VERU

SEC source: 0001042167-17-000128 · primary_doc.xml · derivative · entry 1

Groch Brian J. · CIK 0001694429 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,335

Underlying: Common Stock · 97.335 shares

Expires 2027-12-14

F1 · derivative.exercise_date: Options for all of the shares vest on December 14, 2018.

SEC source: 0001042167-17-000127 · primary_doc.xml · derivative · entry 1

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,419

Underlying: Common Stock · 188,419 shares

Expires 2027-12-14

F1 · derivative.exercise_date: Options for all of the shares vest on December 14, 2018.

SEC source: 0001042167-17-000122 · primary_doc.xml · derivative · entry 1

Groch Brian J. · CIK 0001694429 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-12-04

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of December 4, 2018, December 4, 2019 and December 4, 2020.

SEC source: 0001042167-17-000105 · primary_doc.xml · nonDerivative · entry 8

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 25,000

F3 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.609331 to $1.68. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by four individual trusts with each trust for the benefit of an adult child of the reporting person. The reporting person's brother is the trustee of each of the trusts. The reporting person disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

SEC source: 0001042167-17-000105 · primary_doc.xml · nonDerivative · entry 6

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 25,000

F3 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.609331 to $1.68. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by four individual trusts with each trust for the benefit of an adult child of the reporting person. The reporting person's brother is the trustee of each of the trusts. The reporting person disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

SEC source: 0001042167-17-000105 · primary_doc.xml · nonDerivative · entry 4

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 25,000

F3 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.609331 to $1.68. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by four individual trusts with each trust for the benefit of an adult child of the reporting person. The reporting person's brother is the trustee of each of the trusts. The reporting person disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

SEC source: 0001042167-17-000105 · primary_doc.xml · nonDerivative · entry 2

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 25,000

F3 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.609331 to $1.68. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by four individual trusts with each trust for the benefit of an adult child of the reporting person. The reporting person's brother is the trustee of each of the trusts. The reporting person disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

SEC source: 0001042167-17-000105 · primary_doc.xml · nonDerivative · entry 7

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 5,758

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.49 to $1.60. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by four individual trusts with each trust for the benefit of an adult child of the reporting person. The reporting person's brother is the trustee of each of the trusts. The reporting person disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

SEC source: 0001042167-17-000105 · primary_doc.xml · nonDerivative · entry 5

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 5,780

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.49 to $1.60. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by four individual trusts with each trust for the benefit of an adult child of the reporting person. The reporting person's brother is the trustee of each of the trusts. The reporting person disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

SEC source: 0001042167-17-000105 · primary_doc.xml · nonDerivative · entry 3

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 5,780

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.49 to $1.60. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by four individual trusts with each trust for the benefit of an adult child of the reporting person. The reporting person's brother is the trustee of each of the trusts. The reporting person disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

SEC source: 0001042167-17-000105 · primary_doc.xml · nonDerivative · entry 1

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 5,785

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.49 to $1.60. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by four individual trusts with each trust for the benefit of an adult child of the reporting person. The reporting person's brother is the trustee of each of the trusts. The reporting person disclaims beneficial ownership of these shares, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or any other purpose.

SEC source: 0001042167-17-000103 · primary_doc.xml · nonDerivative · entry 1

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 622,144

F1 · balance_after: Includes 46,750 shares held in the reporting person's self-directed IRA that were previously reported as indirect holdings and 541,144 shares held jointly by the reporting person and his spouse.

SEC source: 0001042167-17-000099 · primary_doc.xml · nonDerivative · entry 1

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,764,767

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.65 to $1.66. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · balance_after: Includes 55,000 shares held in the reporting person's self-directed IRA that were previously reported as indirect holdings.

SEC source: 0001042167-17-000098 · primary_doc.xml · nonDerivative · entry 1

Socorro Jesus · CIK 0001701862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,100

SEC source: 0001042167-17-000082 · primary_doc.xml · derivative · entry 1

Groch Brian J. · CIK 0001694429 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000081 · primary_doc.xml · derivative · entry 1

PEERSCHKE ELGAR · CIK 0001688922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000080 · primary_doc.xml · derivative · entry 1

PARRISH O B · CIK 0001212653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000079 · primary_doc.xml · derivative · entry 1

BETHUNE DAVID R · CIK 0001212655 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000078 · primary_doc.xml · derivative · entry 1

Eisenberger Mario · CIK 0001689094 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000077 · primary_doc.xml · derivative · entry 1

Frank Mary Margaret · CIK 0001307359 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000076 · primary_doc.xml · derivative · entry 1

Lu Lucy · CIK 0001542419 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000075 · primary_doc.xml · derivative · entry 1

MAKHOUL GEORGES · CIK 0001689020 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000074 · primary_doc.xml · derivative · entry 1

Socorro Jesus · CIK 0001701862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000073 · primary_doc.xml · derivative · entry 1

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000072 · primary_doc.xml · derivative · entry 1

HAINES DANIEL · CIK 0001689011 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000069 · primary_doc.xml · derivative · entry 1

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2027-08-02

F1 · derivative.exercise_date: Options for one-third of the shares vest on each of August 2, 2018, August 2, 2019 and August 2, 2020.

SEC source: 0001042167-17-000067 · primary_doc.xml · derivative · entry 3

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,058,640 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.

F2 · derivative.exercise_price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.exercise_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.expiration_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F1 · derivative.underlying_shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

SEC source: 0001042167-17-000067 · primary_doc.xml · nonDerivative · entry 1

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,704,142

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 · shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

F2 · price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

SEC source: 0001042167-17-000066 · primary_doc.xml · derivative · entry 5

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 0

Underlying: Common Stock · 6,632,560 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.

