XBIO

SEC source: 0001683168-19-003106 · ownership.xml · derivative · entry 1

Borisenko Grigory G. · CIK 0001788924 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-09-26

F1 · derivative.exercise_date: The Options vest 100% on the twelve-month anniversary of the grant date.

SEC source: 0001683168-19-002304 · ownership.xml · nonDerivative · entry 1

Genkin Dmitry · CIK 0001711592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,603

F1 · price: Shares acquired in connection the closing of the transaction contemplated by that certain Share Purchase agreement, dated March 1, 2019, with Hesperix SA, a Swiss corporation ("Hesperix"), the owners of Hesperix (each, a "Seller" and collectively, the "Sellers"), and Alexey Andreevich Vinogradov, as the representative of each Seller. The Reporting Person was a Seller in the transaction. On the closing date, the closing price of the Issuer's common stock was $4.85.

SEC source: 0001662252-18-000106 · ownership.xml · derivative · entry 1

Dastoor Firdaus J. · CIK 0001690576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-11-28

F1 · derivative.exercise_date: The Options vest in equal quarterly installments over the twelve-month period commencing on the grant date.

SEC source: 0001662252-18-000104 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-11-28

F1 · derivative.exercise_date: The Options vest in equal quarterly installments over the twelve-month period commencing on the grant date.

SEC source: 0001662252-18-000105 · ownership.xml · derivative · entry 1

Logal Adam · CIK 0001356197 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-11-28

F1 · derivative.exercise_date: The Options vest in equal quarterly installments over the twelve-month period commencing on the grant date.

SEC source: 0001662252-18-000107 · ownership.xml · derivative · entry 1

Callaway James Eric · CIK 0001715787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-11-28

F1 · derivative.exercise_date: The Options vest in equal quarterly installments over the twelve-month period commencing on the grant date.

SEC source: 0001662252-19-000014 · ownership.xml · nonDerivative · entry 1

Genkin Dmitry · CIK 0001711592 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,549

F1 · kind: On March 14, 2018, the Reporting Person transferred 29,452 shares to a third party as part of a settlement agreement dated October 18, 2017.

F1 · price: On March 14, 2018, the Reporting Person transferred 29,452 shares to a third party as part of a settlement agreement dated October 18, 2017.

SEC source: 0001662252-17-000232 · form4.xml · derivative · entry 1

Dastoor Firdaus J. · CIK 0001690576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-15

F1 · derivative.exercise_date: On November 15, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its Amended and Restated 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on November 15, 2017 of $2.18. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000230 · form4.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-15

F1 · derivative.exercise_date: On November 15, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its Amended and Restated 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on November 15, 2017 of $2.18. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000220 · form4.xml · derivative · entry 2

EISENBERG JEFFREY F · CIK 0001224096 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2027-10-26

F2 · derivative.exercise_date: The shares underlying the option will vest and become exercisable as follows: 41,666 shares shall vest on the first anniversary of October 26, 2017 (the "Vesting Start Date"); 41,667 shares shall vest on the second anniversary of the Vesting Start Date; 41,667 shares shall vest on the third anniversary of the Vesting Start Date; 100,000 shares shall vest upon the achievement of key clinical milestones for XBIO-101; and 25,000 shares shall vest upon the achievement of key development milestones related to PSA. The Reporting Owner may not exercise any of the shares under the option if and until the Issuer receives shareholder approval of an increase in the number of shares of common stock authorized under the Company's equity incentive plan on or prior to October 11, 2018.

SEC source: 0001662252-17-000220 · form4.xml · nonDerivative · entry 1

EISENBERG JEFFREY F · CIK 0001224096 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · kind: This represents the grant of a restricted stock unit ("RSU") award. Each RSU represents the right to receive one share of the Issuer's common stock at vesting. The shares underlying the RSUs will vest and become exercisable as follows: one-third on the first anniversary of October 26, 2017 (the "Vesting Start Date"); one-third on the second anniversary of the Vesting Start Date; and one-third on the third anniversary of the Vesting Start Date.

