NUWE

SEC source: 0001567619-20-011106 · doc1.xml · derivative · entry 1

WATSON WARREN S · CIK 0001172342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,849

Underlying: Common Stock · 18,849 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001567619-20-011105 · doc1.xml · derivative · entry 1

WALLER GREGORY D · CIK 0001204144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,849

Underlying: Common Stock · 18,849 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001567619-20-011104 · doc1.xml · derivative · entry 1

Salveson Jon W · CIK 0001372026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,849

Underlying: Common Stock · 18,849 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001567619-20-011103 · doc1.xml · derivative · entry 1

Brandt Steven Frank · CIK 0001697556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,849

Underlying: Common Stock · 18,849 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001567619-19-018363 · doc1.xml · derivative · entry 1

Costanzo Maria Rosa · CIK 0001788278 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,313

Underlying: Common Stock · 1,313 shares

Expires 2029-09-02

F1 · derivative.exercise_date: (1) Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001788278-20-000001 · primary_doc.xml · derivative · entry 1

Costanzo Maria Rosa · CIK 0001788278 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,313

Underlying: Common Stock · 1,313 shares

Expires 2029-09-02

F1 · kind: On January 6, 2020, the reporting person rejected the nonstatutory stock options granted to her on September 3, 2019. Accordingly, the reporting person disclaims beneficial ownership of these options of the Issuer's common stock issuable in connection therewith. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F2 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-19-000053 · primary_doc.xml · derivative · entry 1

WATSON WARREN S · CIK 0001172342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,970

Underlying: Common Stock · 1,970 shares

Expires 2029-05-22

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001567619-19-012257 · doc1.xml · derivative · entry 1

Jaramillo Nestor Jr. · CIK 0001777051 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,489

Underlying: Common Stock · 84,489 shares

Expires 2029-05-22

F1 · derivative.exercise_date: (1) The options will vest as follows: 25% of the options will vest on the one-year anniversary of the date of grant; the remaining options will vest in 36 equal consecutive monthly increments thereafter, such that all of the options will be vested on the four-year anniversary of the date of grant.

SEC source: 0001596771-19-000052 · primary_doc.xml · derivative · entry 1

WALLER GREGORY D · CIK 0001204144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,970

Underlying: Common Stock · 1,970 shares

Expires 2029-05-22

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-19-000051 · primary_doc.xml · derivative · entry 1

Salveson Jon W · CIK 0001372026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,970

Underlying: Common Stock · 1,970 shares

Expires 2029-05-22

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-19-000049 · primary_doc.xml · derivative · entry 1

Brandt Steven Frank · CIK 0001697556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,970

Underlying: Common Stock · 1,970 shares

Expires 2029-05-22

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-19-000050 · primary_doc.xml · derivative · entry 1

Likens Matthew E. · CIK 0001699613 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,970

Underlying: Common Stock · 1,970 shares

Expires 2029-05-22

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-19-000017 · primary_doc.xml · derivative · entry 3

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,523

Underlying: Common Stock · 9,523 shares

Expires not disclosed

F1 · price: The reporting person purchased Class A Units, which consisted of one share of common stock, a Series 1 warrant to purchase one share of common stock, and a Series 2 warrant to purchase one share of common stock, in an underwritten public offering by the issuer at a price of $5.25 per unit. The offering closed on March 12, 2019.

F3 · derivative.expiration_date: The Series 2 warrant expires on the earlier of the eighteen-month anniversary of the date of issuance and the 30th trading day following public announcement by the issuer of receipt from the U.S. Food and Drug Administration of clearance or approval of a modification to the product label for the Aquadex FlexFlow system to include pediatric patients.

SEC source: 0001596771-19-000017 · primary_doc.xml · derivative · entry 2

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,523

Underlying: Common Stock · 9,523 shares

Expires 2024-03-12

F1 · price: The reporting person purchased Class A Units, which consisted of one share of common stock, a Series 1 warrant to purchase one share of common stock, and a Series 2 warrant to purchase one share of common stock, in an underwritten public offering by the issuer at a price of $5.25 per unit. The offering closed on March 12, 2019.

SEC source: 0001596771-19-000017 · primary_doc.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,615

F1 · shares: The reporting person purchased Class A Units, which consisted of one share of common stock, a Series 1 warrant to purchase one share of common stock, and a Series 2 warrant to purchase one share of common stock, in an underwritten public offering by the issuer at a price of $5.25 per unit. The offering closed on March 12, 2019.

F1 · price: The reporting person purchased Class A Units, which consisted of one share of common stock, a Series 1 warrant to purchase one share of common stock, and a Series 2 warrant to purchase one share of common stock, in an underwritten public offering by the issuer at a price of $5.25 per unit. The offering closed on March 12, 2019.

F2 · balance_after: On January 2, 2019, the issuer effected a 1-for-14 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 14 shares of common stock was automatically converted into one share of common stock.

