NVNO

SEC source: 0001493152-21-030333 · ownership.xml · nonDerivative · entry 1

Glickman Marc H. · CIK 0001730171 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,600

F1 · price: The Reporting Person was granted 100,000 restricted stock units on November 30, 2021 pursuant to the issuer's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan"). The restricted stock units are subject to milestone-based vesting as follows: (i) 50% upon SAVVE (Surgical Anti-reflux Venous Valve Endoprosthesis) endpoints being achieved, and (ii) 50% upon the Pre-Market Approval of the VenoValve.

SEC source: 0001493152-21-030335 · ownership.xml · derivative · entry 2

BERMAN ROBERT ANDREW · CIK 0001258360 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,781

Underlying: Common Stock · 349,781 shares

Expires 2031-11-30

F2 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 30, 2021 pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the three calendar years through 2024.

SEC source: 0001493152-21-030335 · ownership.xml · nonDerivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,736

F1 · price: The Reporting Person was granted 200,000 restricted stock units on November 30, 2021 pursuant to the issuer's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan"). The restricted stock units are subject to milestone-based vesting as follows: (i) 50% upon SAVVE (Surgical Anti-reflux Venous Valve Endoprosthesis) endpoints being achieved, and (ii) 50% upon the Pre-Market Approval of the VenoValve.

SEC source: 0001493152-21-030303 · ownership.xml · derivative · entry 1

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,211

Underlying: Common Stock · 7,211 shares

Expires 2031-11-30

F1 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 30, 2021 pursuant to the issuer's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the 2022 calendar year.

SEC source: 0001493152-21-030305 · ownership.xml · derivative · entry 1

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,211

Underlying: Common Stock · 7,211 shares

Expires 2031-11-30

F1 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 30, 2021 pursuant to the issuer's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the 2022 calendar year.

SEC source: 0001493152-21-030304 · ownership.xml · derivative · entry 1

Duhay Francis · CIK 0001760582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,211

Underlying: Common Stock · 7,211 shares

Expires 2031-11-30

F1 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 30, 2021 pursuant to the issuer's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the 2022 calendar year.

SEC source: 0001493152-21-030301 · ownership.xml · derivative · entry 1

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,211

Underlying: Common Stock · 7,211 shares

Expires 2031-11-30

F1 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 30, 2021 pursuant to the issuer's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal quarterly installments on the last day of each fiscal quarter during the 2022 calendar year.

SEC source: 0001493152-21-029430 · ownership.xml · nonDerivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,736

SEC source: 0001493152-21-029229 · ownership.xml · nonDerivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,736

SEC source: 0001493152-21-029234 · ownership.xml · derivative · entry 2

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 388 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converts into one share of common stock of enVVeno Medical Corporation.

F2 · derivative.exercise_date: The RSUs were issued to the Reporting person on November 27, 2018, in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"), subject to vesting and settlement as described in the person's Form 4, as filed on November 6, 2019. The vesting and settlement of 388 RSUs occurred on November 16, 2021.

F2 · derivative.expiration_date: The RSUs were issued to the Reporting person on November 27, 2018, in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"), subject to vesting and settlement as described in the person's Form 4, as filed on November 6, 2019. The vesting and settlement of 388 RSUs occurred on November 16, 2021.

SEC source: 0001493152-21-029234 · ownership.xml · nonDerivative · entry 1

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,888

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

F2 · price: The RSUs were issued to the Reporting person on November 27, 2018, in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"), subject to vesting and settlement as described in the person's Form 4, as filed on November 6, 2019. The vesting and settlement of 388 RSUs occurred on November 16, 2021.

SEC source: 0001493152-21-022863 · ownership.xml · derivative · entry 2

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,084

Underlying: Common Stock · 1,042 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converts into one share of common stock of Hancock Jaffe Laboratories, Inc.

F2 · derivative.exercise_date: On September 13, 2019, the reporting person was granted 3,125 RSUs (78,125 RSUs pre one-for-twenty five (1:25) reverse stock split that was effected in November 2020), subject to vesting and settlement as described in the person's Form 4, as filed on October 10, 2020. The vesting and settlement of 1,042 RSUs occurred on September 13, 2021

F2 · derivative.expiration_date: On September 13, 2019, the reporting person was granted 3,125 RSUs (78,125 RSUs pre one-for-twenty five (1:25) reverse stock split that was effected in November 2020), subject to vesting and settlement as described in the person's Form 4, as filed on October 10, 2020. The vesting and settlement of 1,042 RSUs occurred on September 13, 2021

SEC source: 0001493152-21-022863 · ownership.xml · nonDerivative · entry 1

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,884

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

F1 · price: Each restricted stock unit ("RSU") converts into one share of common stock of Hancock Jaffe Laboratories, Inc.

