PLUG

SEC source: 0001104659-20-071532 · a4.xml · nonDerivative · entry 1

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,215

F1 · shares: Consists of a restricted stock unit award made pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan. The restricted stock units vest (100%) on the first anniversary of the grant date.

SEC source: 0001104659-20-071528 · a4.xml · derivative · entry 2

Schneider Lucas P · CIK 0001702795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,807

Underlying: Common Stock · 12,807 shares

Expires 2030-06-05

F2 · derivative.exercise_date: The options vest (100%) on the first anniversary of the grant date.

SEC source: 0001104659-20-071528 · a4.xml · nonDerivative · entry 1

Schneider Lucas P · CIK 0001702795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,625

F1 · shares: Consists of a restricted stock unit award made pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan. The restricted stock units vest (100%) on the first anniversary of the grant date.

SEC source: 0001104659-20-071010 · a4.xml · derivative · entry 8

Marsh Andrew · CIK 0001431827 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 548,714

Underlying: Common Stock · 38,786 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.

F4 · derivative.exercise_date: The stock option granted to the reporting person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-071010 · a4.xml · nonDerivative · entry 2

Marsh Andrew · CIK 0001431827 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,412

F1 · kind: Shares sold pursuant to a pre-established 10b5-1 trading plan effective as of March 17, 2020.

SEC source: 0001104659-20-071010 · a4.xml · nonDerivative · entry 1

Marsh Andrew · CIK 0001431827 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,343

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: 0001104659-20-071011 · a4.xml · nonDerivative · entry 1

Conway Gerard L JR · CIK 0001308706 · Gen. Counsel, Corp. Sec.,Sr VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,519

SEC source: 0001104659-20-061650 · a4.xml · derivative · entry 3

Shrestha Sanjay K · CIK 0001775802 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.

F3 · derivative.exercise_date: On May 9, 2019, the Reporting Person was granted 150,000 restricted stock units, vesting in three substantially equal installments beginning on the first anniversary of the grant date.

F3 · derivative.expiration_date: On May 9, 2019, the Reporting Person was granted 150,000 restricted stock units, vesting in three substantially equal installments beginning on the first anniversary of the grant date.

SEC source: 0001104659-20-061650 · a4.xml · nonDerivative · entry 2

Shrestha Sanjay K · CIK 0001775802 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,825

F2 · shares: Tendered to Issuer to satisfy tax withholding obligations of Reporting Person in connection with the vesting of the Reporting Person's restricted stock unit awards.

SEC source: 0001104659-20-061650 · a4.xml · nonDerivative · entry 1

Shrestha Sanjay K · CIK 0001775802 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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.

F1 · price: Each restricted stock unit is the equivalent of one share of Plug Power Inc. common stock.

SEC source: 0001104659-20-052372 · 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: On April 23, 2020, Five More Fund sold 552,529 shares of the Issuer's Common Stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.28 to $4.405. 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 Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of these shares, 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: 0001104659-20-052374 · a4.xml · nonDerivative · entry 2

FiveT Capital Holding AG · CIK 0001697007 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · price: On April 23, 2020, Five More Fund sold 552,529 shares of the Issuer's Common Stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.28 to $4.405. 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 Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Each of FiveT Capital Holding and FiveT Capital disclaims beneficial ownership of the shares of Common Stock, except to the extent of its respective pecuniary interest therein, if any, and this report shall not be deemed an admission that it is the beneficial owner of any of such shares.

SEC source: 0001104659-20-052372 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 552,529

F1 · price: On April 22, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") sold 398,950 shares of the Issuer's Common Stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.28 to $4.42. 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 Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of these shares, 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: 0001104659-20-052374 · a4.xml · nonDerivative · entry 1

FiveT Capital Holding AG · CIK 0001697007 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 552,529

F1 · price: On April 22, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") sold 398,950 shares of the Issuer's Common Stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.28 to $4.42. 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 Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Each of FiveT Capital Holding and FiveT Capital disclaims beneficial ownership of the shares of Common Stock, except to the extent of its respective pecuniary interest therein, if any, and this report shall not be deemed an admission that it is the beneficial owner of any of such shares.

