PCYO

SEC source: 0001415889-23-011352 · form4-07192023_110759.xml · nonDerivative · entry 2

HOWELL PETER C · CIK 0001210427 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,695

F1 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by Pure Cycle Corporation for payment of the exercise price, based on the market price of Pure Cycle Corporation's common stock at the time of the option exercise on July 14, 2023.

SEC source: 0001415889-23-011352 · form4-07192023_110759.xml · nonDerivative · entry 1

HOWELL PETER C · CIK 0001210427 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,224

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.

SEC source: 0001415889-23-006981 · form4-04282023_050443.xml · nonDerivative · entry 1

McNeill Kevin Blain · CIK 0001809197 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,052

SEC source: 0001415889-23-000929 · form4-01132023_040119.xml · nonDerivative · entry 1

HOWELL PETER C · CIK 0001210427 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,724

SEC source: 0001415889-23-000935 · form4-01132023_070107.xml · nonDerivative · entry 1

McNeill Kevin Blain · CIK 0001809197 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,502

F1 · acquired: The stock vests as follows: 10,000 shares on January 11, 2023, 10,000 shares on January 11, 2024, 10,000 shares on January 11, 2025, 10,000 shares on January 11, 2026 and 10,000 shares on January 11, 2027.

SEC source: 0001415889-23-000999 · form4-01132023_110101.xml · nonDerivative · entry 1

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,033

SEC source: 0001415889-23-000931 · form4-01132023_050151.xml · nonDerivative · entry 1

FENDEL FREDERICK A. III · CIK 0001841615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,033

SEC source: 0001415889-23-000927 · form4-01132023_040156.xml · nonDerivative · entry 1

BEIRNE PATRICK · CIK 0001510778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,033

SEC source: 0001415889-23-000925 · form4-01132023_040149.xml · nonDerivative · entry 1

Sheets Jeffrey G · CIK 0001799857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,033

SEC source: 0001415889-23-000923 · form4-01132023_040125.xml · nonDerivative · entry 1

Abel Wanda J · CIK 0001897413 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,033

SEC source: 0000919574-24-007019 · ownership.xml · nonDerivative · entry 1

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 342,985

F1 · date: The original Form 4 is being amended to update the beneficial ownership information reported therein.

F2 · ownership.direct: The reported securities are directly owned by Daniel Kozlowski in his personal capacity.

SEC source: 0000919574-22-006942 · ownership.xml · nonDerivative · entry 4

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

Kozlowski Daniel R · CIK 0001791057 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,688,778

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions within the range of $10.10 to $10.25. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

F3 · ownership.direct: The reported securities were directly owned by Plaisance SPV I, LLC, a Delaware limited liability company. The reported securities were deemed to be indirectly beneficially owned by the Investment Manager. The reported securities were also deemed to be indirectly beneficially owned by Daniel Kozlowski as managing member of the Investment Manager. Each of the Investment Manager and Daniel Kozlowski disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest, if any, therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-22-006942 · ownership.xml · nonDerivative · entry 3

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

Kozlowski Daniel R · CIK 0001791057 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,722,278

F1 · kind: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · kind: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F1 · price: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · price: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F1 · ownership.nature: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

SEC source: 0000919574-24-007018 · ownership.xml · nonDerivative · entry 6

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 339,952

F2 · kind: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · kind: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F2 · price: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · price: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F7 · ownership.direct: The reported securities are directly owned by Daniel Kozlowski in his personal capacity.

