtd 3/14/19

Disclosed balance after: 400,000

F1 · price: Purchase price included 200,000 Warrants reported on table II.

SEC source: 0001179110-19-006622 · edgar.xml · derivative · entry 3

Schwartz Carl I. · CIK 0001573354 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Carl and Shirley Schwartz Trust dtd 3/14/19

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2024-11-08

F1 · price: Purchase price included 200,000 Warrants reported on table II.

F2 · derivative.exercise_date: Warrant contains a Beneficial Ownership Limitation provision that does not permit an exercise if it would result in the holder owning more than 4.99% of the outstanding shares of the Issuer. These limits may be increased up to 9.99% upon notice to the Issuer.

SEC source: 0001179110-19-006622 · edgar.xml · nonDerivative · entry 2

Schwartz Carl I. · CIK 0001573354 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Carl and Shirley Schwartz Trust dtd 3/14/19

Disclosed balance after: 400,000

F1 · price: Purchase price included 200,000 Warrants reported on table II.

SEC source: 0001250853-19-000066 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,916

Underlying: Common Stock · 22,916 shares

Expires 2024-04-30

SEC source: 0001250853-19-000062 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,916

Underlying: Common Stock · 22,916 shares

Expires 2024-03-29

SEC source: 0001250853-19-000058 · primary_doc.xml · nonDerivative · entry 2

Fisher Ronald Kenneth Jr · CIK 0001698203 · VP of Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

F2 · shares: The shares shown represent a stock award based on an applicable milestone being achieved.

SEC source: 0001250853-19-000047 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,916

Underlying: Common Stock · 22,916 shares

Expires 2024-02-29

SEC source: 0001250853-19-000037 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,916

Underlying: Common Stock · 22,916 shares

Expires 2024-01-31

SEC source: 0001250853-19-000030 · primary_doc.xml · derivative · entry 1

Fisher Ronald Kenneth Jr · CIK 0001698203 · VP of Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,832

Underlying: Common Stock · 11,832 shares

Expires 2024-01-09

SEC source: 0001250853-19-000007 · primary_doc.xml · derivative · entry 1

Beckett Darren · CIK 0001745828 · CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2023-12-31

F1 · derivative.exercise_date: (1) The stock option vests and becomes exercisable in four annual installments over four years from the date of grant, as follows: 937 shares will vest and become exercisable on December 31, 2019; 937 shares will vest and become exercisable on December 31, 2020; 938 shares will vest and become exercisable on December 31, 2021; and 938 shares will vest and become exercisable on December 31, 2022; provided, in each case, that the Reporting Person remains an employee of the Issuer through such vesting date.

SEC source: 0001250853-19-000006 · primary_doc.xml · derivative · entry 1

Toups Nannette · CIK 0001718563 · CFO, PFO and PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2023-12-31

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in four equal annual installments of 12,500 shares each over four years from the date of grant, beginning on December 31, 2019, provided, in each case, that the Reporting Person remains an employee of the Issuer through such vesting date.

SEC source: 0001250853-19-000005 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,916

Underlying: Common Stock · 22,916 shares

Expires 2023-12-31

SEC source: 0001250853-19-000004 · primary_doc.xml · nonDerivative · entry 1

Summers Kent J · CIK 0001728948 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

SEC source: 0001250853-19-000003 · primary_doc.xml · nonDerivative · entry 1

Garofalo Frank J · CIK 0001698160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

SEC source: 0001250853-19-000002 · primary_doc.xml · nonDerivative · entry 1

Battinelli Salvatore F · CIK 0001714848 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,213

SEC source: 0001250853-19-000001 · primary_doc.xml · nonDerivative · entry 1

Duitch Dennis · CIK 0001352880 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,489

SEC source: 0001250853-18-000146 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,916

Underlying: Common Stock · 22,916 shares

Expires 2023-12-01

SEC source: 0001250853-18-000138 · primary_doc.xml · derivative · entry 1

Rice John Reynolds · CIK 0001698204 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,750

Underlying: Common Stock · 68,750 shares

Expires 2023-11-01

SEC source: 0001250853-18-000133 · primary_doc.xml · derivative · entry 1

Beckett Darren · CIK 0001745828 · CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2023-10-17

F1 · derivative.exercise_date: The stock option vests as follows: 1,000 shares will vest and become exercisable on Sepetember 16, 2019; 3,000 shares will vest and become exercisable on September 16, 2020; 5,000 shares will vest and become exercisable on September 16, 2021, and 11,000 shares will vest and become exercisable on September 16, 2022, subject, in each case, to the Reporting Person being in the continuous employ of the Issuer on the applicable vesting date.