SEC source: 0001104659-20-048715 · a4.xml · derivative · entry 3

HELMER MAUREEN O · CIK 0001279977 · 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.

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

SEC source: 0001104659-20-048715 · a4.xml · nonDerivative · entry 2

HELMER MAUREEN O · CIK 0001279977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,306

F1 · shares: Shares sold pursuant to a pre-established 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.17 to $4.55, 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: 0001104659-20-048715 · a4.xml · nonDerivative · entry 1

HELMER MAUREEN O · CIK 0001279977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,306

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: 0001104659-20-052373 · a4.xml · derivative · entry 3

FiveT Capital Holding AG · CIK 0001697007 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 923,819 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Each of FiveT Capital Holding and FiveT Capital disclaims beneficial ownership of these shares, except to the extent of its respective pecuniary interest therein, if any, and this report shall not be deemed an admission that it is the beneficial owner of any of such shares.

SEC source: 0001104659-20-052373 · a4.xml · nonDerivative · entry 1

FiveT Capital Holding AG · CIK 0001697007 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 951,479

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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Johannes Minho Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Each of FiveT Capital Holding and FiveT Capital disclaims beneficial ownership of these shares, except to the extent of its respective pecuniary interest therein, if any, and this report shall not be deemed an admission that it is the beneficial owner of any of such shares.

SEC source: 0001104659-20-052371 · a4.xml · derivative · entry 4

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 923,819 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of these shares, 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: 0001104659-20-052371 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 951,479

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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 April 16, 2020, Five More Special Situations Fund Ltd. ("Five More Fund") converted 870 shares of the Issuer's Series C Redeemable Convertible Preferred Stock (the "Series C Preferred Stock") into 923,819 shares of the Issuer's 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 Five More Fund. FiveT Capital AG ("FiveT Capital"), a wholly-owned subsidiary of FiveT Capital Holding AG ("FiveT Capital Holding"), provides investment advisory services to FiveMore Fund. Mr. Roth is the Managing Director of FiveT Capital Holding and has equity interests in each of FiveT Capital Holding and FiveMore Fund. Mr. Roth is a member of, and serves as a representative of FiveT Capital Holding, Five More Fund and FiveT Capital on, the Board of Directors of the Issuer. Mr. Roth disclaims beneficial ownership of these shares, 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: 0001104659-20-043132 · a4.xml · nonDerivative · entry 1

MCNAMEE GEORGE C · CIK 0001008001 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 874,042

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-043136 · a4.xml · nonDerivative · entry 1

Silver Jonathan M · CIK 0001745274 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,911

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-043137 · a4.xml · nonDerivative · entry 1

HELMER MAUREEN O · CIK 0001279977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,306

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-043135 · a4.xml · nonDerivative · entry 1

Schneider Lucas P · CIK 0001702795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,818

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-043133 · a4.xml · nonDerivative · entry 1

WILLIS GARY K · CIK 0001121475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,408

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-043129 · a4.xml · nonDerivative · entry 1

Kenausis Gregory · CIK 0001590994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,889

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-043131 · a4.xml · nonDerivative · entry 1

Roth Johannes Minho · CIK 0001590334 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,587

F1 · price: Compensation awarded to directors pursuant to Plug Power's 2011 Non-Employee Directors Compensation Plan.

SEC source: 0001104659-20-024085 · a4.xml · derivative · entry 6

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 50,000 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: 0001104659-20-024085 · a4.xml · nonDerivative · entry 4

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,020

F1 · shares: Shares sold pursuant to a pre-established 10b5-1 trading plan.

SEC source: 0001104659-20-024085 · a4.xml · nonDerivative · entry 3

Schmid Keith · CIK 0001590336 · COO & Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,020

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: 0001104659-20-024084 · a4.xml · derivative · entry 13

Hull Martin Daniel · CIK 0001637696 · Corporate Controller and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 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: 0001104659-20-024084 · a4.xml · nonDerivative · entry 8

Hull Martin Daniel · CIK 0001637696 · Corporate Controller and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,836

F1 · shares: Shares sold pursuant to a pre-established 10b5-1 trading plan.