SEC source: 0000919574-24-007018 · ownership.xml · nonDerivative · entry 4

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,688,778

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions within the range of $10.10 to $10.25. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F5 · ownership.nature: The reported securities are directly owned by Plaisance SPV I, LLC, a Delaware limited liability company. The reported securities are deemed to be indirectly beneficially owned by the Investment Manager. The reported securities are also deemed to be indirectly beneficially owned by Daniel Kozlowski as managing member of the Investment Manager. Each of the Investment Manager and Daniel Kozlowski disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest, if any, therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-24-007018 · ownership.xml · nonDerivative · entry 2

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote (2),

Disclosed balance after: 0

F2 · kind: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · kind: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F2 · price: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · price: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F3 · ownership.nature: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

SEC source: 0000919574-22-006942 · ownership.xml · nonDerivative · entry 2

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

Kozlowski Daniel R · CIK 0001791057 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,722,278

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions within the range of $10.10 to $10.29. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

F3 · ownership.direct: The reported securities were directly owned by Plaisance SPV I, LLC, a Delaware limited liability company. The reported securities were deemed to be indirectly beneficially owned by the Investment Manager. The reported securities were also deemed to be indirectly beneficially owned by Daniel Kozlowski as managing member of the Investment Manager. Each of the Investment Manager and Daniel Kozlowski disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest, if any, therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-22-006942 · ownership.xml · nonDerivative · entry 1

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

Kozlowski Daniel R · CIK 0001791057 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,603,820

F1 · kind: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · kind: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F1 · price: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · price: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F1 · ownership.nature: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2 · ownership.nature: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

SEC source: 0000919574-24-007018 · ownership.xml · nonDerivative · entry 5

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,208

F2 · kind: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · kind: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F2 · price: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · price: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F7 · ownership.direct: The reported securities are directly owned by Daniel Kozlowski in his personal capacity.

SEC source: 0000919574-24-007018 · ownership.xml · nonDerivative · entry 3

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,722,278

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions within the range of $10.10 to $10.29. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F5 · ownership.nature: The reported securities are directly owned by Plaisance SPV I, LLC, a Delaware limited liability company. The reported securities are deemed to be indirectly beneficially owned by the Investment Manager. The reported securities are also deemed to be indirectly beneficially owned by Daniel Kozlowski as managing member of the Investment Manager. Each of the Investment Manager and Daniel Kozlowski disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interest, if any, therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-24-007018 · ownership.xml · nonDerivative · entry 1

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

Plaisance SPV I, LLC · CIK 0001791049 · 10% owner

Plaisance Capital LLC · CIK 0001761269 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote (2),

Disclosed balance after: 865,042

F1 · date: The original Form 4 is being amended to include transactions that were inadvertently excluded and to correct reporting of securities indirectly beneficially owned.

F2 · kind: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · kind: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F2 · price: The reported securities were owned directly by certain private investment funds managed by the Investment Manager ("Other Clients"), and were deemed to be beneficially owned by Plaisance Capital, LLC, as the investment manager of the Other Clients (the "Investment Manager") and by Daniel Kozlowski, managing member of the Investment Manager. Each of the Reporting Persons disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that either of them are the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F3 · price: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

F3 · ownership.nature: On each of November 29, 2022 and November 30, 2022, respectively, in connection with the liquidation of the Other Clients, each of the Other Clients made an in-kind distribution of the reported securities to their partners. The distribution was consistent with the Other Clients' respective governing documents and was made on a pro rata basis to all partners in each Other Client. No consideration was received by the Reporting Persons in connection with such distribution.

SEC source: 0001415889-22-000556 · form4-01142022_100116.xml · nonDerivative · entry 1

Sheets Jeffrey G · CIK 0001799857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

SEC source: 0001415889-22-000578 · form4-01142022_020133.xml · nonDerivative · entry 1

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

SEC source: 0001415889-22-000560 · form4-01142022_100101.xml · nonDerivative · entry 1

FENDEL FREDERICK A. III · CIK 0001841615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

SEC source: 0001415889-22-000558 · form4-01142022_100127.xml · nonDerivative · entry 1

HOWELL PETER C · CIK 0001210427 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,691

SEC source: 0001415889-22-000554 · form4-01142022_090101.xml · nonDerivative · entry 1

Abel Wanda J · CIK 0001897413 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001415889-22-000550 · form4-01142022_090156.xml · nonDerivative · entry 1

BEIRNE PATRICK · CIK 0001510778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

SEC source: 0001415889-21-004488 · form4-09172021_010952.xml · derivative · entry 1

McNeill Kevin Blain · CIK 0001809197 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-09-15

F1 · derivative.exercise_date: The option vests as follows: 10,000 shares on September 15, 2022, 10,000 shares on September 15, 2023, and 10,000 shares on September 15, 2024.

