TESSLER ALLAN R

SEC source: 0001173431-20-000172 · wf-form4_160210812197707.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Financial Group, Inc.

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.)

F2 · shares: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time.

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.)

F2 · price: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time.

SEC source: 0001173431-20-000172 · wf-form4_160210812197707.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.)

F2 · shares: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time.

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of November 24, 2019 (as amended, the "Merger Agreement"), by and among The Charles Schwab Corporation ("Schwab"), Americano Acquisition Corp., a wholly owned subsidiary of Schwab ("Merger Sub"), and TD Ameritrade Holding Corporation ("TD Ameritrade"), pursuant to which Merger Sub merged with and into TD Ameritrade, with TD Ameritrade continuing as the surviving corporation and as a wholly owned subsidiary of Schwab (the "Merger"), on October 6, 2020 (the "Closing Date"). Pursuant to the Merger Agreement, each share of TD Ameritrade common stock issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time") (other than certain shares held by Schwab, TD Ameritrade or The Toronto-Dominion Bank and its affiliates) was converted into the right to receive 1.0837 shares (the "Exchange Ratio") of Schwab common stock (the "Merger Consideration"). (Continued in footnote 2.)

F2 · price: The closing price per share of Schwab common stock on the NYSE on the Closing Date was $36.75. In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding TD Ameritrade time-vesting restricted stock unit (including each deferred restricted stock unit award and each stock unit issued in respect of deferred cash fees) outstanding under the TD Ameritrade 2006 Directors Incentive Plan, as amended from time to time, (a "TD Ameritrade Director RSU") was vested (if unvested) and converted into the right to receive the Merger Consideration, as if such TD Ameritrade Director RSU had been settled immediately prior to the Effective Time.

SEC source: 0001173431-20-000129 · wf-form4_159839372686275.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,973

SEC source: 0001173431-20-000091 · wf-form4_159018589437895.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,949

SEC source: 0001225208-20-007980 · doc4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,277

SEC source: 0001140361-20-005508 · form4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Tessler Family LP

Disclosed balance after: 1,700

F1 · ownership.nature: The Issuer's Sub-share Certificates of Proprietary Interest, par value $.03-1/3 (the "Shares") are held by Tessler Family LP. The general partner of Tessler Family LP is Apres Vous, LLC, a Wyoming limited liability company ("Apres LLC"). Andrea Tessler, Karla Tessler and Christopher Tessler, the children of Mr. Tessler, are the members of Apres LLC. Andrea Tessler and Karla Tessler are the managers of Apres LLC. Mr. Tessler is a partner and controls Tessler Family LP. Tessler Family LP and Mr. Tessler may be deemed to share voting power and dispositive power with respect to the such Shares. Mr. Tessler disclaims beneficial ownership of the 1,700 shares held by Tessler Family LP for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Act"), except for his pecuniary interest therein.

F3 · ownership.nature: SoftVest Advisors LLC, a Delaware limited liability company ("SoftVest Advisors"), Horizon Kinetics LLC, a Delaware limited liability company ("Horizon"), ART-FGT LP and Tessler Family Limited Partnership, a Wyoming limited partnership ("Tessler Family LP") have entered into a Cooperation Agreement, dated May 15, 2019 (the "Cooperation Agreement"). As a result of the Cooperation Agreement, SoftVest Advisors, SoftVest L.P., a Delaware limited partnership ("SoftVest LP"), Eric L. Oliver ("Mr. Oliver"), ART-FGT LP, Tessler Family LP, Mr. Tessler and Horizon may be deemed to have formed a "group" pursuant to Rule 13d-5(b)(1) promulgated under the Act.

F4 · ownership.nature: Each of the parties to the Cooperation Agreement may also be deemed to share voting power and dispositive power with respect to each other party's Shares as a result of the covenants and restrictions set forth in the Cooperation Agreement. Therefore, each of the parties to the Cooperation Agreement may be deemed to beneficially own all Shares beneficially owned by the other parties to the Cooperation Agreement, but each party to the Cooperation Agreement disclaims any beneficial ownership or pecuniary interest with respect to the Shares held by the other parties. The Shares in this Form 4 do not include the Shares owned by SoftVest LP, SoftVest Advisors, Mr. Oliver and Horizon.

