Sirgo Mark A

SEC source: 0001578563-23-000014 · primary_doc.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,907

F1 · price: Represents Restricted Stock Units ("RSUs") granted pursuant to the 9 Meters Biopharma, Inc. 2022 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of common stock upon the vesting date. The RSUs vest as follows: 3,943 shares vest on April 15, 2023 and 3,942 shares vest on December 31, 2023. The vesting of the December 31, 2023 RSUs will accelerate upon a Change in Control prior to December 31, 2023.

SEC source: 0001551986-22-000067 · wf-form4_165714016326083.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,454,044.55

F1 · price: The price reported in column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $0.21 to $0.27, inclusive. The reporting person undertakes to provide to 9 Meters Biopharma, Inc., any security holder of 9 Meters Biopharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001551986-22-000074 · wf-form4a_165852124664941.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,560,427.55

F1 · price: The price reported in column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $0.21 to $0.27, inclusive. The reporting person undertakes to provide to 9 Meters Biopharma, Inc., any security holder of 9 Meters Biopharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001551986-22-000062 · wf-form4_165601483991922.xml · derivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,509

Underlying: Common stock · 142,509 shares

Expires 2032-06-22

F1 · derivative.exercise_date: The option shall vest in 36 equal monthly installments beginning June 22, 2022, subject to the director's continued service with the Company at each vest date.

SEC source: 0001578563-22-000016 · primary_doc.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,385,427.55

F1 · price: The price reported in column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $0.46 to $0.47 inclusive. The reporting person undertakes to provide to 9 Meters Biopharma, Inc., any security holder of 9 Meters Biopharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001103021-22-000071 · wf-form4_164798373131962.xml · derivative · entry 6

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,760 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000071 · wf-form4_164798373131962.xml · derivative · entry 5

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,000 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000071 · wf-form4_164798373131962.xml · derivative · entry 4

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,000 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000071 · wf-form4_164798373131962.xml · derivative · entry 3

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000071 · wf-form4_164798373131962.xml · derivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,685 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one Share.

F3 · price: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

F3 · derivative.exercise_date: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

F3 · derivative.expiration_date: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

SEC source: 0001103021-22-000071 · wf-form4_164798373131962.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

SEC source: 0001551986-22-000023 · wf-form4_164665810128470.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,279,044.55

F1 · price: The price reported in column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $0.5755 to $0.5799, inclusive. The reporting person undertakes to provide to 9 Meters Biopharma, Inc., any security holder of 9 Meters Biopharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001103021-22-000023 · wf-form4_164367024064927.xml · derivative · entry 4

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,685

Underlying: Common Stock · 7,684 shares

Expires 2023-01-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan ("the Plan"). The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

SEC source: 0001103021-22-000023 · wf-form4_164367024064927.xml · derivative · entry 3

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,369

Underlying: Common Stock · 15,369 shares

Expires 2023-01-27

F1 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan ("the Plan"). The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

F1 · derivative.exercise_date: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan ("the Plan"). The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

SEC source: 0001103021-22-000023 · wf-form4_164367024064927.xml · derivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,760

Underlying: Common Stock · 85,760 shares

Expires 2032-01-26

F2 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is equal to the closing price of the Issuer's common stock on January 27, 2022.

F3 · kind: The stock options were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Plan. The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

F3 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Plan. The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

SEC source: 0001103021-22-000023 · wf-form4_164367024064927.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,166,866

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan ("the Plan"). The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

SEC source: 0001513162-21-000148 · primary_doc.xml · derivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock · 25,000 shares

Expires 2031-12-09

F1 · price: Not applicable

SEC source: 0001578563-21-000044 · primary_doc.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,242,595

SEC source: 0001103021-21-000124 · wf-form4_163879597314892.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,159,182

SEC source: 0001103021-21-000118 · wf-form4a_163736041498722.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,140,595

F1 · kind: This Form 4/A is being filed to amend the Form 4 filed on November 19, 2021 (the "Original Form 4"). The Original Form 4 incorrectly used transaction code "S," instead of transaction code "P."