SEC source: 0001493152-21-022862 · ownership.xml · derivative · entry 2

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,084

Underlying: Common Stock · 1,042 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converts into one share of common stock of Hancock Jaffe Laboratories, Inc.

F2 · derivative.exercise_date: On September 13, 2019, the reporting person was granted 3,125 RSUs (78,125 RSUs pre one-for-twenty five (1:25) reverse stock split that was effected in November 2020), subject to vesting and settlement as described in the person's Form 4, as filed on September 26, 2020. The vesting and settlement of 1,042 RSUs occurred on September 13, 2021.

F2 · derivative.expiration_date: On September 13, 2019, the reporting person was granted 3,125 RSUs (78,125 RSUs pre one-for-twenty five (1:25) reverse stock split that was effected in November 2020), subject to vesting and settlement as described in the person's Form 4, as filed on September 26, 2020. The vesting and settlement of 1,042 RSUs occurred on September 13, 2021.

SEC source: 0001493152-21-022862 · ownership.xml · nonDerivative · entry 1

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,614

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

F1 · price: Each restricted stock unit ("RSU") converts into one share of common stock of Hancock Jaffe Laboratories, Inc.

SEC source: 0001493152-21-021444 · ownership.xml · nonDerivative · entry 1

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,842

F1 · shares: On August 25, 2021, the reporting person purchased 1,300 shares of common stock in the public market at $7.70 per share.

SEC source: 0001493152-21-014906 · ownership.xml · nonDerivative · entry 1

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,572

SEC source: 0001493152-21-012878 · ownership.xml · nonDerivative · entry 1

Glickman Marc H. · CIK 0001730171 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,600

F1 · shares: On May 21, 2021, the reporting person purchased 1,600 shares of common stock on the open market at $5.90 per share.

SEC source: 0001493152-21-012298 · ownership.xml · nonDerivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,736

F1 · shares: The reporting person acquired these shares of common stock on the open market.

SEC source: 0001493152-21-012296 · ownership.xml · nonDerivative · entry 1

Duhay Francis · CIK 0001760582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,160

F1 · shares: The reporting person acquired these shares of common stock on the open market.

SEC source: 0001493152-21-004528 · ownership.xml · derivative · entry 1

Glickman Marc H. · CIK 0001730171 · SVP & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,000

Underlying: Common Stock · 406,000 shares

Expires 2031-02-18

F1 · security: The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan").

F2 · derivative.exercise_date: The stock options vest in equal quarterly installments over a two a year period, however the stock options may only become exercisable following receipt by the registrant of stockholder approval to increase the size of the Plan sufficiently to permit the exercise in full of such stock options under the Plan. If the registrant's stockholders do not approve an increase in the size of the Plan, the options will be void.

SEC source: 0001493152-21-004530 · ownership.xml · derivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 838,000

Underlying: Common Stock · 838,000 shares

Expires 2031-02-18

F1 · security: The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan").

F2 · derivative.exercise_date: The stock options vest in equal quarterly installments over a two a year period, however the stock options may only become exercisable following receipt by the registrant of stockholder approval to increase the size of the Plan sufficiently to permit the exercise in full of such stock options under the Plan. If the registrant's stockholders do not approve an increase in the size of the Plan, the options will be void.

SEC source: 0001493152-21-004534 · ownership.xml · derivative · entry 1

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,673

Underlying: Common Stock · 5,673 shares

Expires 2031-02-18

F1 · security: The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan")..

F2 · derivative.exercise_date: The common stock options were issued to the reporting person as part of the annual board compensation package for 2021. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the 2021 calendar year.

SEC source: 0001493152-21-004537 · ownership.xml · derivative · entry 1

Duhay Francis · CIK 0001760582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,673

Underlying: Common Stock · 5,673 shares

Expires 2031-02-18

F1 · security: The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan").

F2 · derivative.exercise_date: The common stock options were issued to the reporting person as part of the annual board compensation package for 2021. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the 2021 calendar year.

SEC source: 0001493152-21-004533 · ownership.xml · derivative · entry 1

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,673

Underlying: Common Stock · 5,673 shares

Expires 2031-02-18

F1 · security: The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan").

F2 · derivative.exercise_date: The common stock options were issued to the reporting person as part of the annual board compensation package for 2021. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the 2021 calendar year.

SEC source: 0001493152-21-004529 · ownership.xml · derivative · entry 1

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,673

Underlying: Common Stock · 5,673 shares

Expires 2031-02-18

F1 · security: The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan").

F2 · derivative.exercise_date: The common stock options were issued to the reporting person as part of the annual board compensation package for 2021. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the 2021 calendar year.