SEC source: 0001596771-18-000088 · primary_doc.xml · nonDerivative · entry 1

WALLER GREGORY D · CIK 0001204144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2

F1 · balance_after: On January 12, 2017, the Issuer effected a 1-for-30 reverse stock split of the issued and outstanding shares of its common stock; upon effectiveness of the reverse stock split, every 30 shares of common stock was automatically converted into one share of common stock. On October 12, 2017, the Issuer effected a 1-for-20 reverse stock split of the issued and outstanding shares of its common stock; upon effectiveness of the reverse stock split, every 20 shares of common stock was automatically converted into one share of common stock.

SEC source: 0001140361-18-031727 · form4.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,355

F1 · shares: The reporting person purchased shares of common stock in an underwritten public offering by the issuer. The offering closed on July 3, 2018.

F2 · balance_after: On October 12, 2017, the Issuer effected a 1-for-20 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 20 shares of common stock was automatically converted into one share of common stock.

SEC source: 0001596771-18-000067 · primary_doc.xml · derivative · entry 1

WATSON WARREN S · CIK 0001172342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-05-24

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000066 · primary_doc.xml · derivative · entry 1

WALLER GREGORY D · CIK 0001204144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-05-24

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000065 · primary_doc.xml · derivative · entry 1

Salveson Jon W · CIK 0001372026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-05-24

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000064 · primary_doc.xml · derivative · entry 1

Likens Matthew E. · CIK 0001699613 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-05-24

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000063 · primary_doc.xml · derivative · entry 1

Brandt Steven Frank · CIK 0001697556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-05-24

F1 · derivative.exercise_price: On May 18, 2018, the reporting person mistakenly filed a Form 4 reporting the grant of an option to purchase 10,000 shares of common stock on May 16, 2018 that did not in fact occur. Such grant was not made until May 25, 2018, as reflected in this amended form.

F1 · date: On May 18, 2018, the reporting person mistakenly filed a Form 4 reporting the grant of an option to purchase 10,000 shares of common stock on May 16, 2018 that did not in fact occur. Such grant was not made until May 25, 2018, as reflected in this amended form.

F2 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

F1 · derivative.expiration_date: On May 18, 2018, the reporting person mistakenly filed a Form 4 reporting the grant of an option to purchase 10,000 shares of common stock on May 16, 2018 that did not in fact occur. Such grant was not made until May 25, 2018, as reflected in this amended form.

SEC source: 0001596771-18-000058 · primary_doc.xml · derivative · entry 1

Brandt Steven Frank · CIK 0001697556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-05-15

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000008 · primary_doc.xml · derivative · entry 1

WATSON WARREN S · CIK 0001172342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,206

Underlying: Common Stock · 46,206 shares

Expires 2028-01-16

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000003 · primary_doc.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 659,193

Underlying: Common Stock · 659,193 shares

Expires 2028-01-16

F1 · derivative.exercise_date: The options will vest as follows: 25% of the options will vest on the one-year anniversary of the date of grant; the remaining options will vest in 36 equal consecutive monthly increments thereafter, so all will be vested on the four-year anniversary of the date of grant.

SEC source: 0001596771-18-000007 · primary_doc.xml · derivative · entry 1

WALLER GREGORY D · CIK 0001204144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,807

Underlying: Common Stock · 52,807 shares

Expires 2028-01-16

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000006 · primary_doc.xml · derivative · entry 1

Salveson Jon W · CIK 0001372026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,206

Underlying: Common Stock · 46,206 shares

Expires 2028-01-16

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000005 · primary_doc.xml · derivative · entry 1

Likens Matthew E. · CIK 0001699613 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,004

Underlying: Common Stock · 33,004 shares

Expires 2028-01-16

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000004 · primary_doc.xml · derivative · entry 1

Brandt Steven Frank · CIK 0001697556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,004

Underlying: Common Stock · 33,004 shares

Expires 2028-01-16

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-18-000002 · primary_doc.xml · derivative · entry 1

Drayton Claudia · CIK 0001629827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,746

Underlying: Common Stock · 197,746 shares

Expires 2028-01-03

F1 · derivative.exercise_date: The options will vest as follows: 25% of the options will vest on the one-year anniversary of the date of grant; the remaining options will vest in 36 equal consecutive monthly increments thereafter, so that all of the options will be vested on the four-year anniversary of the date of grant.

SEC source: 0001596771-18-000001 · primary_doc.xml · derivative · entry 1

Breidenstein Jim · CIK 0001705206 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,068

Underlying: Common Stock · 181,068 shares

Expires 2028-01-03

F1 · derivative.exercise_date: The options will vest as follows: 25% of the options will vest on the one-year anniversary of the date of grant; the remaining options will vest in 36 equal consecutive monthly increments thereafter, so that all of the options will be vested on the four-year anniversary of the date of grant.

SEC source: 0001596771-17-000088 · primary_doc.xml · derivative · entry 3

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 22,300 shares

Expires 2024-11-22

F2 · price: The reporting person purchased the Preferred Stock for $995.54 per share in an underwritten public offering that closed on November 27, 2017. For each share of Preferred Stock purchased, the reporting person also received one warrant to purchase 223 shares of common stock (the Series 1 warrant), and one warrant to purchase 223 shares of common stock (the Series 2 warrant). The Preferred Stock and warrants were issued separately.