SEC source: 0001103021-21-000116 · wf-form4_163732773186536.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,140,595

SEC source: 0001551986-21-000122 · wf-form4_163758419484127.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,192,595

SEC source: 0001103021-21-000112 · wf-form4_163672218476101.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,130,595

SEC source: 0001551986-21-000101 · wf-form4_163110333513494.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,172,595

SEC source: 0001103021-21-000082 · wf-form4_162992381258598.xml · derivative · entry 4

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2022-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The restricted stock units ("RSUs") were issued to the Reporting Person on August 23, 2021 (the "Effective Date"), as compensation for service on the Company's board of directors. The RSUs vest as follows: (i) 4,000 RSUs vested in the first open window following the filing of the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2021, and (ii) 4,000 RSUs will vest upon the earlier of (i) the first anniversary of the Effective Date or (ii) the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0001103021-21-000082 · wf-form4_162992381258598.xml · derivative · entry 3

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2022-08-23

F1 · derivative.exercise_date: The restricted stock units ("RSUs") were issued to the Reporting Person on August 23, 2021 (the "Effective Date"), as compensation for service on the Company's board of directors. The RSUs vest as follows: (i) 4,000 RSUs vested in the first open window following the filing of the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2021, and (ii) 4,000 RSUs will vest upon the earlier of (i) the first anniversary of the Effective Date or (ii) the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0001103021-21-000082 · wf-form4_162992381258598.xml · derivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2031-08-23

F2 · derivative.exercise_date: The stock options ("options") were issued to the Reporting Person on the Effective Date, as compensation for service on the Company's board of directors. The options vest as follows: (i) 24,000 options vested in the first open window following the filing of the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2021, and (ii) 24,000 options will vest upon the earlier of (i) the first anniversary of the Effective Date or (ii) the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0001103021-21-000082 · wf-form4_162992381258598.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,114,595

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The restricted stock units ("RSUs") were issued to the Reporting Person on August 23, 2021 (the "Effective Date"), as compensation for service on the Company's board of directors. The RSUs vest as follows: (i) 4,000 RSUs vested in the first open window following the filing of the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2021, and (ii) 4,000 RSUs will vest upon the earlier of (i) the first anniversary of the Effective Date or (ii) the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0001551986-21-000097 · wf-form4_162972089443344.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,099,066

SEC source: 0001103021-21-000078 · wf-form4_162863425990478.xml · derivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2021-08-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units granted to the Reporting Person on July 30, 2020 under the Issuer's 2019 Stock Option Incentive Plan.

SEC source: 0001103021-21-000078 · wf-form4_162863425990478.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,110,595

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001551986-21-000078 · wf-form4_162447934167071.xml · derivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common stock · 90,000 shares

Expires 2031-06-22

F1 · derivative.exercise_date: The option shall vest in 36 equal monthly installments beginning June 22, 2021, subject to the director's continued service with the Company at each vest date.

SEC source: 0001103021-21-000044 · wf-form4_162094175756625.xml · nonDerivative · entry 3

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,106,595

SEC source: 0001103021-21-000044 · wf-form4_162094175756625.xml · nonDerivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,103,595

F2 · price: The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in these footnotes.

F3 · price: On May 12, 2021, the Reporting Person purchased an aggregate of 5,000 shares of the Issuer's Common Stock at a weighted average price of $3.24 per share. The highest purchase price for the Common Stock was $3.25 per share and the lowest purchase price was $3.22 per share.

SEC source: 0001103021-21-000044 · wf-form4_162094175756625.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,098,595

F1 · price: On May 11, 2021, the Reporting Person purchased an aggregate of 7,500 shares of the Issuer's Common Stock at a weighted average price of $3.16 per share. The highest purchase price for the Common Stock was $3.17 per share and the lowest purchase price was $3.15 per share.

F2 · price: The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in these footnotes.