F2 · derivative.exercise_price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.exercise_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.expiration_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F1 · derivative.underlying_shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

F4 · ownership.nature: The securities are held by K&H Fisch Family Partners, LLC, of which the reporting person is the sole manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or any other purpose. Shares are held by the reporting person's self-directed IRA.

SEC source: 0001042167-17-000066 · primary_doc.xml · derivative · entry 4

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 0

Underlying: Common Stock · 486,640 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.

F2 · derivative.exercise_price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.exercise_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.expiration_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F1 · derivative.underlying_shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

F6 · ownership.nature: Includes 9,599 shares of Class A Preferred Stock - Series 4 that were held jointly by the reporting person and his spouse that were automatically converted into 383,960 shares of Common Stock of the Issuer effective July 31, 2017.

SEC source: 0001042167-17-000066 · primary_doc.xml · nonDerivative · entry 2

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 7,239,096

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 · shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

F2 · price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F4 · ownership.nature: The securities are held by K&H Fisch Family Partners, LLC, of which the reporting person is the sole manager. The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or any other purpose. Shares are held by the reporting person's self-directed IRA.

SEC source: 0001042167-17-000066 · primary_doc.xml · nonDerivative · entry 1

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 541,144

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 · shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

F2 · price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F3 · ownership.nature: Includes 429,072 shares of Common Stock held jointly by the reporting person and his spouse.

SEC source: 0001042167-17-000065 · primary_doc.xml · derivative · entry 2

PEERSCHKE ELGAR · CIK 0001688922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 959,040 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.

F2 · derivative.exercise_price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.exercise_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.expiration_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F1 · derivative.underlying_shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

SEC source: 0001042167-17-000065 · primary_doc.xml · nonDerivative · entry 1

PEERSCHKE ELGAR · CIK 0001688922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,104,560

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 · shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

F2 · price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

SEC source: 0001042167-17-000064 · primary_doc.xml · derivative · entry 2

MAKHOUL GEORGES · CIK 0001689020 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 978,080 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.

F2 · derivative.exercise_price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.exercise_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F2 · derivative.expiration_date: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

F1 · derivative.underlying_shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

SEC source: 0001042167-17-000064 · primary_doc.xml · nonDerivative · entry 1

MAKHOUL GEORGES · CIK 0001689020 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,167,524

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 · shares: Reflects 40-for-1 conversion which became effective on July 31, 2017.

F2 · price: Each share of Class A Preferred Stock - Series 4 automatically converted into 40 shares of Common Stock of the Issuer effective July 31, 2017 in accordance with the terms of the Class A Preferred Stock - Series 4. The Class A Preferred Stock - Series 4 had no expiration date.

SEC source: 0001042167-17-000056 · primary_doc.xml · nonDerivative · entry 2

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 55,000

F3 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.245 to $1.26. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by the reporting person's self-directed IRA.

SEC source: 0001042167-17-000056 · primary_doc.xml · nonDerivative · entry 1

STEINER MITCHELL SHUSTER · CIK 0001276244 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 40,000

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.25 to $1.29. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Shares are held by the reporting person's self-directed IRA.

SEC source: 0001042167-17-000055 · primary_doc.xml · nonDerivative · entry 1

PEERSCHKE ELGAR · CIK 0001688922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,520

SEC source: 0001042167-17-000054 · primary_doc.xml · nonDerivative · entry 2

PEERSCHKE ELGAR · CIK 0001688922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,520

SEC source: 0001042167-17-000052 · primary_doc.xml · nonDerivative · entry 1

HAINES DANIEL · CIK 0001689011 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,931

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.1378 to $1.14. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001042167-17-000054 · primary_doc.xml · nonDerivative · entry 1

PEERSCHKE ELGAR · CIK 0001688922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,605

SEC source: 0001042167-17-000053 · primary_doc.xml · nonDerivative · entry 1

PEERSCHKE ELGAR · CIK 0001688922 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,553

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.13 to $1.15. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001042167-17-000051 · primary_doc.xml · nonDerivative · entry 1

HAINES DANIEL · CIK 0001689011 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,931

SEC source: 0001042167-17-000050 · primary_doc.xml · nonDerivative · entry 1

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 46,750

F1 · ownership.nature: Shares are held by the reporting person's self-directed IRA.

SEC source: 0001042167-17-000047 · primary_doc.xml · nonDerivative · entry 1

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 34,750

F1 · ownership.nature: Shares are held by the reporting person's self-directed IRA.

SEC source: 0001042167-17-000046 · primary_doc.xml · nonDerivative · entry 2

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 24,750

F2 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.02 to $1.0268. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: Shares are held by the reporting person's self-directed IRA.

SEC source: 0001042167-17-000045 · primary_doc.xml · nonDerivative · entry 1

HAINES DANIEL · CIK 0001689011 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,931

F1 · price: The price reported above is the weighted average transaction price. The range of prices for such transactions is $1.0091 to $1.01. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price.

SEC source: 0001042167-17-000046 · primary_doc.xml · nonDerivative · entry 1

FISCH HARRY · CIK 0001688984 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Note

Disclosed balance after: 5,000

F1 · ownership.nature: Shares are held by the reporting person's self-directed IRA.

SEC source: 0001042167-17-000041 · primary_doc.xml · nonDerivative · entry 2

PARRISH O B · CIK 0001212653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 844,849