VUZI

SEC source: 0001104659-26-084646 · tm2620760-3_4seq1.xml · nonDerivative · entry 1

MacKinnon Alasdair John · CIK 0002087967 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,707

F1 · kind: The reported transaction involved the Reporting Person's receipt of 29,412 restricted share units ("RSUs"). The RSUs were granted pursuant to the applicable RSU agreement and the Vuzix Corp. 2023 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of common stock upon vesting. The 29,412 RSUs shall vest on June 30, 2027, subject to the Reporting Person's continued service.

F2 · balance_after: The total reported in Column 5 includes (i) the 29,412 newly awarded RSUs, of which 0 have vested and (ii) 65,295 restricted stock awards, of which 55,295 have vested.

SEC source: 0001104659-26-084649 · tm2620760-2_4seq1.xml · nonDerivative · entry 1

Whitten-Doolin Paula Beck · CIK 0001951825 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,080

F1 · kind: The reported transaction involved the Reporting Person's receipt of 29,412 restricted share units ("RSUs"). The RSUs were granted pursuant to the applicable RSU agreement and the Vuzix Corp. 2023 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of common stock upon vesting. The 29,412 RSUs shall vest on June 30, 2027, subject to the Reporting Person's continued service.

F2 · balance_after: The total reported in Column 5 includes (i) the 29,412 newly awarded RSUs, of which 0 have vested and (ii) 90,668 shares of common stock.

SEC source: 0001104659-26-084892 · tm2620760-1_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 347,570

F1 · kind: The reported transaction involved the Reporting Person's receipt of 29,412 restricted share units ("RSUs"). The RSUs were granted pursuant to the applicable RSU agreement and the Vuzix Corp. 2023 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of common stock upon vesting. The 29,412 RSUs shall vest on June 30, 2027, subject to the Reporting Person's continued service.

F2 · balance_after: The total reported in Column 5 includes (i) the 29,412 newly awarded RSUs, of which 0 have vested and (ii) 318,158 shares of common stock.

SEC source: 0001104659-26-066913 · tm2615703-1_4seq1.xml · nonDerivative · entry 1

Whitten-Doolin Paula Beck · CIK 0001951825 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,668

F1 · kind: The shares were sold to cover the reporting person's tax liability upon the vesting of equity compensation.

F2 · price: This sales price reflects a weighted average of multiple prices ranging from $4.68 to $4.72. Full information regarding the number of shares sold at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001104659-26-065277 · tm2615403-1_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,158

F1 · kind: The shares were sold to cover the reporting person's tax liability upon the vesting of equity compensation.

F2 · price: This sales price reflects a weighted average of multiple prices ranging from $4.69 to $4.75. Full information regarding the number of shares sold at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001104659-26-053240 · tm2613277-2_4seq1.xml · derivative · entry 1

Russell Grant · CIK 0001475058 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,258

Underlying: Common Stock · 193,258 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s), both time-based vesting and performance-based vesting, represents the contingent right to receive one share of common stock.

F2 · derivative.exercise_date: 50% (96,629) of the RSUs will vest as follows: 1/3 each on December 15, 2026, 1/3 December 15, 2027, and 1/3 December 15, 2028. The remaining 50% (96,629) will vest solely upon certain performance achievements, up and until December 31, 2028, and not simply the passage of time. This latter 50% may increase up to 150% of such amount (144,943 RSUs) subject to certain bonus achievements.

F2 · derivative.expiration_date: 50% (96,629) of the RSUs will vest as follows: 1/3 each on December 15, 2026, 1/3 December 15, 2027, and 1/3 December 15, 2028. The remaining 50% (96,629) will vest solely upon certain performance achievements, up and until December 31, 2028, and not simply the passage of time. This latter 50% may increase up to 150% of such amount (144,943 RSUs) subject to certain bonus achievements.

SEC source: 0001104659-26-053239 · tm2613277-1_4seq1.xml · derivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 477,178

Underlying: Common Stock · 477,178 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s), both time-based vesting and performance-based vesting, represents the contingent right to receive one share of common stock.