SEC source: 0001173431-20-000052 · wf-form4_158275239463095.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,923

SEC source: 0001173431-20-000025 · wf-form4_158232170750122.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,680

SEC source: 0001173431-19-000147 · wf-form4_157437131375063.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,664

SEC source: 0001140361-19-018103 · form4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · ART-FGT Family Partners Limited

Disclosed balance after: 10,830

F1 · ownership.nature: The Issuer's Sub-share Certificates of Proprietary Interest, par value $.03-1/3 (the "Shares") are held by ART-FGT Family Partners Limited, a Wyoming limited partnership ("ART-FGT LP"). The general partner of ART-FGT LP is Tessler FMC, LLC, a Wyoming limited liability company ("Tessler LLC"). Mr. Tessler and his spouse, Frances G. Tessler, are the members of Tessler LLC. Andrea Tessler and Karla Tessler, daughters of Mr. Tessler, are the managers of Tessler LLC. Mr. Tessler is a partner and controls ART-FGT LP. ART-FGT LP and Mr. Tessler may be deemed to share voting power and dispositive power with respect to such Shares. Mr. Tessler disclaims beneficial ownership of the 10,830 Shares held by ART-FGT LP for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Act"), except for his pecuniary interest therein.

F3 · ownership.nature: SoftVest Advisors LLC, a Delaware limited liability company ("SoftVest Advisors"), Horizon Kinetics LLC, a Delaware limited liability company ("Horizon"), ART-FGT LP and Tessler Family Limited Partnership, a Wyoming limited partnership ("Tessler Family LP") have entered into a Cooperation Agreement, dated May 15, 2019 (the "Cooperation Agreement"). As a result of the Cooperation Agreement, SoftVest Advisors, SoftVest L.P., a Delaware limited partnership ("SoftVest LP"), Eric L. Oliver ("Mr. Oliver"), ART-FGT LP, Tessler Family LP, Mr. Tessler and Horizon may be deemed to have formed a "group" pursuant to Rule 13d-5(b)(1) promulgated under the Act.

F4 · ownership.nature: Each of the parties to the Cooperation Agreement may also be deemed to share voting power and dispositive power with respect to each other party's Shares as a result of the covenants and restrictions set forth in the Cooperation Agreement. Therefore, each of the parties to the Cooperation Agreement may be deemed to beneficially own all Shares beneficially owned by the other parties to the Cooperation Agreement, but each party to the Cooperation Agreement disclaims any beneficial ownership or pecuniary interest with respect to the Shares held by the other parties. The Shares in this Form 3 do not include the Shares owned by SoftVest LP, SoftVest Advisors, Mr. Oliver and Horizon.

SEC source: 0001173431-19-000112 · wf-form4_156650567807867.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,644

SEC source: 0001437749-19-016064 · rdgdoc.xml · derivative · entry 7

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,871

Underlying: Common Stock · 16,871 shares

Expires 2024-08-06

F1 · shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

SEC source: 0001437749-19-016064 · rdgdoc.xml · derivative · entry 6

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 16,871 shares

Expires 2020-01-05

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_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

SEC source: 0001437749-19-016064 · rdgdoc.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,025

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 · shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

SEC source: 0001437749-19-017334 · rdgdoc.xml · derivative · entry 7

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567

Underlying: Common Stock · 3,594 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F6 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

F6 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

SEC source: 0001437749-19-017334 · rdgdoc.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,186

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.

F2 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-016064 · rdgdoc.xml · derivative · entry 5

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 6,250 shares

Expires 2020-01-05

F1 · derivative.exercise_price: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · reported_value: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

F1 · derivative.underlying_shares: These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.

