ZVRA

SEC source: 0001437749-21-027552 · rdgdoc.xml · nonDerivative · entry 1

Tierney David S · CIK 0001292636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,835

SEC source: 0001437749-21-027098 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,240

SEC source: 0001437749-21-027301 · rdgdoc.xml · nonDerivative · entry 1

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,521

SEC source: 0001437749-21-026229 · rdgdoc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-11-09

F1 · kind: Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan").

F2 · derivative.exercise_date: 50% of the shares will vest in four equal annual installments beginning on November 10, 2022, subject to Reporting Person's continued service as of each such vesting date; the remaining 50% of the shares will vest upon the closing of the earlier of (x) a "Change in Control" (as defined in the Plan) of the Company or (y) a transformative business development transaction, as determined in the discretion of the Board of Directors (together, the "Transactions"); provided that the definitive agreement for either of the Transactions is executed on or prior to November 10, 2022 and the Reporting Person is, immediately prior to the time of the closing of either of the Transactions, still serving as Executive Chairman or as another executive officer. All unvested outstanding time-based options granted to the Reporting Person, shall accelerate so as to be fully vested and immediately exercisable immediately prior to any Change in Control of the Company.

SEC source: 0001437749-21-022841 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,730

SEC source: 0001437749-21-022431 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,515

SEC source: 0001437749-21-021308 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,580

SEC source: 0001437749-21-021199 · rdgdoc.xml · nonDerivative · entry 1

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,271

SEC source: 0001437749-21-020865 · rdgdoc.xml · nonDerivative · entry 8

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: Common stock that was previously held jointly by the Reporting Person and Christal M.M. Mickle, and is now held solely by Ms. Mickle.

F4 · ownership.direct: Common stock that was previously held jointly by the Reporting Person and Christal M.M. Mickle, and is now held solely by Ms. Mickle.

SEC source: 0001437749-21-020865 · rdgdoc.xml · nonDerivative · entry 7

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,271

F3 · kind: Transfer of shares to Christal M.M. Mickle.

SEC source: 0001437749-21-020865 · rdgdoc.xml · nonDerivative · entry 6

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,396

F2 · kind: Transfer of shares held in dissolved trusts to the Reporting Person.

SEC source: 0001437749-21-020865 · rdgdoc.xml · nonDerivative · entry 5

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Travis C. Mickle & Christal M.M. Mickle TRS UA 4-30-09 TCM Family Trust, co-trustee

Disclosed balance after: 0

F2 · kind: Transfer of shares held in dissolved trusts to the Reporting Person.

SEC source: 0001437749-21-020865 · rdgdoc.xml · nonDerivative · entry 4

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,055

F2 · kind: Transfer of shares held in dissolved trusts to the Reporting Person.

SEC source: 0001437749-21-020865 · rdgdoc.xml · nonDerivative · entry 3

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Travis C. Mickle & Christal M.M. Mickle TRS UA 4-30-09 Mickle Family Trust, co-trustee

Disclosed balance after: 0

F2 · kind: Transfer of shares held in dissolved trusts to the Reporting Person.

SEC source: 0001437749-21-020865 · rdgdoc.xml · nonDerivative · entry 2

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mickle Holdings LLC

Disclosed balance after: 96,153

F1 · ownership.nature: The Reporting Person is the sole manager member of Mickle Holdings, LLC.

SEC source: 0001437749-21-020865 · rdgdoc.xml · nonDerivative · entry 1

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,354

SEC source: 0001437749-21-020862 · rdgdoc.xml · derivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,423

Underlying: Common Stock · 82,423 shares

Expires 2031-08-19

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on August 20, 2022 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant.

SEC source: 0001437749-21-020865 · rdgdoc.xml · derivative · entry 12

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,743

Underlying: Common Stock · 263,743 shares

Expires 2031-08-19

F6 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on August 20, 2022 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant.

SEC source: 0001437749-21-020859 · rdgdoc.xml · derivative · entry 1

Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,023

Underlying: Common Stock · 44,023 shares

Expires 2031-08-19

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on August 20, 2022 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant.

SEC source: 0001437749-21-020858 · rdgdoc.xml · derivative · entry 1

Guenther Sven · CIK 0001638368 · EVP, Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,716

Underlying: Common Stock · 81,716 shares

Expires 2031-08-19

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's Amended and Restated 2014 Equity Incentive Plan (the "Plan"). 25% of the shares will vest on August 20, 2022 and the remaining 75% of the shares will vest in equal annual installments thereafter, provided that at the relevant vesting dates such optionee's employment relationship has not been terminated as defined in the Plan. All shares underlying the option will vest in full and become immediately exercisable upon a change of control of the Issuer or if the Reporting Person is terminated without cause or resigns for good reason. The option expires ten years after the date of grant.