SEC source: 0001662252-17-000209 · form4.xml · derivative · entry 4

Logal Adam · CIK 0001356197 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 6,250 shares

Expires 2027-10-11

F1 · price: On October 11, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000209 · form4.xml · derivative · entry 3

Logal Adam · CIK 0001356197 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 6,250 shares

Expires 2027-10-11

F1 · price: On October 11, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000209 · form4.xml · derivative · entry 2

Logal Adam · CIK 0001356197 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 6,250 shares

Expires 2027-10-11

F1 · price: On October 11, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000209 · form4.xml · derivative · entry 1

Logal Adam · CIK 0001356197 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2027-10-11

F1 · price: On October 11, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000207 · form4.xml · derivative · entry 4

Callaway James Eric · CIK 0001715787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 6,250 shares

Expires 2027-10-11

F1 · price: On October 11, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000207 · form4.xml · derivative · entry 3

Callaway James Eric · CIK 0001715787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 6,250 shares

Expires 2027-10-11

F1 · price: On October 11, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000207 · form4.xml · derivative · entry 2

Callaway James Eric · CIK 0001715787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 6,250 shares

Expires 2027-10-11

F1 · price: On October 11, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000207 · form4.xml · derivative · entry 1

Callaway James Eric · CIK 0001715787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2027-10-11

F1 · price: On October 11, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on October 11, 2017 of $2.95. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001209191-17-024356 · doc4.xml · derivative · entry 1

PARSLOW JAMES F · CIK 0001285943 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2027-04-03

F1 · derivative.exercise_date: The shares underlying the option will vest and become exercisable over three years, with one-third of the underlying shares vesting on each of April 3, 2018, April 3, 2019 and April 3, 2020, subject to the Reporting Person's continuous service with the Issuer through each such date.

SEC source: 0001662252-16-000299 · form4.xml · derivative · entry 4

DEPTULA-HICKS DARLENE M · CIK 0001089409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,416

Underlying: Common Stock · 10,000 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.

SEC source: 0001662252-16-000299 · form4.xml · derivative · entry 3

DEPTULA-HICKS DARLENE M · CIK 0001089409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,416

Underlying: Common Stock · 10,000 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.

SEC source: 0001662252-16-000299 · form4.xml · derivative · entry 2

DEPTULA-HICKS DARLENE M · CIK 0001089409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,416

Underlying: Common Stock · 10,000 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.

SEC source: 0001662252-16-000299 · form4.xml · derivative · entry 1

DEPTULA-HICKS DARLENE M · CIK 0001089409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,416

Underlying: Common Stock · 10,000 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.

SEC source: 0001662252-16-000301 · form4.xml · derivative · entry 4

Benz Edward J. JR · CIK 0001691160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 6,250 shares

Expires 2026-11-21

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.49. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-16-000301 · form4.xml · derivative · entry 3

Benz Edward J. JR · CIK 0001691160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 6,250 shares

Expires 2026-11-21

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.49. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-16-000301 · form4.xml · derivative · entry 2

Benz Edward J. JR · CIK 0001691160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 6,250 shares

Expires 2026-11-21

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.49. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-16-000301 · form4.xml · derivative · entry 1

Benz Edward J. JR · CIK 0001691160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2026-11-21

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.49. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-16-000305 · form4.xml · derivative · entry 3

Maguire Michael Scott · CIK 0001690490 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,786

Underlying: Common Stock · 83,333 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 250,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option has a ten-year life and vests one-third upon the first anniversary of the grant date, one-third upon the second anniversary of the grant date and one-third on the third anniversary of the grant date.

SEC source: 0001662252-16-000305 · form4.xml · derivative · entry 2

Maguire Michael Scott · CIK 0001690490 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,453

Underlying: Common Stock · 83,333 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 250,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option has a ten-year life and vests one-third upon the first anniversary of the grant date, one-third upon the second anniversary of the grant date and one-third on the third anniversary of the grant date.

SEC source: 0001662252-16-000305 · form4.xml · derivative · entry 1

Maguire Michael Scott · CIK 0001690490 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,120

Underlying: Common Stock · 83,334 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 250,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option has a ten-year life and vests one-third upon the first anniversary of the grant date, one-third upon the second anniversary of the grant date and one-third on the third anniversary of the grant date.

SEC source: 0001662252-16-000303 · form4.xml · derivative · entry 2

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 21,970 shares

Expires 2026-12-20

F2 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 21,970 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50.

SEC source: 0001662252-16-000303 · form4.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,030

Underlying: Common Stock · 3,030 shares

Expires 2026-02-28

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The grant had been approved and was part of an agreement (but not issued) on the date of the Reporting Owner began service as a director of the Issuer. Under the agreement and grant, the Reporting Owner has the right to purchase 3,030 shares of common stock of the Issuer under the Plan at an exercise price based on the adjusted price of the stock on the date of his appointment to the board.

SEC source: 0001662252-17-000119 · form4a.xml · derivative · entry 4

DEPTULA-HICKS DARLENE M · CIK 0001089409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 10,000 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.