F2 · derivative.exercise_date: 50% (238,589) of the RSUs will vest as follows: 1/3 each on December 15, 2026, 1/3 December 15, 2027, and 1/3 December 15, 2028. The remaining 50% (238,589) will vest solely upon certain performance achievements, up and until December 31, 2028, and not simply the passage of time. This latter 50% may increase up to 150% of such amount (357,884 RSUs) subject to certain bonus achievements.

F2 · derivative.expiration_date: 50% (238,589) of the RSUs will vest as follows: 1/3 each on December 15, 2026, 1/3 December 15, 2027, and 1/3 December 15, 2028. The remaining 50% (238,589) will vest solely upon certain performance achievements, up and until December 31, 2028, and not simply the passage of time. This latter 50% may increase up to 150% of such amount (357,884 RSUs) subject to certain bonus achievements.

SEC source: 0001104659-26-048768 · tm2612747-1_4seq1.xml · derivative · entry 1

Parkinson Christopher Iain · CIK 0002086540 · Former officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The RSUs would vest solely upon the achievement of certain revenue and EBITDA targets of the issuer's Enterprise Solutions business unit by December 31, 2028.

F2 · derivative.expiration_date: The RSUs would vest solely upon the achievement of certain revenue and EBITDA targets of the issuer's Enterprise Solutions business unit by December 31, 2028.

SEC source: 0001104659-26-023614 · tm268030-1_4seq1.xml · nonDerivative · entry 1

Parkinson Christopher Iain · CIK 0002086540 · See remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 131,130

F1 · kind: The shares were sold to cover the reporting person's tax liability.

SEC source: 0001104659-25-124309 · tm2534274-1_4seq1.xml · nonDerivative · entry 1

Parkinson Christopher Iain · CIK 0002086540 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142,793

F1 · kind: The shares were sold to cover the reporting person's tax liability.

SEC source: 0001104659-25-094661 · tm2527455-1_4seq1.xml · derivative · entry 2

Parkinson Christopher Iain · CIK 0002086540 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

F3 · derivative.exercise_date: The RSUs will vest solely upon the achievement of certain revenue and EBITDA targets of the issuer's Enterprise Solutions business unit by December 31, 2028.

F3 · derivative.expiration_date: The RSUs will vest solely upon the achievement of certain revenue and EBITDA targets of the issuer's Enterprise Solutions business unit by December 31, 2028.

SEC source: 0001104659-25-094661 · tm2527455-1_4seq1.xml · nonDerivative · entry 1

Parkinson Christopher Iain · CIK 0002086540 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,250

F1 · kind: Represents grant of restricted stock. The shares will vest quarterly over one year.

SEC source: 0000950103-25-012007 · dp234645_4-quanta.xml · derivative · entry 1

Quanta Computer Inc. · CIK 0001427401 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230,242

Underlying: Common Stock · 2,302,420 shares

Expires not disclosed

F1 · kind: On September 19, 2025, Quanta Computer Inc. ("Quanta") purchased 230,242 shares of the Issuer's Series B Preferred Stock at a purchase price of $21.716 per share under the third closing under the securities purchase agreement, dated September 3, 2024, between the Issuer and Quanta. Each share of Series B Preferred Stock is convertible into 10 shares of the Issuer's common stock.

F1 · derivative.expiration_date: On September 19, 2025, Quanta Computer Inc. ("Quanta") purchased 230,242 shares of the Issuer's Series B Preferred Stock at a purchase price of $21.716 per share under the third closing under the securities purchase agreement, dated September 3, 2024, between the Issuer and Quanta. Each share of Series B Preferred Stock is convertible into 10 shares of the Issuer's common stock.