SEC source: 0001437749-21-015562 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,350

SEC source: 0001437749-21-015183 · rdgdoc.xml · derivative · entry 1

Tierney David S · CIK 0001292636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-16

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Capital Market on the date of grant, June 17, 2021.

F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's sixth amended and restated non-employee director compensation policy.

F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001437749-21-015182 · rdgdoc.xml · derivative · entry 1

Saluri Joseph · CIK 0001512131 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-16

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Capital Market on the date of grant, June 17, 2021.

F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's sixth amended and restated non-employee director compensation policy.

F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001437749-21-015181 · rdgdoc.xml · derivative · entry 1

Plooster Matthew R · CIK 0001638364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-16

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Capital Market on the date of grant, June 17, 2021.

F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's sixth amended and restated non-employee director compensation policy.

F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001437749-21-015179 · rdgdoc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-16

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the Nasdaq Capital Market on the date of grant, June 17, 2021.

F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's sixth amended and restated non-employee director compensation policy.

F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001437749-21-014735 · rdgdoc.xml · nonDerivative · entry 1

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,507

SEC source: 0001437749-21-013577 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,275

SEC source: 0001683168-21-002056 · ownership.xml · nonDerivative · entry 1

Braun Samuel J · CIK 0001857651 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,070,000

F1 · balance_after: Representing 3,010,000 shares held in the reporting person's individual capacity and 60,000 shares held in a jointly-owned account over which the reporting person exercises sole investment discretion. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001437749-20-018766 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

SEC source: 0001437749-20-018274 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,000

SEC source: 0001437749-20-018283 · rdgdoc.xml · nonDerivative · entry 4

Tierney David S · CIK 0001292636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,372

SEC source: 0001437749-20-018283 · rdgdoc.xml · nonDerivative · entry 3

Tierney David S · CIK 0001292636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,372

SEC source: 0001437749-20-018283 · rdgdoc.xml · nonDerivative · entry 2

Tierney David S · CIK 0001292636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,872

SEC source: 0001437749-20-018283 · rdgdoc.xml · nonDerivative · entry 1

Tierney David S · CIK 0001292636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,872

SEC source: 0001437749-20-018279 · rdgdoc.xml · nonDerivative · entry 3

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,573

SEC source: 0001437749-20-018279 · rdgdoc.xml · nonDerivative · entry 2

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,773

SEC source: 0001437749-20-018279 · rdgdoc.xml · nonDerivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,773

SEC source: 0001437749-20-013591 · rdgdoc.xml · derivative · entry 1

Tierney David S · CIK 0001292636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-18

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the OTCQB Venture Market on the date of grant, June 19, 2020.

F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's fourth amended and restated non-employee director compensation policy.

F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001437749-20-013590 · rdgdoc.xml · derivative · entry 1

Saluri Joseph · CIK 0001512131 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-18

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the OTCQB Venture Market on the date of grant, June 19, 2020.

F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's fourth amended and restated non-employee director compensation policy.

F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001437749-20-013589 · rdgdoc.xml · derivative · entry 1

Plooster Matthew R · CIK 0001638364 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-18

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the OTCQB Venture Market on the date of grant, June 19, 2020.

F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's fourth amended and restated non-employee director compensation policy.

F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001437749-20-013588 · rdgdoc.xml · derivative · entry 1

Pascoe Richard W · CIK 0001343266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-06-18

F1 · derivative.exercise_price: The exercise price is equal to the closing price of the Issuer's common stock on the OTCQB Venture Market on the date of grant, June 19, 2020.

F2 · shares: This grant was awarded as compensation for the Reporting Person's service on the Issuer's board of directors pursuant to the Issuer's fourth amended and restated non-employee director compensation policy.

F3 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the first anniversary of the date of grant, (ii) one day prior to the date of the first annual meeting of the Issuer's stockholders following the date of grant or (iii) immediately prior to a change in control of the Issuer, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001437749-20-012894 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,000

SEC source: 0001437749-20-012381 · rdgdoc.xml · nonDerivative · entry 1

Mickle Travis C · CIK 0001638365 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,888,117

SEC source: 0001437749-20-011741 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,500

SEC source: 0001437749-20-006118 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

SEC source: 0001437749-20-005367 · rdgdoc.xml · nonDerivative · entry 1

Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

SEC source: 0001437749-20-004949 · rdgdoc.xml · nonDerivative · entry 1

Clifton R. LaDuane · CIK 0001488774 · CFO, Secretary & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

SEC source: 0001437749-20-004693 · rdgdoc.xml · nonDerivative · entry 3

Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

SEC source: 0001437749-20-004693 · rdgdoc.xml · nonDerivative · entry 2

Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,343

SEC source: 0001437749-20-004693 · rdgdoc.xml · nonDerivative · entry 1

Sangiovanni Timothy J. · CIK 0001698328 · VP, Corporate Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,333