F2 · balance_after: On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that she beneficially owned an aggregate of 61,416 derivative securities. This amended Form 4 is being filed to correct the number of derivative securities owned by the Reporting Person following the reported transaction.

SEC source: 0001662252-17-000119 · form4a.xml · derivative · entry 3

DEPTULA-HICKS DARLENE M · CIK 0001089409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 10,000 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.

F2 · balance_after: On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that she beneficially owned an aggregate of 61,416 derivative securities. This amended Form 4 is being filed to correct the number of derivative securities owned by the Reporting Person following the reported transaction.

SEC source: 0001662252-17-000119 · form4a.xml · derivative · entry 2

DEPTULA-HICKS DARLENE M · CIK 0001089409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 10,000 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.

F2 · balance_after: On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that she beneficially owned an aggregate of 61,416 derivative securities. This amended Form 4 is being filed to correct the number of derivative securities owned by the Reporting Person following the reported transaction.

SEC source: 0001662252-17-000119 · form4a.xml · derivative · entry 1

DEPTULA-HICKS DARLENE M · CIK 0001089409 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 40,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option vests quarterly over twelve months.

F2 · balance_after: On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that she beneficially owned an aggregate of 61,416 derivative securities. This amended Form 4 is being filed to correct the number of derivative securities owned by the Reporting Person following the reported transaction.

SEC source: 0001662252-17-000123 · form4a.xml · derivative · entry 3

Maguire Michael Scott · CIK 0001690490 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 83,333 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 250,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option has a ten-year life and vests one-third upon the first anniversary of the grant date, one-third upon the second anniversary of the grant date and one-third on the third anniversary of the grant date.

F2 · balance_after: On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that he beneficially owned an aggregate of 433,786 derivative securities. This amended Form 4 is being filed to correct the number of derivative securities owned by the Reporting Person following the reported transaction.

SEC source: 0001662252-17-000123 · form4a.xml · derivative · entry 2

Maguire Michael Scott · CIK 0001690490 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

Underlying: Common Stock · 83,333 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 250,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option has a ten-year life and vests one-third upon the first anniversary of the grant date, one-third upon the second anniversary of the grant date and one-third on the third anniversary of the grant date.

F2 · balance_after: On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that he beneficially owned an aggregate of 433,786 derivative securities. This amended Form 4 is being filed to correct the number of derivative securities owned by the Reporting Person following the reported transaction.

SEC source: 0001662252-17-000123 · form4a.xml · derivative · entry 1

Maguire Michael Scott · CIK 0001690490 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,333

Underlying: Common Stock · 83,334 shares

Expires 2026-12-20

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 250,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50. The Option has a ten-year life and vests one-third upon the first anniversary of the grant date, one-third upon the second anniversary of the grant date and one-third on the third anniversary of the grant date.

F2 · balance_after: On December 23, 2016 the Reporting Person filed a Form 4 that inadvertently reported that he beneficially owned an aggregate of 433,786 derivative securities. This amended Form 4 is being filed to correct the number of derivative securities owned by the Reporting Person following the reported transaction.

SEC source: 0001662252-16-000276 · form4.xml · derivative · entry 4

EISENBERG JEFFREY F · CIK 0001224096 · Director · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

Underlying: Common Stock · 75,100 shares

Expires 2026-12-01

SEC source: 0001662252-16-000276 · form4.xml · derivative · entry 3

EISENBERG JEFFREY F · CIK 0001224096 · Director · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,900

Underlying: Common Stock · 75,100 shares

Expires 2026-12-01

SEC source: 0001662252-16-000276 · form4.xml · derivative · entry 2

EISENBERG JEFFREY F · CIK 0001224096 · Director · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,800

Underlying: Common Stock · 75,100 shares

Expires 2026-12-01

SEC source: 0001662252-16-000276 · form4.xml · derivative · entry 1

EISENBERG JEFFREY F · CIK 0001224096 · Director · COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,700

Underlying: Common Stock · 4,700 shares

Expires 2026-12-01

F1 · price: On December 2, 2016 the Issuer entered into an Employment Agreement with Mr. Eisenberg. Under the terms of the Employment Agreement, Mr. Eisenberg has the right to purchase 230,000 shares of common stock of the Issuer (the "Option") under the Issuer's Equity Incentive Plan, effective January 23, 2014 (the "Plan") at an exercise price equal to the fair market value of the Company's common stock on the grant date. 4,700 shares were granted pursuant to the Option were deemed vested immediately. The Options expire December 1, 2026.