SEC source: 0001104659-25-093429 · tm2526910-2_4seq1.xml · nonDerivative · entry 1

MacKinnon Alasdair John · CIK 0002087967 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,295

F1 · kind: Represents grant of restricted stock. 45,295 shares will vest on June 30, 2026, 10,000 shares will vest on June 30, 2026 and 10,000 shares will vest on June 30, 2027

SEC source: 0001104659-25-065746 · tm2519859-3_4seq1.xml · nonDerivative · entry 1

Whitten-Doolin Paula Beck · CIK 0001951825 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,668

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-25-065614 · tm2519859-1_4seq1.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 309,511

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-25-065611 · tm2519859-2_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 328,158

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0000950103-25-007511 · dp230296_4-qunata.xml · derivative · entry 1

Quanta Computer Inc. · CIK 0001427401 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,717

Underlying: Common Stock · 1,897,170 shares

Expires not disclosed

F1 · kind: On June 13, 2025, Quanta Computer Inc. ("Quanta") purchased 189,717 shares of the Issuer's Series B Preferred Stock at a purchase price of $26.35 per share under the second closing under the securities purchase agreement, dated September 3, 2024, between the Issuer and Quanta. Each share of Series B Preferred Stock is convertible into 10 shares of the Issuer's common stock.

F1 · derivative.expiration_date: On June 13, 2025, Quanta Computer Inc. ("Quanta") purchased 189,717 shares of the Issuer's Series B Preferred Stock at a purchase price of $26.35 per share under the second closing under the securities purchase agreement, dated September 3, 2024, between the Issuer and Quanta. Each share of Series B Preferred Stock is convertible into 10 shares of the Issuer's common stock.

SEC source: 0001104659-25-010188 · tm255741-1_4seq1.xml · nonDerivative · entry 1

Jameson Peter Hamilton · CIK 0001905276 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,575

F1 · kind: The shares were returned to the issuer for cancellation to cover the reporting person's tax liability.

SEC source: 0001104659-25-001329 · tm252089-2_4seq1.xml · derivative · entry 2

Russell Grant · CIK 0001475058 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,750,000 shares

Expires 2033-03-17

F2 · kind: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (59,105) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (59,105) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (73,881 RSUs) subject to achievement of certain results.

F3 · derivative.exercise_date: 125,000 options vested immediately, and the remainder were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the options will terminate subject to and upon shareholder approval.

F3 · derivative.expiration_date: 125,000 options vested immediately, and the remainder were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the options will terminate subject to and upon shareholder approval.

SEC source: 0001104659-25-001329 · tm252089-2_4seq1.xml · derivative · entry 1

Russell Grant · CIK 0001475058 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,211

Underlying: Common Stock · 118,211 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (59,105) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (59,105) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (73,881 RSUs) subject to achievement of certain results.

F2 · derivative.expiration_date: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (59,105) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (59,105) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (73,881 RSUs) subject to achievement of certain results.

SEC source: 0001104659-25-001327 · tm252089-1_4seq1.xml · derivative · entry 2

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,260,000 shares

Expires 2031-03-17

F2 · kind: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (145,939) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (145,939) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (182,424 RSUs) subject to achievement of certain results.

F3 · derivative.exercise_date: 250,000 options vested immediately, and the remainder were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the options will terminate subject to and upon shareholder approval.

F3 · derivative.expiration_date: 250,000 options vested immediately, and the remainder were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the options will terminate subject to and upon shareholder approval.

SEC source: 0001104659-25-001327 · tm252089-1_4seq1.xml · derivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,878

Underlying: Common Stock · 291,878 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (145,939) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (145,939) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (182,424 RSUs) subject to achievement of certain results.

F2 · derivative.expiration_date: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (145,939) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (145,939) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (182,424 RSUs) subject to achievement of certain results.

SEC source: 0001104659-25-001365 · tm252089-3_4seq1.xml · derivative · entry 2

Jameson Peter Hamilton · CIK 0001905276 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 270,000 shares

Expires 2033-03-17

F2 · kind: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (55,821) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (55,821) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (69,776 RSUs) subject to achievement of certain results.

F3 · derivative.exercise_date: The options were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the options will terminate subject to and upon shareholder approval.

F3 · derivative.expiration_date: The options were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the options will terminate subject to and upon shareholder approval.

SEC source: 0001104659-25-001365 · tm252089-3_4seq1.xml · derivative · entry 1

Jameson Peter Hamilton · CIK 0001905276 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 111,642

Underlying: Common Stock · 111,642 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (55,821) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (55,821) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (69,776 RSUs) subject to achievement of certain results.

