SCNX

SEC source: 0001493152-26-009941 · ownership.xml · nonDerivative · entry 5

Narasimhan Mani · CIK 0002031317 · Director · President & Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,550,000

F6 · shares: On February 20, 2026, the Compensation Committee of the Issuer's Board of Directors approved the award of these Restricted Shares as a discretionary stock bonus for performance in 2025. The Restricted Shares will be issued in three tranches of 166,666 shares on June 1, 2026, 166,667 shares on September 1, 2026, and 166,667 shares on December 1, 2026. Each tranche of Restricted Shares will vest three years following its respective issuance date.

SEC source: 0001493152-26-009942 · ownership.xml · nonDerivative · entry 6

Shankar Hariharan · CIK 0002031316 · Director · Co-CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,518,679

F5 · shares: On February 20, 2026, the Compensation Committee of the Issuer's Board of Directors approved the award of these Restricted Shares as a discretionary stock bonus for performance in 2025. The Restricted Shares will be issued in three tranches of 166,666 shares on June 1, 2026, 166,667 shares on September 1, 2026, and 166,667 shares on December 1, 2026. Each tranche of Restricted Shares will vest three years following its respective issuance date.

SEC source: 0001493152-26-009941 · ownership.xml · nonDerivative · entry 4

Narasimhan Mani · CIK 0002031317 · Director · President & Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,050,000

F5 · shares: These Restricted Shares vest in two equal annual installments beginning on October 1, 2026.

SEC source: 0001493152-26-009942 · ownership.xml · nonDerivative · entry 5

Shankar Hariharan · CIK 0002031316 · Director · Co-CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,018,679

F4 · shares: These Restricted Shares vest in two equal annual installments beginning on October 1, 2026.

SEC source: 0001493152-26-040857 · ownership.xml · nonDerivative · entry 1

Sherb Eric Michael · CIK 0002090364 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

SEC source: 0001493152-26-009941 · ownership.xml · nonDerivative · entry 3

Narasimhan Mani · CIK 0002031317 · Director · President & Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 750,000

F4 · shares: These shares of restricted Common Stock ("Restricted Shares") vest in two equal annual installments beginning on April 14, 2026.

SEC source: 0001493152-26-009942 · ownership.xml · nonDerivative · entry 4

Shankar Hariharan · CIK 0002031316 · Director · Co-CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,718,679

F3 · shares: These shares of restricted Common Stock ("Restricted Shares") vest in two equal annual installments beginning on April 14, 2026.

SEC source: 0001493152-26-009941 · ownership.xml · nonDerivative · entry 2

Narasimhan Mani · CIK 0002031317 · Director · President & Co-CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Srivatsav, LLC

Disclosed balance after: 1,395,515

F3 · shares: These shares of Common Stock were transferred by Srivatsav to a designee of NVK Finance, LLC (the "Lender") as consideration for the Lender's consent to certain transactions contemplated by that certain First Amendment to Loan and Security Agreement, dated November 22, 2024, entered into by the Issuer, the Lender, Dr. Mani, and certain other parties thereto.

F3 · price: These shares of Common Stock were transferred by Srivatsav to a designee of NVK Finance, LLC (the "Lender") as consideration for the Lender's consent to certain transactions contemplated by that certain First Amendment to Loan and Security Agreement, dated November 22, 2024, entered into by the Issuer, the Lender, Dr. Mani, and certain other parties thereto.

F2 · ownership.nature: These securities are owned directly by Srivatsav, LLC ("Srivatsav"). As the Managing Member of Srivatsav, Dr. Narasimhan Mani may be deemed to be the indirect beneficial owner of securities held by Srivatsav. Dr. Mani disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-009942 · ownership.xml · nonDerivative · entry 3

Shankar Hariharan · CIK 0002031316 · Director · Co-CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,968,679

F2 · shares: These shares of Common Stock were transferred by Dr. Shankar Hariharan to a designee of NVK Finance, LLC (the "Lender") as consideration for the Lender's consent to certain transactions contemplated by that certain First Amendment to Loan and Security Agreement, dated November 22, 2024, entered into by the Issuer, the Lender, Dr. Hariharan, and certain other parties thereto.

