Rai Dhruwa N

SEC source: 0001209191-22-041620 · doc4.xml · derivative · entry 2

Rai Dhruwa N · CIK 0001672632 · SVP, CIDO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 606

Underlying: Common Stock · 606 shares

Expires 2029-03-16

F1 · derivative.exercise_date: This award represents time-based restricted stock and stock options granted to reporting person for the 2022-2024 Performance Period under the Company's 2016 Long-Term Performance Incentive Plan. The restricted stock vests on March 16, 2025 and the stock options are exercisable in three consecutive annual installments: 202 shares on March 16, 2023; 202 shares on March 16, 2024; and 202 shares on March 16, 2025.

SEC source: 0001209191-22-041620 · doc4.xml · nonDerivative · entry 1

Rai Dhruwa N · CIK 0001672632 · SVP, CIDO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238

F1 · shares: This award represents time-based restricted stock and stock options granted to reporting person for the 2022-2024 Performance Period under the Company's 2016 Long-Term Performance Incentive Plan. The restricted stock vests on March 16, 2025 and the stock options are exercisable in three consecutive annual installments: 202 shares on March 16, 2023; 202 shares on March 16, 2024; and 202 shares on March 16, 2025.

SEC source: 0000921895-18-000529 · form410211002rai_02122018.xml · nonDerivative · entry 2

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,164,713

F2 · kind: Represents shares granted to the Reporting Person by the Issuer pursuant to the Issuer's 2015 Equity Incentive Award Plan in connection with the resolution of 2017 directors' fee payments owed by the Issuer to the Reporting Person.

F2 · price: Represents shares granted to the Reporting Person by the Issuer pursuant to the Issuer's 2015 Equity Incentive Award Plan in connection with the resolution of 2017 directors' fee payments owed by the Issuer to the Reporting Person.

SEC source: 0000921895-18-000529 · form410211002rai_02122018.xml · nonDerivative · entry 1

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,159,792

F1 · price: Represents shares of restricted stock granted to the Reporting as a bonus for services provided to the Issuer pursuant to the Issuer's 2015 Equity Incentive Award Plan.

SEC source: 0000921895-18-000050 · form410211002rai_01032018.xml · derivative · entry 2

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,680 shares

Expires not disclosed

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

F1 · security: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. On January 1, 2018, the RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

F1 · derivative.exercise_price: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. On January 1, 2018, the RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

F1 · derivative.exercise_date: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. On January 1, 2018, the RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

F1 · derivative.expiration_date: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. On January 1, 2018, the RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

SEC source: 0000921895-18-000050 · form410211002rai_01032018.xml · nonDerivative · entry 1

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 989,792

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: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. On January 1, 2018, the RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

SEC source: 0000921895-17-002954 · form410211002_12262017.xml · derivative · entry 2

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 333,333 shares

Expires not disclosed

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

F1 · security: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2015 Equity Incentive Award Plan (the "Plan") on May 10, 2016 (the "2016 Grant"). Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The indicated RSUs vested in full on December 21, 2017, due to the determination of the Issuer to accelerate vesting of the RSUs in accordance with the terms of the Plan and a RSU Agreement between the Issuer and the Reporting Person.

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2015 Equity Incentive Award Plan (the "Plan") on May 10, 2016 (the "2016 Grant"). Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The indicated RSUs vested in full on December 21, 2017, due to the determination of the Issuer to accelerate vesting of the RSUs in accordance with the terms of the Plan and a RSU Agreement between the Issuer and the Reporting Person.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2015 Equity Incentive Award Plan (the "Plan") on May 10, 2016 (the "2016 Grant"). Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The indicated RSUs vested in full on December 21, 2017, due to the determination of the Issuer to accelerate vesting of the RSUs in accordance with the terms of the Plan and a RSU Agreement between the Issuer and the Reporting Person.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2015 Equity Incentive Award Plan (the "Plan") on May 10, 2016 (the "2016 Grant"). Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The indicated RSUs vested in full on December 21, 2017, due to the determination of the Issuer to accelerate vesting of the RSUs in accordance with the terms of the Plan and a RSU Agreement between the Issuer and the Reporting Person.