SEC source: 0001596771-17-000088 · primary_doc.xml · derivative · entry 2

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 22,300 shares

Expires 2018-11-22

F2 · price: The reporting person purchased the Preferred Stock for $995.54 per share in an underwritten public offering that closed on November 27, 2017. For each share of Preferred Stock purchased, the reporting person also received one warrant to purchase 223 shares of common stock (the Series 1 warrant), and one warrant to purchase 223 shares of common stock (the Series 2 warrant). The Preferred Stock and warrants were issued separately.

SEC source: 0001596771-17-000088 · primary_doc.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 22,222 shares

Expires not disclosed

F2 · price: The reporting person purchased the Preferred Stock for $995.54 per share in an underwritten public offering that closed on November 27, 2017. For each share of Preferred Stock purchased, the reporting person also received one warrant to purchase 223 shares of common stock (the Series 1 warrant), and one warrant to purchase 223 shares of common stock (the Series 2 warrant). The Preferred Stock and warrants were issued separately.

F1 · derivative.expiration_date: The Series F Convertible Preferred Stock (the "Preferred Stock") has no expiration date.

SEC source: 0001144204-17-052491 · tv476993_4.xml · nonDerivative · entry 2

Choi Ki Yong · CIK 0001407536 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,793,109

SEC source: 0001144204-17-052491 · tv476993_4.xml · nonDerivative · entry 1

Choi Ki Yong · CIK 0001407536 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,762,968

SEC source: 0001144204-17-048880 · v475457_4.xml · nonDerivative · entry 1

Choi Ki Yong · CIK 0001407536 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,731,464

SEC source: 0001144204-17-043745 · v473525_4.xml · nonDerivative · entry 2

Choi Ki Yong · CIK 0001407536 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,653,253

F2 · date: August 10, 2017 through August 14, 2017.

SEC source: 0001144204-17-043745 · v473525_4.xml · nonDerivative · entry 1

Choi Ki Yong · CIK 0001407536 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,640,000

F1 · date: August 8, 2017 and August 9, 2017.

SEC source: 0001596771-17-000054 · primary_doc.xml · derivative · entry 1

WATSON WARREN S · CIK 0001172342 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-17-000053 · primary_doc.xml · derivative · entry 1

WALLER GREGORY D · CIK 0001204144 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-17-000052 · primary_doc.xml · derivative · entry 1

Salveson Jon W · CIK 0001372026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-17-000051 · primary_doc.xml · derivative · entry 1

Likens Matthew E. · CIK 0001699613 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-17-000050 · primary_doc.xml · derivative · entry 1

Brandt Steven Frank · CIK 0001697556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2027-06-01

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-17-000049 · primary_doc.xml · derivative · entry 1

Breidenstein Jim · CIK 0001705206 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,145

Underlying: Common Stock · 339,145 shares

Expires 2027-06-01

F1 · derivative.exercise_date: The options will vest as follows: 25% of the options will vest on the one-year anniversary of the date of grant; the remaining options will vest in 36 equal consecutive monthly increments thereafter, so that all of the options will be vested on the four-year anniversary of the date of grant.

SEC source: 0001596771-17-000033 · primary_doc.xml · derivative · entry 2

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2022-04-24

F1 · price: The reporting person purchased Class A Units ("Units") consisting of one share of common stock and one warrant to purchase one share of common stock for $1.00 per Unit in an underwritten public offering by the issuer. The shares of common stock and warrants comprising the Units were issued separately. The offering is expected to close on April 24, 2017.

SEC source: 0001596771-17-000033 · primary_doc.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,468

F1 · price: The reporting person purchased Class A Units ("Units") consisting of one share of common stock and one warrant to purchase one share of common stock for $1.00 per Unit in an underwritten public offering by the issuer. The shares of common stock and warrants comprising the Units were issued separately. The offering is expected to close on April 24, 2017.

F2 · balance_after: On January 12, 2017, the issuer effected a 1-for-30 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 30 shares of common stock was automatically converted into one share of common stock, resulting in a decrease of the insider's common stock holdings of 448,660 shares.

SEC source: 0001596771-17-000009 · primary_doc.xml · derivative · entry 2

Brandt Steven Frank · CIK 0001697556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 903

Underlying: Common Stock · 903 shares

Expires 2027-02-01

F2 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-17-000009 · primary_doc.xml · nonDerivative · entry 1

Brandt Steven Frank · CIK 0001697556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,437

F1 · price: The reporting person was granted restricted stock units, which vest in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the shares will be vested on the one-year anniversary of the date of grant. Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001596771-17-000018 · primary_doc.xml · derivative · entry 2

Likens Matthew E. · CIK 0001699613 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 903

Underlying: Common Stock · 903 shares

Expires 2027-02-01

F2 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.