SEC source: 0001415889-21-004487 · form4-09172021_010954.xml · derivative · entry 1

HARDING MARK W · CIK 0000940763 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2031-09-15

F1 · derivative.exercise_date: The option vests as follows: 25,000 shares on September 15, 2022, 25,000 shares on September 15, 2023, and 25,000 shares on September 15, 2024.

SEC source: 0000276720-21-000023 · form4.xml · derivative · entry 4

Guido Richard L · CIK 0001305989 · Retired Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 shares

Expires 2025-01-14

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.

SEC source: 0000276720-21-000023 · form4.xml · derivative · entry 3

Guido Richard L · CIK 0001305989 · Retired Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 shares

Expires 2023-01-16

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.

SEC source: 0000276720-21-000023 · form4.xml · nonDerivative · entry 2

Guido Richard L · CIK 0001305989 · Retired Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

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.

SEC source: 0000276720-21-000023 · form4.xml · nonDerivative · entry 1

Guido Richard L · CIK 0001305989 · Retired Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

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.

SEC source: 0000276720-21-000021 · form4.xml · derivative · entry 6

AUGUR HARRISON H · CIK 0001269338 · Retired Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 shares

Expires 2025-01-14

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.

SEC source: 0000276720-21-000021 · form4.xml · nonDerivative · entry 2

AUGUR HARRISON H · CIK 0001269338 · Retired Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,585

SEC source: 0000276720-21-000021 · form4.xml · nonDerivative · entry 1

AUGUR HARRISON H · CIK 0001269338 · Retired Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,816

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.

SEC source: 0000276720-21-000015 · form4.xml · nonDerivative · entry 1

BEIRNE PATRICK · CIK 0001510778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

SEC source: 0000276720-21-000013 · form4.xml · nonDerivative · entry 1

HOWELL PETER C · CIK 0001210427 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,691

SEC source: 0000276720-21-000011 · form4.xml · nonDerivative · entry 1

Epker Arthur G III · CIK 0001409045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,500

SEC source: 0000276720-21-000009 · form4.xml · nonDerivative · entry 1

Sheets Jeffrey G · CIK 0001799857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

SEC source: 0000276720-21-000019 · form4.xml · nonDerivative · entry 1

FENDEL FREDERICK A. III · CIK 0001841615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0000919574-21-000464 · ownership.xml · nonDerivative · entry 1

Kozlowski Daniel R · CIK 0001791057 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0000276720-21-000007 · form4.xml · derivative · entry 6

AUGUR HARRISON H · CIK 0001269338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 shares

Expires 2024-01-15

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.

SEC source: 0000276720-21-000007 · form4.xml · nonDerivative · entry 2

AUGUR HARRISON H · CIK 0001269338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,316

SEC source: 0000276720-21-000007 · form4.xml · nonDerivative · entry 1

AUGUR HARRISON H · CIK 0001269338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,657

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.

SEC source: 0000276720-21-000003 · form4.xml · derivative · entry 4

Guido Richard L · CIK 0001305989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2022-01-17

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.

SEC source: 0000276720-21-000003 · form4.xml · derivative · entry 3

Guido Richard L · CIK 0001305989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2021-01-11

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.

SEC source: 0000276720-21-000003 · form4.xml · nonDerivative · entry 2

Guido Richard L · CIK 0001305989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,500

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.

SEC source: 0000276720-21-000003 · form4.xml · nonDerivative · entry 1

Guido Richard L · CIK 0001305989 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

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.

SEC source: 0000276720-20-000046 · form4.xml · derivative · entry 6

AUGUR HARRISON H · CIK 0001269338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,500 shares

Expires 2023-01-15

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.