F2 · derivative.expiration_date: The RSUs and cancellation of the options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (55,821) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (55,821) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (69,776 RSUs) subject to achievement of certain results.

SEC source: 0001104659-25-002060 · tm252669-2_4aseq1.xml · derivative · entry 2

Russell Grant · CIK 0001475058 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 1,750,000 shares

Expires 2033-03-17

F2 · kind: The RSUs and cancellation of the unvested options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the unvested options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (59,105) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (59,105) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (73,881 RSUs) subject to achievement of certain results.

F3 · derivative.exercise_date: 125,000 options vested immediately, and the remaining 1,625,000 options were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the unvested options will terminate subject to and upon shareholder approval.

F3 · derivative.expiration_date: 125,000 options vested immediately, and the remaining 1,625,000 options were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the unvested options will terminate subject to and upon shareholder approval.

SEC source: 0001104659-25-002060 · tm252669-2_4aseq1.xml · derivative · entry 1

Russell Grant · CIK 0001475058 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,211

Underlying: Common Stock · 118,211 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The RSUs and cancellation of the unvested options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the unvested options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (59,105) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (59,105) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (73,881 RSUs) subject to achievement of certain results.

F2 · derivative.expiration_date: The RSUs and cancellation of the unvested options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the unvested options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (59,105) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (59,105) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (73,881 RSUs) subject to achievement of certain results.

SEC source: 0001104659-25-002057 · tm252669-1_4aseq1.xml · derivative · entry 2

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 3,260,000 shares

Expires 2031-03-17

F2 · kind: The RSUs and cancellation of the unvested options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the unvested options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (145,939) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (145,939) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (182,424 RSUs) subject to achievement of certain results.

F3 · derivative.exercise_date: 250,000 options vested immediately, and the remaining 3,010,000 options were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the unvested options will terminate subject to and upon shareholder approval.

F3 · derivative.expiration_date: 250,000 options vested immediately, and the remaining 3,010,000 options were to vest solely upon achievement of certain market capitalization and operating results goals and not simply the passage of time. As set forth in footnote (2) above, the unvested options will terminate subject to and upon shareholder approval.

SEC source: 0001104659-25-002057 · tm252669-1_4aseq1.xml · derivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,878

Underlying: Common Stock · 291,878 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

F2 · derivative.exercise_date: The RSUs and cancellation of the unvested options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the unvested options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (145,939) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (145,939) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (182,424 RSUs) subject to achievement of certain results.

F2 · derivative.expiration_date: The RSUs and cancellation of the unvested options are subject to shareholder approval to be obtained at the Company's 2025 shareholder meeting. Upon and subject to such shareholder approval, the grant of the RSUs will be effective and the unvested options issued to the Reporting Person on March 17, 2021 will simultaneously terminate. Subject to the foregoing, 50% (145,939) of the RSUs will vest in 3 years from the date of grant, and the remaining 50% (145,939) will vest solely upon achievement of certain performance results goals and not simply the passage of time. This remaining 50% may increase to up to 125% of such amount (182,424 RSUs) subject to achievement of certain results.

SEC source: 0001104659-24-077355 · tm2418729-4_4seq1.xml · derivative · entry 1

Russell Grant · CIK 0001475058 · Director · CFO and Executive VP

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,023

Underlying: Common Stock · 310,023 shares

Expires 2034-07-01

F1 · kind: Options were issued pursuant to the issuer's voluntary Company-wide payroll reduction program for a 12-month period.

SEC source: 0001104659-24-077356 · tm2418729-5_4seq1.xml · derivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 624,369

Underlying: Common Stock · 624,369 shares

Expires 2034-07-01

F1 · kind: Options were issued pursuant to the issuer's voluntary Company-wide payroll reduction program for a 12-month period.

SEC source: 0001104659-24-077352 · tm2418729-3_4seq1.xml · derivative · entry 1

Jameson Peter Hamilton · CIK 0001905276 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 361,553

Underlying: Common Stock · 361,553 shares

Expires 2034-07-01

F1 · kind: Options were issued pursuant to the issuer's voluntary Company-wide payroll reduction program for a 12-month period

SEC source: 0001104659-24-077351 · tm2418729-2_4seq1.xml · derivative · entry 2

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,758

Underlying: Common Stock · 175,758 shares

Expires 2034-07-01

F2 · kind: Represents an option award to the reporting person, which the reporting person elected to receive in lieu of certain cash compensation.

