OLOX

SEC source: 0001213900-17-002300 · f4031017galvin_sgblocks.xml · derivative · entry 2

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,468

Underlying: Common Stock · 79,468 shares

Expires 2027-03-10

F2 · derivative.exercise_price: The options, issued under the issuer's stock incentive plan, will have an exercise price equal to 120% of the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options will vest and become exercisable in two tranches: 50% upon the achievement of the first performance target, and the remaining 50% upon the achievement of the second performance target.

SEC source: 0001213900-17-002300 · f4031017galvin_sgblocks.xml · derivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,957

Underlying: Common Stock · 105,957 shares

Expires 2027-03-10

F1 · derivative.exercise_price: The options, issued under the issuer's stock incentive plan, will have an exercise price equal to the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options will vest and become exercisable in two tranches: 50% upon the achievement of the first performance target, and the remaining 50% upon the achievement of the second performance target.

SEC source: 0001213900-17-002298 · f4031017ayyar_sgblocks.xml · derivative · entry 1

Ayyar Balan R · CIK 0001697760 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 16,667 shares

Expires 2027-03-10

F2 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's service as a director.

F1 · derivative.exercise_date: The options vest, subject to the reporting person's continued role as director, as to 25% of the underlying shares on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-17-000906 · f4013117shetty_sgblocks.xml · derivative · entry 2

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,211

Underlying: Common Stock · 55,838 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and will vest in equal quarterly installments over two years from the grant date so long as the reporting person remains an employee of the issuer.

SEC source: 0001213900-17-000906 · f4013117shetty_sgblocks.xml · derivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,373

Underlying: Common Stock · 13,200 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and vested in full on the grant date.

SEC source: 0001213900-17-000903 · f4013117armstrong_sgblocks.xml · derivative · entry 2

Armstrong Stevan · CIK 0001533029 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,158

Underlying: Common Stock · 21,281 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and will vest in equal quarterly installments over two years from the grant date so long as the reporting person remains an employee of the issuer.

SEC source: 0001213900-17-000903 · f4013117armstrong_sgblocks.xml · derivative · entry 1

Armstrong Stevan · CIK 0001533029 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,877

Underlying: Common Stock · 13,200 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and vested in full on the grant date.

SEC source: 0001213900-17-000900 · f4013117galvin_sgblocks.xml · derivative · entry 2

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,421

Underlying: Common Stock · 77,014 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F3 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and will vest in equal quarterly installments over two years from the grant date so long as the reporting person remains an employee of the issuer.

SEC source: 0001213900-17-000900 · f4013117galvin_sgblocks.xml · derivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,407

Underlying: Common Stock · 19,800 shares

Expires 2027-01-31

F1 · shares: The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.

F2 · derivative.exercise_date: The options were issued under the issuer's stock incentive plan and vested in full on the grant date.

SEC source: 0001213900-17-006812 · f4111716hillaircap_sgblocks.xml · derivative · entry 8

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common Stock · 33,334 shares

Expires 2026-10-31

F7 · kind: The options, issued pursuant to the issuer's Stock Option Plan, were transferred to Hillair Capital from Neal Kaufman and Sean McAvoy, current directors of the issuer (collectively, the "Transferors"), on December 28, 2016. Each of Messrs. Kaufman and McAvoy transferred 16,667 options to Hillair Capital.

F8 · derivative.exercise_date: Each of the options, originally reported by the Transferors on November 3, 2016, vests in equal installments of 4,167 underlying shares of common stock on the last day of each fiscal quarter following the date of original grant until the options are 100% vested.

SEC source: 0001213900-17-006811 · f4122816kaufman_sgblocks.xml · derivative · entry 1

Kaufman Neal P · CIK 0001349462 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,667 shares

Expires 2016-10-31

F1 · derivative.exercise_price: The exercise price and number of underlying shares of common stock reported herein reflect a 3-for-1 reverse stock split of the issuer's common stock and preferred stock effected on February 28, 2017.

F2 · kind: The Reporting Person assigned the options to Hillair Capital Investments LP, a Cayman Islands limited partnership, an affiliate of the Reporting Person.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's service as a director.

F3 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as director, as to 25% of the underlying shares on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-17-006809 · f4122816mcavoy_sgblocks.xml · derivative · entry 1

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,667 shares

Expires 2016-10-31

F1 · derivative.exercise_price: The exercise price and number of underlying shares of common stock reported herein reflect a 3-for-1 reverse stock split of the issuer's common stock and preferred stock effected on February 28, 2017.

