PLUG

SEC source: 0001104659-20-139755 · tm2039429-1_4seq1.xml · nonDerivative · entry 3

MIDDLETON PAUL B · CIK 0001224978 · CFO & Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 416,657

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: 0001104659-20-139755 · tm2039429-1_4seq1.xml · nonDerivative · entry 2

MIDDLETON PAUL B · CIK 0001224978 · CFO & Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,324

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: 0001104659-20-139755 · tm2039429-1_4seq1.xml · nonDerivative · entry 1

MIDDLETON PAUL B · CIK 0001224978 · CFO & Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,657

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: 0001104659-20-138048 · tm2039033-2_4seq1.xml · derivative · entry 3

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 200,000 shares

Expires 2023-10-23

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 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-138048 · tm2039033-2_4seq1.xml · nonDerivative · entry 2

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,220

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective November 12, 2020.

SEC source: 0001104659-20-138048 · tm2039033-2_4seq1.xml · nonDerivative · entry 1

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 556,220

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: 0001104659-20-138041 · tm2039033-1_4seq1.xml · nonDerivative · entry 1

HELMER MAUREEN O · CIK 0001279977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,398

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of August 19, 2020.

SEC source: 0001104659-20-136354 · tm2038684-1_4seq1.xml · derivative · entry 8

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,334

Underlying: Common Stock · 83,333 shares

Expires 2028-08-28

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.

F4 · derivative.exercise_date: 83,333 options vested on August 28, 2019, 83,333 options vested on August 28, 2020 and 83,334 options vest on August 28, 2021.

SEC source: 0001104659-20-136354 · tm2038684-1_4seq1.xml · nonDerivative · entry 5

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,220

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective November 12, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.33, inclusive. The Reporting Person undertakes 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 range.

SEC source: 0001104659-20-136354 · tm2038684-1_4seq1.xml · nonDerivative · entry 4

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,553

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: 0001104659-20-136355 · tm2038684-2_4seq1.xml · nonDerivative · entry 2

HELMER MAUREEN O · CIK 0001279977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,398

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of August 19, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.84 to $27.37, inclusive. The Reporting Person undertakes 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 range.

SEC source: 0001104659-20-136355 · tm2038684-2_4seq1.xml · nonDerivative · entry 1

HELMER MAUREEN O · CIK 0001279977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,698

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of August 19, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.71 to $26.62, inclusive. The Reporting Person undertakes 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 range.

SEC source: 0001104659-20-136354 · tm2038684-1_4seq1.xml · derivative · entry 7

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

Underlying: Common Stock · 83,333 shares

Expires 2028-08-28

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.

F4 · derivative.exercise_date: 83,333 options vested on August 28, 2019, 83,333 options vested on August 28, 2020 and 83,334 options vest on August 28, 2021.

SEC source: 0001104659-20-136354 · tm2038684-1_4seq1.xml · derivative · entry 6

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 166,667 shares

Expires 2026-08-09

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.

F3 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-136354 · tm2038684-1_4seq1.xml · nonDerivative · entry 3

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,220

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective November 12, 2020.

SEC source: 0001104659-20-136354 · tm2038684-1_4seq1.xml · nonDerivative · entry 2

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 606,220

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: 0001104659-20-136354 · tm2038684-1_4seq1.xml · nonDerivative · entry 1

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522,887

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: 0001104659-20-135725 · tm2038534-1_4seq1.xml · derivative · entry 10

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2023-06-28

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.

F5 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-135725 · tm2038534-1_4seq1.xml · derivative · entry 9

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2022-05-16

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.

F5 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-135725 · tm2038534-1_4seq1.xml · derivative · entry 8

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,000 shares

Expires 2021-09-20

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.

F5 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-135725 · tm2038534-1_4seq1.xml · derivative · entry 7

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,200 shares

Expires 2021-05-12

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.

F4 · derivative.exercise_price: This option was previously reported as covering 12,000 shares at an exercise price of $0.51 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on May 19, 2011.

F4 · shares: This option was previously reported as covering 12,000 shares at an exercise price of $0.51 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on May 19, 2011.

F5 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

F4 · derivative.underlying_shares: This option was previously reported as covering 12,000 shares at an exercise price of $0.51 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on May 19, 2011.

SEC source: 0001104659-20-135725 · tm2038534-1_4seq1.xml · nonDerivative · entry 6

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,933

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of November 11, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.24 to $27.84, inclusive. The Reporting Person undertakes 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 range.

SEC source: 0001104659-20-135725 · tm2038534-1_4seq1.xml · nonDerivative · entry 5

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,233

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of November 11, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.24 to $27.23, inclusive. The Reporting Person undertakes 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 range.