F2 · price: These shares of Common Stock were transferred by Dr. Shankar Hariharan to a designee of NVK Finance, LLC (the "Lender") as consideration for the Lender's consent to certain transactions contemplated by that certain First Amendment to Loan and Security Agreement, dated November 22, 2024, entered into by the Issuer, the Lender, Dr. Hariharan, and certain other parties thereto.

SEC source: 0001493152-26-009941 · ownership.xml · derivative · entry 6

Narasimhan Mani · CIK 0002031317 · Director · President & Co-CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Srivatsav, LLC

Disclosed balance after: 0

Underlying: Common Stock, par value $0.00001 · 1,357,538 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: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

F1 · derivative.exercise_date: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

F1 · derivative.expiration_date: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

F2 · ownership.nature: These securities are owned directly by Srivatsav, LLC ("Srivatsav"). As the Managing Member of Srivatsav, Dr. Narasimhan Mani may be deemed to be the indirect beneficial owner of securities held by Srivatsav. Dr. Mani disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-009941 · ownership.xml · nonDerivative · entry 1

Narasimhan Mani · CIK 0002031317 · Director · President & Co-CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Srivatsav, LLC

Disclosed balance after: 1,415,515

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: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

F2 · ownership.nature: These securities are owned directly by Srivatsav, LLC ("Srivatsav"). As the Managing Member of Srivatsav, Dr. Narasimhan Mani may be deemed to be the indirect beneficial owner of securities held by Srivatsav. Dr. Mani disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-26-009942 · ownership.xml · derivative · entry 8

Shankar Hariharan · CIK 0002031316 · Director · Co-CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 0

Underlying: Common Stock, par value $0.00001 · 356,480 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: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

F1 · derivative.exercise_date: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

F1 · derivative.expiration_date: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

SEC source: 0001493152-26-009942 · ownership.xml · derivative · entry 7

Shankar Hariharan · CIK 0002031316 · Director · Co-CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.00001 · 1,916,816 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: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

F1 · derivative.exercise_date: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

F1 · derivative.expiration_date: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

SEC source: 0001493152-26-009942 · ownership.xml · nonDerivative · entry 2

Shankar Hariharan · CIK 0002031316 · Director · Co-CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 371,704

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: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

SEC source: 0001493152-26-009942 · ownership.xml · nonDerivative · entry 1

Shankar Hariharan · CIK 0002031316 · Director · Co-CEO & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,998,679

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: These shares of the Series X Non-Voting Convertible Preferred Stock, par value $0.00001 per share (the "Series X Preferred Stock"), of Scienture Holdings, Inc. (the "Issuer"), formerly known as TRxADE HEALTH, INC., automatically converted on a one-for-one basis into shares of the Issuer's common stock, par value $0.00001 per share ("Common Stock"), on the twentieth calendar day following the Issuer's mailing of an information statement on Schedule 14C in connection with the closing of the Issuer's previously announced acquisition of Scienture, Inc. on July 25, 2024 pursuant to an Agreement and Plan of Merger. The Series X Preferred Stock had no expiration date.

SEC source: 0001493152-24-002316 · ownership.xml · nonDerivative · entry 1

AJJARAPU SURENDRA K · CIK 0001368298 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sandhya Ajjarapu Revocable Trust 2007

Disclosed balance after: 150,000

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/2 of the shares on January 1, 2023 and April 1, 2023, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as an officer of the Company.

F3 · ownership.nature: These securities are owned directly by the Sandhya Trust, of which Mr. Ajjarapu is the trustee. Mr. Ajjarapu, as the trustee, is deemed to have indirect beneficial ownership of the shares held by the Sandhya Trust.

SEC source: 0001493152-24-002319 · ownership.xml · nonDerivative · entry 1

Patel Prashant · CIK 0001617460 · Director · Interim CFO and Director

10b5-1 filing: No plan indicated

Ownership: Indirect · The Patel Trust 2010

Disclosed balance after: 150,000

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/2 of the shares on January 1, 2023 and April 1, 2023, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

F3 · ownership.nature: These securities are owned directly by the Patel Trust 2010, of which Mr. Patel is the trustee. Mr. Patel, as the trustee, is deemed to have indirect beneficial ownership of the shares held by the Patel Trust 2010.