F2 · kind: The Reporting Person assigned the options to Hillair Capital Investments LP, a Cayman Islands limited partnership, an affiliate of the Reporting Person.

F4 · price: The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's service as a director.

F3 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as director, as to 25% of the underlying shares on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-17-006812 · f4111716hillaircap_sgblocks.xml · derivative · entry 4

Hillair Capital Investments LP · CIK 0001536125 · 10% owner

Hillair Capital Management LLC · CIK 0001642616 · 10% owner

McAvoy Sean M · CIK 0001642615 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F3 · derivative.exercise_date: The November 2016 Senior Convertible Secured Debenture became convertible on November 17, 2016 and expires on June 30, 2018, in the amount of $937,500 in principal amount plus any accrued and unpaid interest.

F3 · derivative.expiration_date: The November 2016 Senior Convertible Secured Debenture became convertible on November 17, 2016 and expires on June 30, 2018, in the amount of $937,500 in principal amount plus any accrued and unpaid interest.

F4 · derivative.underlying_shares: The number of underlying shares of common stock reported in Column 7 reflects a 3-for-1 reverse stock split of the issuer's common stock and preferred stock effected on February 28, 2017.

SEC source: 0001213900-16-017963 · f4110116mcavoy_sgblocks.xml · derivative · entry 1

McAvoy Sean M · CIK 0001642615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-10-31

F1 · derivative.exercise_price: The options are exercisable at the greater of $1.00 and fair market value, which will be determined within 90 days of the date of grant.

F2 · kind: The options were issued pursuant to the Issuer's Stock Option Plan.

F3 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as a director, in equal installments of 12,500 underlying shares of common stock on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-16-017965 · f4110116shetty_sgblocks.xml · derivative · entry 2

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,515

Underlying: Common Stock · 65,515 shares

Expires 2026-10-31

F4 · derivative.exercise_price: The options are exercisable at the greater of $0.01 and the fair market value, which will be determined within 90 days of the date of grant.

F5 · kind: The options were issued pursuant to the Issuer's Amended Plan of Reorganization, approved by the U.S. Bankruptcy Court for the Southern District of New York on May 23, 2016 and under the Issuer's Stock Option Plan.

F6 · derivative.exercise_date: 32,578 of the underlying shares of common stock have vested as of the date of grant and 32,577 shares will vest, subject to the Reporting Person's continued employment, on the date on which the Company files its annual report on Form 10-K for the year ended December 31, 2016 with the U.S. Securities and Exchange Commission.

SEC source: 0001213900-16-017965 · f4110116shetty_sgblocks.xml · derivative · entry 1

Shetty Mahesh S · CIK 0001362346 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-10-31

F1 · derivative.exercise_price: The options are exercisable at the greater of $1.00 and fair market value, which will be determined within 90 days of the date of the date of grant.

F2 · kind: The options were issued pursuant to the Issuer's Stock Option Plan.

F3 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as director, in equal installments of 10,000 underlying shares on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-16-017961 · f4110116kaufman_sgblocks.xml · derivative · entry 1

Kaufman Neal P · CIK 0001349462 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2016-10-31

F1 · derivative.exercise_price: The options are exercisable at the greater of $1.00 and the fair market value, which will be determined within 90 days of the date of grant.

F2 · kind: The options were issued pursuant to the Issuer's Stock Option Plan.

F3 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as a director, in equal installments of 12,500 underlying shares of common stock on the last day of each fiscal quarter following the date of grant until the options are 100% vested

SEC source: 0001213900-16-017959 · f4063016melton_sgblocks.xml · derivative · entry 2

Melton Christopher · CIK 0001533552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2016-10-31

F2 · derivative.exercise_price: The options are exercisable at the greater of $1.00 or the fair market value, which will be determined within 90 days of the date of grant.

F3 · kind: The options were issued pursuant to the Issuer's Stock Option Plan.

F4 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as a director, in equal installments of 12,500 underlying shares of common stock on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-16-017957 · f4063016armstrong_sgblocks.xml · derivative · entry 2

Armstrong Stevan · CIK 0001533029 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,031

Underlying: Common Stock · 131,031 shares

Expires 2026-10-31

F3 · derivative.exercise_price: The exercise price will be the greater of $0.01 and fair market value, which will be determined within 90 days of the date of the grant.

F4 · kind: The options were issued pursuant to the Plan under the Issuer's Stock Option Plan.