SEC source: 0001104659-20-135725 · tm2038534-1_4seq1.xml · nonDerivative · entry 4

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 501,133

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: 0001104659-20-135725 · tm2038534-1_4seq1.xml · nonDerivative · entry 3

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,133

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: 0001104659-20-135725 · tm2038534-1_4seq1.xml · nonDerivative · entry 2

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 477,133

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: 0001104659-20-135725 · tm2038534-1_4seq1.xml · nonDerivative · entry 1

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,133

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: 0001104659-20-126475 · a4.xml · nonDerivative · entry 2

FiveT Capital Holding AG · CIK 0001697007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.25 to $23.87. The reporting person undertakes 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 range set forth in this footnote.

F2 · ownership.direct: The shares are held by FiveT Capital Holding AG ("FiveT Capital Holding"). Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Roth is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126475 · a4.xml · nonDerivative · entry 1

FiveT Capital Holding AG · CIK 0001697007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 693,911

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.25 to $23.24. The reporting person undertakes 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 range set forth in this footnote.

F2 · ownership.direct: The shares are held by FiveT Capital Holding AG ("FiveT Capital Holding"). Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Roth is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126473 · a4.xml · derivative · entry 2

FiveT Capital Holding AG · CIK 0001697007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,858,256 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: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · price: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · derivative.exercise_date: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · derivative.expiration_date: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2 · ownership.direct: Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Roth is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126473 · a4.xml · nonDerivative · entry 1

FiveT Capital Holding AG · CIK 0001697007 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,915,034

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 · kind: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · price: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2 · ownership.direct: Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Roth is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126476 · a4.xml · derivative · entry 3

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,858,256 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: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · price: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · derivative.exercise_date: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · derivative.expiration_date: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2 · ownership.nature: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126476 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,915,034

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 · kind: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F1 · price: On July 20, 2020, FiveT Capital Holding AG ("FiveT Capital Holding") converted 1,750 shares of the Issuer's Series C Redeemable Convertible Preferred Stock, par value $0.01 per share (the "Series C Preferred Stock"), into 1,858,256 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"). The Series C Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock at a conversion price per share of $0.2343, subject to certain adjustments. The Series C Preferred Stock has no expiration date.

F2 · ownership.nature: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126474 · a4.xml · nonDerivative · entry 2

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.25 to $23.87. The reporting person undertakes 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 range set forth in this footnote.

F2 · ownership.nature: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-126474 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 693,911

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.25 to $23.24. The reporting person undertakes 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 range set forth in this footnote.

F2 · ownership.nature: The shares are held by FiveT Capital Holding. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in FiveT Capital Holding. Mr. Roth is a member of the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of the shares directly held by FiveT Capital Holding, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that he is the beneficial owner of any of such shares.

SEC source: 0001104659-20-125493 · a4.xml · derivative · entry 3

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

Underlying: Common Stock · 83,333 shares

Expires 2026-08-09

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 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-125493 · a4.xml · nonDerivative · entry 2

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,220

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective November 10, 2020.

SEC source: 0001104659-20-125493 · a4.xml · nonDerivative · entry 1

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,533

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: 0001104659-20-124379 · a4.xml · derivative · entry 3

MCNAMEE GEORGE C · CIK 0001008001 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2025-05-21

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.

F3 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-124379 · a4.xml · nonDerivative · entry 2

MCNAMEE GEORGE C · CIK 0001008001 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 889,058

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of June 11, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.14, inclusive. The Reporting Person undertakes 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 range.

SEC source: 0001104659-20-124379 · a4.xml · nonDerivative · entry 1

MCNAMEE GEORGE C · CIK 0001008001 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 919,058

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: 0001104659-20-124374 · a4.xml · derivative · entry 5

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,056 shares

Expires 2029-05-09

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.

F3 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-124374 · a4.xml · derivative · entry 4

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,520 shares

Expires 2028-06-25

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.

F3 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-124374 · a4.xml · nonDerivative · entry 3

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,336

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of September 14, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.01, inclusive. The Reporting Person undertakes 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 range.

SEC source: 0001104659-20-124374 · a4.xml · nonDerivative · entry 2

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,912

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: 0001104659-20-124374 · a4.xml · nonDerivative · entry 1

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,856

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: 0001104659-20-115630 · a4.xml · derivative · entry 3

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,520

Underlying: Common Stock · 61,800 shares

Expires 2028-06-25

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.

F3 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-115630 · a4.xml · nonDerivative · entry 2

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,336

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of September 14, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.14 to $17.74, inclusive. The Reporting Person undertakes 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 range.

SEC source: 0001104659-20-115630 · a4.xml · nonDerivative · entry 1

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,622

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: 0001104659-20-114910 · a4.xml · derivative · entry 3

MIDDLETON PAUL B · CIK 0001224978 · CFO & Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 550,000 shares

Expires 2027-08-31

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.

F3 · derivative.exercise_date: The stock option granted to the Reporting Person is fully vested and exercisable as of the date hereof.