SEC source: 0001493152-21-004623 · ownership.xml · derivative · entry 2

Glynn Craig · CIK 0001809590 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324

Underlying: Common Stock · 324 shares

Expires 2031-02-18

F1 · security: The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan").

F3 · derivative.exercise_date: The stock options vest in equal quarterly installments over a three year period, however the stock options may only become exercisable following receipt by the registrant of stockholder approval to increase the size of the Plan sufficiently to permit the exercise in full of such stock options under the Plan. If the registrant's stockholders do not approve an increase in the size of the Plan, the options will be void.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 27

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,405,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 26

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,480,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 25

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,555,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 24

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,605,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 23

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,655,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 22

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,705,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 21

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,775,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 20

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,780,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 19

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,805,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 18

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,855,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-013755 · ownership.xml · derivative · entry 1

Glickman Marc H. · CIK 0001730171 · SVP & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 100,000 shares

Expires 2030-07-18

F1 · derivative.exercise_date: The common stock options were issued to the Reporting Person on July 18, 2020. The award is subject to time-based vesting and will vest in equal monthly portions over three years.

SEC source: 0001493152-20-013751 · ownership.xml · derivative · entry 2

BERMAN ROBERT ANDREW · CIK 0001258360 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,080,207

Underlying: Common Stock · 1,080,207 shares

Expires 2030-07-18

F2 · derivative.exercise_date: The common stock options were issued, and vested upon grant.

SEC source: 0001493152-20-013751 · ownership.xml · derivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,080,207 shares

Expires 2028-04-26

F1 · kind: The Board terminated the common stock options pursuant to Section 17.15 of the Amended and Restated 2016 Omnibus Incentive Plan.

SEC source: 0001493152-20-013748 · ownership.xml · derivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 100,000 shares

Expires 2030-07-18

F1 · derivative.exercise_date: The common stock options were issued to the Reporting Person on July 18, 2020. The award is subject to time-based vesting and will vest in equal monthly portions over three years.

SEC source: 0001493152-20-013754 · ownership.xml · derivative · entry 2

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-07-18

F1 · security: Granted as part of the annual board compensation package for 2020.

F2 · derivative.exercise_date: The common stock options were issued to the Reporting Person on July 18, 2020. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the calendar year. Any non-exercisable portion of the Option will immediately vest and become exercisable in the event that the grantees employment is terminated other than Cause (as defined in the "Employment Agreement") within 3 years of Change of Control as defined in the Plan.

SEC source: 0001493152-20-013754 · ownership.xml · nonDerivative · entry 1

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,500

F1 · security: Granted as part of the annual board compensation package for 2020.

SEC source: 0001493152-20-013753 · ownership.xml · derivative · entry 2

Duhay Francis · CIK 0001760582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-07-18

F1 · security: Granted as part of the annual board compensation package for 2020.

F2 · derivative.exercise_date: The common stock options were issued to the Reporting Person on July 18, 2020. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the calendar year. Any non-exercisable portion of the Option will immediately vest and become exercisable in the event that the grantees employment is terminated other than Cause (as defined in the "Employment Agreement") within 3 years of Change of Control as defined in the Plan.

SEC source: 0001493152-20-013753 · ownership.xml · nonDerivative · entry 1

Duhay Francis · CIK 0001760582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,228

F1 · security: Granted as part of the annual board compensation package for 2020.

SEC source: 0001493152-20-013752 · ownership.xml · derivative · entry 2

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-07-18

F1 · security: Granted as part of the annual board compensation package for 2020.

F2 · derivative.exercise_date: The common stock options were issued to the Reporting Person on July 18, 2020. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the calendar year. Any non-exercisable portion of the Option will immediately vest and become exercisable in the event that the grantees employment is terminated other than Cause (as defined in the "Employment Agreement") within 3 years of Change of Control as defined in the Plan.

SEC source: 0001493152-20-013752 · ownership.xml · nonDerivative · entry 1

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,250

F1 · security: Granted as part of the annual board compensation package for 2020.

SEC source: 0001493152-20-019736 · ownership.xml · derivative · entry 4

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-07-18

F4 · derivative.exercise_date: The common stock options were issued to the Reporting Person pursuant to the Plan on July 18, 2020 as part of the annual board compensation package for 2020. The award is subject to time-based vesting and will vest in equal quarterly portions over the remainder of the 2020 calendar year.

SEC source: 0001493152-20-019736 · ownership.xml · nonDerivative · entry 1

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

SEC source: 0001493152-21-004623 · ownership.xml · derivative · entry 1

Glynn Craig · CIK 0001809590 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2030-07-18

F1 · security: The stock option was granted pursuant to the registrant's Amended and Restated 2016 Omnibus Incentive Plan, as amended (the "Plan").

F2 · derivative.exercise_date: The stock option vests in equal quarterly installments over a three year period commencing October 18, 2020.