F2 · balance_after: The Reporting Person previously agreed to cancel 166,667 RSUs granted pursuant to the 2016 Grant.

SEC source: 0000921895-17-002954 · form410211002_12262017.xml · nonDerivative · entry 1

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982,112

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: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2015 Equity Incentive Award Plan (the "Plan") on May 10, 2016 (the "2016 Grant"). Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The indicated RSUs vested in full on December 21, 2017, due to the determination of the Issuer to accelerate vesting of the RSUs in accordance with the terms of the Plan and a RSU Agreement between the Issuer and the Reporting Person.

SEC source: 0000921895-17-002743 · form410211rai_11212017.xml · derivative · entry 2

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,450

Underlying: Common Stock · 145,450 shares

Expires 2022-11-21

F1 · security: The warrant gives the Reporting Person the right to purchase up to 145,450 shares of common stock at an exercise price equal to $4.115 per share. The warrant will expire on November 21, 2022.

SEC source: 0000921895-17-002743 · form410211rai_11212017.xml · nonDerivative · entry 1

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 648,779

SEC source: 0000921895-17-001624 · form410211002f_05232017.xml · derivative · entry 2

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,329 shares

Expires not disclosed

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

F1 · security: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

F2 · security: On May 19, 2017, 3,329 shares of the Issuer's common stock were issued in settlement of the RSUs described in footnote (1) above.

F1 · derivative.exercise_price: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

F2 · derivative.exercise_price: On May 19, 2017, 3,329 shares of the Issuer's common stock were issued in settlement of the RSUs described in footnote (1) above.

F1 · derivative.exercise_date: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

F2 · derivative.exercise_date: On May 19, 2017, 3,329 shares of the Issuer's common stock were issued in settlement of the RSUs described in footnote (1) above.

F1 · derivative.expiration_date: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

F2 · derivative.expiration_date: On May 19, 2017, 3,329 shares of the Issuer's common stock were issued in settlement of the RSUs described in footnote (1) above.

SEC source: 0000921895-17-001624 · form410211002f_05232017.xml · nonDerivative · entry 1

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503,329

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: As previously disclosed in filings with the Securities and Exchange Commission, represents stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full based on the terms of a Restricted Stock Unit Agreement between the Issuer and the Reporting Person.

F2 · price: On May 19, 2017, 3,329 shares of the Issuer's common stock were issued in settlement of the RSUs described in footnote (1) above.

SEC source: 0000921895-17-001274 · form410211002f_05032017.xml · derivative · entry 3

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,121 shares

Expires not disclosed

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

F1 · security: Represents restricted stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full on May 1, 2017, based on the terms of a RSU Agreement between the Issuer and the Reporting Person.

F1 · derivative.exercise_price: Represents restricted stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full on May 1, 2017, based on the terms of a RSU Agreement between the Issuer and the Reporting Person.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full on May 1, 2017, based on the terms of a RSU Agreement between the Issuer and the Reporting Person.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full on May 1, 2017, based on the terms of a RSU Agreement between the Issuer and the Reporting Person.

SEC source: 0000921895-17-001274 · form410211002f_05032017.xml · nonDerivative · entry 2

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503,329

F2 · shares: Represents number of shares withheld by the Issuer for the payment of taxes. No shares of Common Stock were sold by the Reporting Person in connection with this transaction. The Reporting Person will retain the net number of shares issued upon the settlement of the RSUs.

F3 · price: Closing market price of the Issuer's common stock on the transaction date.

SEC source: 0000921895-17-001274 · form410211002f_05032017.xml · nonDerivative · entry 1

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 505,121

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: Represents restricted stock units ("RSUs") granted as incentive compensation pursuant to the Issuer's 2015 Equity Incentive Award Plan. Each RSU represents the right to receive, at settlement, one share of the Issuer's common stock. The RSUs vested in full on May 1, 2017, based on the terms of a RSU Agreement between the Issuer and the Reporting Person.