SEC source: 0001104659-20-024084 · a4.xml · nonDerivative · entry 7

Hull Martin Daniel · CIK 0001637696 · Corporate Controller and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,836

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: 0001104659-20-024087 · a4.xml · derivative · entry 10

Marsh Andrew · CIK 0001431827 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 587,500

Underlying: Common Stock · 234,036 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.

F4 · derivative.exercise_date: The stock option granted to the reporting person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-024087 · a4.xml · derivative · entry 9

Marsh Andrew · CIK 0001431827 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2021-12-13

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: The stock option granted to the reporting person is fully vested and exercisable as of the date hereof.

SEC source: 0001104659-20-024087 · a4.xml · nonDerivative · entry 6

Marsh Andrew · CIK 0001431827 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,557

F1 · shares: Shares sold pursuant to a pre-established 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.26, 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: 0001104659-20-024087 · a4.xml · nonDerivative · entry 5

Marsh Andrew · CIK 0001431827 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,003,593

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: 0001104659-20-024087 · a4.xml · nonDerivative · entry 4

Marsh Andrew · CIK 0001431827 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 769,557

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: 0001104659-20-024086 · a4.xml · derivative · entry 10

Conway Gerard L JR · CIK 0001308706 · Gen. Counsel,Corp.Sec.,Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,333

Underlying: Common Stock · 167,534 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: On August 31, 2017, the Reporting Person was granted 325,000 stock options, vesting in three substantially equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001104659-20-024086 · a4.xml · derivative · entry 9

Conway Gerard L JR · CIK 0001308706 · Gen. Counsel,Corp.Sec.,Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2025-07-23

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.

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

F6 · derivative.expiration_date: The Form 5 filed on February 16, 2016 included an incorrect expiration date (07/23/2015) and an incorrect number of securities beneficially owned (649,949).

F6 · balance_after: The Form 5 filed on February 16, 2016 included an incorrect expiration date (07/23/2015) and an incorrect number of securities beneficially owned (649,949).

SEC source: 0001104659-20-024086 · a4.xml · nonDerivative · entry 6

Conway Gerard L JR · CIK 0001308706 · Gen. Counsel,Corp.Sec.,Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,295

F1 · shares: Shares sold pursuant to a pre-established 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.26, 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: 0001104659-20-024086 · a4.xml · nonDerivative · entry 5

Conway Gerard L JR · CIK 0001308706 · Gen. Counsel,Corp.Sec.,Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,829

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: 0001104659-20-024086 · a4.xml · nonDerivative · entry 4

Conway Gerard L JR · CIK 0001308706 · Gen. Counsel,Corp.Sec.,Sr. VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,295

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: 0001104659-20-024084 · a4.xml · derivative · entry 12

Hull Martin Daniel · CIK 0001637696 · Corporate Controller and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 10,000 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: 0001104659-20-024084 · a4.xml · derivative · entry 11

Hull Martin Daniel · CIK 0001637696 · Corporate Controller and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2025-04-01

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_price: The Form 4 filed on April 1, 2015 included an incorrect exercise price ($2.60) and an incorrect expiration date (12/01/2025).

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

F2 · derivative.expiration_date: The Form 4 filed on April 1, 2015 included an incorrect exercise price ($2.60) and an incorrect expiration date (12/01/2025).

SEC source: 0001104659-20-024084 · a4.xml · nonDerivative · entry 6

Hull Martin Daniel · CIK 0001637696 · Corporate Controller and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,836

F1 · shares: Shares sold pursuant to a pre-established 10b5-1 trading plan.

SEC source: 0001104659-20-024084 · a4.xml · nonDerivative · entry 5

Hull Martin Daniel · CIK 0001637696 · Corporate Controller and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,836

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: 0001104659-20-024084 · a4.xml · nonDerivative · entry 4

Hull Martin Daniel · CIK 0001637696 · Corporate Controller and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,836

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: 0001104659-20-024087 · a4.xml · derivative · entry 8

Marsh Andrew · CIK 0001431827 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 821,536

Underlying: Common Stock · 115,964 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.

F4 · derivative.exercise_date: The stock option granted to the reporting person is fully vested and exercisable as of the date hereof.