SEC source: 0001493152-24-021630 · ownership.xml · nonDerivative · entry 1

AJJARAPU SURENDRA K · CIK 0001368298 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,643

F1 · kind: This Form 4/A is being filed to amend the previous Form 4 filed by Mr. Ajjarapu on January 16, 2024 (the "Prior Form 4"). The purpose of this Form 4/A is to: (i) correct the number of securities acquired on or about January 5, 2024; (ii) correct the amount of securities beneficially owned by Mr. Ajjarapu as of that date; and (iii) correct Mr. Ajjarapu's form of ownership.

F2 · price: The shares were granted as consideration for services rendered by Mr. Ajjarapu.

F3 · ownership.direct: These securities are owned directly by Mr. Ajjarapu.

SEC source: 0001493152-24-021627 · ownership.xml · nonDerivative · entry 1

Patel Prashant · CIK 0001617460 · Director · Interim CFO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,242

F1 · kind: This Form 4/A is being filed to amend the previous Form 4 filed by Mr. Patel on January 16, 2024 (the "Prior Form 4"). The purpose of this Form 4/A is to: (i) correct the number of securities acquired on or about January 5, 2024; (ii) correct the amount of securities beneficially owned by Mr. Patel as of that date; and (iii) correct Mr. Patel's form of ownership.

F2 · price: The shares were granted as consideration for services rendered by Mr. Patel.

F3 · ownership.direct: These securities are owned directly by Mr. Patel.

SEC source: 0001493152-23-002029 · ownership.xml · derivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,802

Underlying: Common Stock · 135,802 shares

Expires 2033-01-16

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors of the Issuer and Chairperson of the Audit Committee. Issued under the Issuer's Amended and Restated 2019 Equity Incentive Plan.

F3 · derivative.exercise_date: The options vest at the rate of 1/2 of such options per year, on January 4, 2024 and 2025, subject to the recipient's continued service to the Issuer. Exempt pursuant to Rule 16b-3.

SEC source: 0001493152-23-002029 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,940

F1 · kind: Represents restricted stock shares subject to time-based vesting, which vest at the rate of 1/8th of such shares per quarter (on the first day of each calendar quarter), with the first vesting beginning on April 1, 2023, subject to the recipient's continued service to the Issuer. Exempt pursuant to Rule 16b-3.

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors of the Issuer and Chairperson of the Audit Committee. Issued under the Issuer's Amended and Restated 2019 Equity Incentive Plan.

SEC source: 0001493152-22-037208 · ownership.xml · nonDerivative · entry 1

Newell A. Jeffrey · CIK 0001949768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,062

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/2 of the shares on January 1, 2023 and April 1, 2023, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-23-006014 · ownership.xml · nonDerivative · entry 1

Huffman Janet · CIK 0001866284 · CFO, PAO, PFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,551

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on December 31, 2022, March 31, 2023, June 30, 2023 and September 30, 2023, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as Chief Financial Officer.

SEC source: 0001493152-22-026091 · ownership.xml · nonDerivative · entry 1

POPE CHARLES L · CIK 0001136354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,437

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on the grant date, September 1, 2022, and 1/4th of such shares on each of October 1, 2022, January 1, 2023 and April 1, 2023, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-22-026112 · ownership.xml · nonDerivative · entry 1

Huffman Janet · CIK 0001866284 · CFO, PAO, PFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,551

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on September 30, 2022, October 31, 2022, November 30, 2022 and December 31, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as Chief Financial Officer.

SEC source: 0001493152-22-026089 · ownership.xml · nonDerivative · entry 1

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,164,240

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on September 30, 2022, October 31, 2022, November 30, 2022 and December 31, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as Chief Executive Officer.

SEC source: 0001493152-22-026120 · ownership.xml · nonDerivative · entry 1

Patel Prashant · CIK 0001617460 · Director · President and COO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,261,120

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on September 30, 2022, October 31, 2022, November 30, 2022 and December 31, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as President and Chief Operating Officer.