SEC source: 0000921895-17-001064 · form410211002g_04142017.xml · derivative · entry 3

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,680

Underlying: Common Stock · 7,680 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: These Restricted Stock Units are scheduled to vest on January 1, 2018.

F3 · derivative.expiration_date: These Restricted Stock Units are scheduled to vest on January 1, 2018.

SEC source: 0000921895-17-001064 · form410211002g_04142017.xml · derivative · entry 2

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,121

Underlying: Common Stock · 5,121 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: These Restricted Stock Units are scheduled to vest on May 1, 2017.

F2 · derivative.expiration_date: These Restricted Stock Units are scheduled to vest on May 1, 2017.

SEC source: 0000921895-17-000591 · form410211002_03062017.xml · derivative · entry 2

Rai Dhruwa N · CIK 0001672632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2020-03-02

F1 · security: The Convertible Note bears interest at a rate of 8% per annum, with interest being paid annually on the first, second and third anniversaries of the issuance of the Convertible Note, beginning on March 2, 2018, and any unpaid principal and interest due on March 2, 2020. The unpaid amount of principal of the Convertible Note is convertible into shares of the Issuer's common stock at a conversion price of (i) in the event that any registration statement for the public offering of common stock filed by the Issuer with the U.S. Securities and Exchange Commission ("SEC") in connection with an uplisting to a national stock exchange is declared effective by the SEC on or prior to December 31, 2017, such price per share that is equal to 68% of the price per share of common stock offered and sold pursuant to such registration statement, or (continued)

F2 · security: (Footnote 1 Continuation) (ii) if no such registration statement is declared effective by December 31, 2017, such price per share that is equal to the weighted average closing price per share of the Issuer's common stock for the 20 trading days immediately preceding December 31, 2017, subject to adjustment under certain circumstances. From and after an event of default and for so long as the event of default is continuing, the Convertible Note will bear default interest at the rate of 10% per annum.

F1 · derivative.exercise_price: The Convertible Note bears interest at a rate of 8% per annum, with interest being paid annually on the first, second and third anniversaries of the issuance of the Convertible Note, beginning on March 2, 2018, and any unpaid principal and interest due on March 2, 2020. The unpaid amount of principal of the Convertible Note is convertible into shares of the Issuer's common stock at a conversion price of (i) in the event that any registration statement for the public offering of common stock filed by the Issuer with the U.S. Securities and Exchange Commission ("SEC") in connection with an uplisting to a national stock exchange is declared effective by the SEC on or prior to December 31, 2017, such price per share that is equal to 68% of the price per share of common stock offered and sold pursuant to such registration statement, or (continued)

F2 · derivative.exercise_price: (Footnote 1 Continuation) (ii) if no such registration statement is declared effective by December 31, 2017, such price per share that is equal to the weighted average closing price per share of the Issuer's common stock for the 20 trading days immediately preceding December 31, 2017, subject to adjustment under certain circumstances. From and after an event of default and for so long as the event of default is continuing, the Convertible Note will bear default interest at the rate of 10% per annum.

F1 · derivative.underlying_shares: The Convertible Note bears interest at a rate of 8% per annum, with interest being paid annually on the first, second and third anniversaries of the issuance of the Convertible Note, beginning on March 2, 2018, and any unpaid principal and interest due on March 2, 2020. The unpaid amount of principal of the Convertible Note is convertible into shares of the Issuer's common stock at a conversion price of (i) in the event that any registration statement for the public offering of common stock filed by the Issuer with the U.S. Securities and Exchange Commission ("SEC") in connection with an uplisting to a national stock exchange is declared effective by the SEC on or prior to December 31, 2017, such price per share that is equal to 68% of the price per share of common stock offered and sold pursuant to such registration statement, or (continued)

F2 · derivative.underlying_shares: (Footnote 1 Continuation) (ii) if no such registration statement is declared effective by December 31, 2017, such price per share that is equal to the weighted average closing price per share of the Issuer's common stock for the 20 trading days immediately preceding December 31, 2017, subject to adjustment under certain circumstances. From and after an event of default and for so long as the event of default is continuing, the Convertible Note will bear default interest at the rate of 10% per annum.