SEC source: 0001551986-21-000048 · wf-form4_161774029913081.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,074,066

SEC source: 0001551986-20-000330 · wf-form4_160823982554853.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 774,066

SEC source: 0001513162-20-000237 · primary_doc.xml · derivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,000

Underlying: Common Stock · 20,000 shares

Expires 2030-12-10

F1 · price: Not applicable

SEC source: 0001551986-20-000293 · wf-form4_160443804155615.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 543,297

F1 · kind: The shares of common stock of the Issuer reported on this Form 4 were released from escrow pursuant to Section 1.12 of that certain Agreement and Plan of Merger and Reorganization dated as of October 6, 2019 (as amended by Amendment No. 1 thereto, dated as of December 17, 2019). The Reporting Person's right to receive such escrowed shares became fixed and irrevocable on October 30, 2020, the six-month anniversary of the closing date of the merger.

SEC source: 0001551986-20-000267 · wf-form4_160008519522242.xml · nonDerivative · entry 3

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by spouse

Disclosed balance after: 21,485

SEC source: 0001551986-20-000267 · wf-form4_160008519522242.xml · nonDerivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 538,784

SEC source: 0001551986-20-000267 · wf-form4_160008519522242.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,784

SEC source: 0001551986-20-000253 · wf-form4_159778554220112.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,784

SEC source: 0001103021-20-000136 · wf-form4_159770509490186.xml · nonDerivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,091,095

F2 · price: The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in these footnotes.

F3 · price: On August 14, 2020, the Reporting Person sold an aggregate of 115,000 shares of the Issuer's Common Stock at a weighted average price of $4.90 per share. The highest sale price for the Common Stock was $5.07 per share and the lowest sale price was $4.60 per share.

SEC source: 0001103021-20-000136 · wf-form4_159770509490186.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,206,095

F1 · price: On August 13, 2020, the Reporting Person sold an aggregate of 85,000 shares of the Issuer's Common Stock at a weighted average price of $4.53 per share. The highest sale price for the Common Stock was $4.59 per share and the lowest sale price was $4.51 per share.

F2 · price: The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in these footnotes.

SEC source: 0001103021-20-000129 · wf-form4_159717934071488.xml · derivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2021-08-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The restricted stock units ("RSUs") were issued to the Reporting Person on July 30, 2020, as compensation for service on the Issuer's board of directors. The remaining RSUs will vest in the first open window following the Company's 2021 Annual Meeting of Stockholders.

SEC source: 0001103021-20-000129 · wf-form4_159717934071488.xml · nonDerivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291,095

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The restricted stock units ("RSUs") were issued to the Reporting Person on July 30, 2020, as compensation for service on the Issuer's board of directors. The remaining RSUs will vest in the first open window following the Company's 2021 Annual Meeting of Stockholders.

SEC source: 0001103021-20-000111 · wf-form4_159649139008187.xml · derivative · entry 2

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2021-08-06

F2 · derivative.exercise_date: The restricted stock units ("RSUs") were issued to the Reporting Person on July 30, 2020, pursuant to a grant under the Company's 2019 Stock Option Incentive Plan. The awards are subject to time-based vesting and will vest as follows: (i) 4,000 RSUs vest in the first open window following the filing of the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2020, and (ii) 4,000 RSUs vest in the first open window following the Company's 2021 Annual Meeting of Stockholders.

SEC source: 0001103021-20-000111 · wf-form4_159649139008187.xml · derivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2030-07-29

F1 · derivative.exercise_date: The stock options ("options") were issued to the Reporting Person on July 30, 2020, pursuant to a grant under the Company's 2019 Stock Option Incentive Plan. The awards are subject to time-based vesting and will vest as follows: (i) 24,000 options vest in the first open window following the filing of the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2020, and (ii) 24,000 options vest in the first open window following the Company's 2021 Annual Meeting of Stockholders.

SEC source: 0001551986-20-000225 · wf-form4_159424022821031.xml · derivative · entry 1

Sirgo Mark A · CIK 0001301715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock · 100,000 shares

Expires 2030-07-06

F1 · derivative.exercise_date: The option shall vest in 36 equal monthly installments beginning July 6, 2020.