SEC source: 0001493152-22-026109 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,664

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on the grant date, September 1, 2022, and 1/4th of such shares on each of October 1, 2022, January 1, 2023 and April 1, 2023, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-22-024282 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,139

SEC source: 0001493152-22-014703 · ownership.xml · nonDerivative · entry 4

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sandhya Ajjarapu Revocable Trust of 2007 which Reporting Person controls as trustee

Disclosed balance after: 222,500

SEC source: 0001493152-22-014698 · ownership.xml · nonDerivative · entry 4

AJJARAPU SURENDRA K · CIK 0001368298 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Sandhya Ajjarapu Revocable Trust of 2007 which Reporting Person controls as trustee

Disclosed balance after: 222,500

SEC source: 0001493152-22-014319 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,639

SEC source: 0001493152-21-015010 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,387

F1 · kind: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the April 2021 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001493152-21-013442 · ownership.xml · nonDerivative · entry 1

POPE CHARLES L · CIK 0001136354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,912

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/3 of the shares on October 1, 2021 and January 1 and April 1, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · balance_after: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-21-013437 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,287

F1 · kind: The shares were forfeited back to the Issuer as the reporting person's services to the Issuer ended on May 27, 2021, due to the vesting conditions pertaining to the award not having been achieved. Exempt under Rule 16b-3(e).

SEC source: 0001493152-21-013438 · ownership.xml · nonDerivative · entry 1

Tenaerts Pamela · CIK 0001794913 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,867

F1 · kind: The shares were forfeited back to the Issuer as the reporting person discontinued service to the Issuer as of May 27, 2021, due to the vesting conditions pertaining to the award not having been achieved. Exempt under Rule 16b-3(e).

F1 · shares: The shares were forfeited back to the Issuer as the reporting person discontinued service to the Issuer as of May 27, 2021, due to the vesting conditions pertaining to the award not having been achieved. Exempt under Rule 16b-3(e).

SEC source: 0001493152-21-013637 · ownership.xml · nonDerivative · entry 1

Jennings Christine L. · CIK 0001865857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,912

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/3 of the shares on October 1, 2021 and January 1 and April 1, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · balance_after: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-21-010633 · ownership.xml · nonDerivative · entry 2

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,639

F1 · shares: This transaction involved a bona fide gift of securities by the Reporting Person to family and/or a friend.

SEC source: 0001493152-21-010633 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,939

F1 · shares: This transaction involved a bona fide gift of securities by the Reporting Person to family and/or a friend.

SEC source: 0001493152-21-009257 · ownership.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,008

F3 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2021 and January 1 and April 1, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-21-009257 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,287

F1 · kind: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the April 2021 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $4.63 to $4.77, with the price reported above reflecting the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was affected.

SEC source: 0001493152-21-009261 · ownership.xml · nonDerivative · entry 1

Patel Prashant · CIK 0001617460 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,252,500

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the April 2021 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: Represents the weighted sales price for all sales made on April 19, 2021, which were made in a range of between $4.30 and $4.77 per share. The Reporting Person will provide to the Commission, the Issuer or any stockholder, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001493152-21-009256 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,189

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2021 and January 1 and April 1, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · balance_after: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-21-009258 · ownership.xml · nonDerivative · entry 1

Tenaerts Pamela · CIK 0001794913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,908

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2021 and January 1 and April 1, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · balance_after: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-20-023703 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,187

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the December 2020 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: Represents the weighted sales price for all sales made on December 14, 2020, which were made in a range of between $5.22 and $5.30 per share. The Reporting Person will provide to the Commission, the Issuer or any stockholder, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001493152-20-023707 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,487

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the December 2020 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001493152-20-023735 · ownership.xml · nonDerivative · entry 1

Tenaerts Pamela · CIK 0001794913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,187

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the December 2020 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001493152-20-023728 · ownership.xml · nonDerivative · entry 1

Patel Prashant · CIK 0001617460 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,260,000

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the December 2020 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: Represents the weighted sales price for all sales made on December 14, 2020, which were made in a range of between $5.22 and $5.34 per share. The Reporting Person will provide to the Commission, the Issuer or any stockholder, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001493152-21-008892 · ownership.xml · nonDerivative · entry 1

Fell Donald G. · CIK 0001616905 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,468

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the December 2020 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · balance_after: This Amended Form 4 is being filed to update the Reporting Person's beneficial ownership to include 981 shares of common stock which were inadvertently left out of the original filing.

SEC source: 0001493152-20-013735 · ownership.xml · nonDerivative · entry 2

Patel Prashant · CIK 0001617460 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,267,500

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person to satisfy the Reporting Person's tax liability in connection with the April 2020 grant of certain restricted stock which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3(b).

F2 · price: Represents the weighted sales price for all sales made on July 14, 2020, which were made in a range of between ($5.31) and ($5.55) per share. The Reporting Person will provide to the Commission, the Issuer or any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.