SEC source: 0001104659-24-077351 · tm2418729-2_4seq1.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,765

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-24-077350 · tm2418729-1_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 296,412

F1 · kind: Represents a stock award to the reporting person, including 39,474 shares the reporting person elected to receive in lieu of certain cash compensation. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-24-078701 · tm2419176-2_4seq1.xml · derivative · entry 2

Whitten-Doolin Paula Beck · CIK 0001951825 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,404

Underlying: Common Stock · 40,404 shares

Expires 2034-07-01

F2 · kind: Represents an option award to the reporting person, which the reporting person elected to receive in lieu of certain cash compensation.

SEC source: 0001104659-24-078701 · tm2419176-2_4seq1.xml · nonDerivative · entry 1

Whitten-Doolin Paula Beck · CIK 0001951825 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,922

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.

SEC source: 0001104659-24-049860 · tm2412378-1_4seq1.xml · nonDerivative · entry 5

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,859,670

F1 · ownership.direct: Following the final purchase reported hereunder, 1,989,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-24-049860 · tm2412378-1_4seq1.xml · nonDerivative · entry 4

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,857,170

F1 · ownership.direct: Following the final purchase reported hereunder, 1,989,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-24-049860 · tm2412378-1_4seq1.xml · nonDerivative · entry 3

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,854,670

F1 · ownership.direct: Following the final purchase reported hereunder, 1,989,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-24-049860 · tm2412378-1_4seq1.xml · nonDerivative · entry 2

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,852,170

F1 · ownership.direct: Following the final purchase reported hereunder, 1,989,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-24-049860 · tm2412378-1_4seq1.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,847,170

F1 · ownership.direct: Following the final purchase reported hereunder, 1,989,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-24-050434 · tm2412497-1_4seq1.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 186,016

F1 · price: This sales price reflects a weighted average of multiple prices ranging from $1.275 to $1.335. Full information regarding the number of shares acquired at each price will be provided to the Securities and Exchange Commission staff, the Issuer or any security holder of the Issuer upon request.

SEC source: 0001104659-24-048750 · tm2412195-1_4seq1.xml · nonDerivative · entry 3

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,845,170

F1 · ownership.direct: Following the final purchase reported hereunder, 1,975,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-24-048750 · tm2412195-1_4seq1.xml · nonDerivative · entry 2

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,842,670

F1 · ownership.direct: Following the final purchase reported hereunder, 1,975,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-24-048750 · tm2412195-1_4seq1.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,840,170

F1 · ownership.direct: Following the final purchase reported hereunder, 1,975,170 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-24-049866 · tm2412378-2_4seq1.xml · nonDerivative · entry 1

Jameson Peter Hamilton · CIK 0001905276 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 182,600

F1 · kind: The shares were returned to the issuer for cancellation to cover the reporting person's tax liability.

SEC source: 0001104659-23-119333 · tm2330926-1_4seq1.xml · nonDerivative · entry 1

Travers Paul J · CIK 0001475077 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,837,670

F1 · ownership.direct: 1,967,670 shares are held directly by Mr. Travers and 870,000 shares are held by grantor retained annuity trusts as follows: 609,000 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust I dated May 14, 2015, 182,700 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust II dated May 14, 2015, and 78,300 shares by Serge Turcotte as trustee of the Paul Travers Annuity Trust III dated May 14, 2015.

SEC source: 0001104659-23-092925 · tm2324059d1_4seq1.xml · nonDerivative · entry 1

Kay Edward William Jr. · CIK 0001562330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,843

SEC source: 0001104659-23-080869 · tm2321260-3_4.xml · nonDerivative · entry 1

Harned Timothy Heydenreich · CIK 0001709813 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,016

F1 · kind: Represents a stock award to the reporting person. The shares will vest at the one-year anniversary of the grant date.