F5 · derivative.exercise_date: 65,515 of the underlying shares of common stock have vested as of the date of grant and the remaining 65,516 underlying shares will vest, subject to the Reporting Person's continued employment, in two equal installments on each of November 1, 2017 and November 1, 2018.

SEC source: 0001213900-16-017955 · f463016galvin_sgblocks.xml · derivative · entry 3

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,819

Underlying: Common Stock · 294,819 shares

Expires 2026-10-31

F6 · derivative.exercise_price: The options are exercisable at the greater of $0.01 and fair market value, which will be determined within 90 days of the date of grant.

F7 · kind: The options were issued pursuant to the Plan under the Issuer's Stock Option Plan.

F8 · derivative.exercise_date: 131,031 of the underlying shares have vested as of the date of grant and 54,596 underlying shares vest, subject to the Reporting Person's continued employment, on each of the first, second and third anniversary of the date of grant.

SEC source: 0001213900-16-017955 · f463016galvin_sgblocks.xml · derivative · entry 2

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2026-10-31

F3 · derivative.exercise_price: The options are exercisable at the greater of $1.00 and fair market value, which will be determined within 90 days of the date of grant.

F4 · kind: The options were issued pursuant to the Issuer's Stock Option Plan.

F5 · derivative.exercise_date: The options vest, subject to the Reporting Person's continued role as a director, in equal installments of 10,000 shares of underlying common stock on the last day of each fiscal quarter following the date of grant until the options are 100% vested.

SEC source: 0001213900-16-017959 · f4063016melton_sgblocks.xml · nonDerivative · entry 1

Melton Christopher · CIK 0001533552 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,063

F1 · kind: These securities were acquired pursuant to the Issuer's Amended Plan of Reorganization, approved by the U.S. Bankruptcy Court for the Southern District of New York on May 23, 2016.

SEC source: 0001213900-16-017957 · f4063016armstrong_sgblocks.xml · nonDerivative · entry 1

Armstrong Stevan · CIK 0001533029 · President and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By SMA Development Group, LLC

Disclosed balance after: 36,476

F1 · kind: These securities were acquired pursuant to the Issuer's Amended Plan of Reorganization, approved by the U.S. Bankruptcy Court for the Southern District of New York on May 23, 2016 (the "Plan").

F2 · shares: Shares are held by SMA Development Group, LLC, an entity controlled by Mr. Armstrong. Mr. Armstrong specifically disclaims beneficial ownership of the shares of common stock held by SMA Development Group, LLC, except to the extent of his pecuniary interest therein, and this filing shall not be deemed to be an admission that Mr. Armstrong is the beneficial owner of such shares of common stock.

F2 · ownership.direct: Shares are held by SMA Development Group, LLC, an entity controlled by Mr. Armstrong. Mr. Armstrong specifically disclaims beneficial ownership of the shares of common stock held by SMA Development Group, LLC, except to the extent of his pecuniary interest therein, and this filing shall not be deemed to be an admission that Mr. Armstrong is the beneficial owner of such shares of common stock.

SEC source: 0001213900-16-017955 · f463016galvin_sgblocks.xml · nonDerivative · entry 1

Galvin Paul M. · CIK 0001532974 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tag Partners, LLC

Disclosed balance after: 30,432

F1 · kind: These securities were acquired pursuant to the Issuer's Amended Plan of Reorganization, approved by the U.S. Bankruptcy Court for the Southern District of New York on May 23, 2016 (the "Plan").

F2 · shares: Shares are held by Tag Partners, LLC, of which Paul Galvin is a managing member and in which he has a controlling interest. As a result, Mr. Galvin may be deemed to beneficially own the shares of common stock owned by Tag Partners, LLC. Mr. Galvin specifically disclaims beneficial ownership of the shares of common stock held by Tag Partners, LLC, except to the extent of his pecuniary interest therein, and this filing shall not be deemed to be an admission that Mr. Galvin is the beneficial owner of such shares of common stock.

F2 · ownership.direct: Shares are held by Tag Partners, LLC, of which Paul Galvin is a managing member and in which he has a controlling interest. As a result, Mr. Galvin may be deemed to beneficially own the shares of common stock owned by Tag Partners, LLC. Mr. Galvin specifically disclaims beneficial ownership of the shares of common stock held by Tag Partners, LLC, except to the extent of his pecuniary interest therein, and this filing shall not be deemed to be an admission that Mr. Galvin is the beneficial owner of such shares of common stock.