SEC source: 0001173431-19-000074 · wf-form4_155864326115343.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,626

SEC source: 0001225208-19-006231 · doc4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,703

SEC source: 0001173431-19-000037 · wf-form4_155078520737470.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,612

SEC source: 0001173431-19-000037 · wf-form4_155078520737470.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,010

SEC source: 0001437749-19-017334 · rdgdoc.xml · derivative · entry 6

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,161

Underlying: Common Stock · 567 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.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

F5 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-19-017334 · rdgdoc.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,592

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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F3 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001209191-19-003483 · doc4.xml · derivative · entry 7

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,075 shares

Expires 2025-05-05

F8 · derivative.exercise_date: Shares subject to the option are fully vested. Pursuant to the Merger Agreement, the option was cancelled and converted into the right to receive a cash payment of $31,980.00, which represents the difference between $55.75 and the exercise price of the option per share multiplied by the number of shares subject to the option.

SEC source: 0001209191-19-003483 · doc4.xml · derivative · entry 6

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,380 shares

Expires 2025-02-03

F7 · derivative.exercise_date: Shares subject to the option are fully vested. Pursuant to the Merger Agreement, the option was cancelled and converted into the right to receive a cash payment of $86,704.20, which represents the difference between $55.75 and the exercise price of the option per share multiplied by the number of shares subject to the option.

SEC source: 0001209191-19-003483 · doc4.xml · derivative · entry 5

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,081 shares

Expires 2019-05-23

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting.

F6 · derivative.exercise_date: Pursuant to the Issuer's 2011 Stock Option and Incentive Plan and the Merger Agreement, the RSUs vested in full immediately prior to the closing of the merger, and were cancelled and converted into the right to receive $55.75 in cash per RSU.

SEC source: 0001209191-19-003483 · doc4.xml · nonDerivative · entry 4

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement.

SEC source: 0001209191-19-003483 · doc4.xml · nonDerivative · entry 3

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement.

F4 · ownership.nature: The shares are owned of record as follows: (A) 110 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.

SEC source: 0001209191-19-003483 · doc4.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement.

F3 · ownership.nature: The shares are owned of record as follows: (A) 1,904 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.

SEC source: 0001209191-19-003483 · doc4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger between the Issuer, Imperial Purchaser, LLC and Imperial Merger Sub, Inc. dated October 10, 2018 (the "Merger Agreement"), the shares of common stock were cancelled and converted into the right to receive $55.75 in cash per share, payable as otherwise provided by the terms of the Merger Agreement.

F2 · ownership.nature: The shares are owned of record as follows: (A) 2,353 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.

SEC source: 0001209191-18-063716 · doc4.xml · nonDerivative · entry 3

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 31,860

F6 · kind: Bona fide gift by the Reporting Person of 1,794 shares to the Grand Teton Music Festival.

F6 · shares: Bona fide gift by the Reporting Person of 1,794 shares to the Grand Teton Music Festival.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from a bona fide gift.

F7 · ownership.nature: The shares are owned of record as follows: (A) 110 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.

SEC source: 0001209191-18-063716 · doc4.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 33,654

F4 · kind: Bona fide gift by the Reporting Person of 449 shares to the Hudson Institue.

F4 · shares: Bona fide gift by the Reporting Person of 449 shares to the Hudson Institue.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from a bona fide gift.

F5 · ownership.nature: The shares are owned of record as follows: (A) 1,904 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.

SEC source: 0001209191-18-063716 · doc4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 34,103

F1 · kind: Bona fide gift by the Reporting Person of 897 shares to the Trust for Public Land.

F1 · shares: Bona fide gift by the Reporting Person of 897 shares to the Trust for Public Land.

F2 · price: Price is not applicable to acquisitions or dispositions resulting from a bona fide gift.

F3 · ownership.nature: The shares are owned of record as follows: (A) 2,353 shares are held by International Financial GP of Nevada, of which the Reporting Person is the sole owner and Chair/CEO; (B) 7,500 shares are held by the Allan R. Tessler Charitable Remainder Unitrust #1 u/a/d 121696, of which the Reporting Person is the sole trustee; (C) 7,500 Shares are held by the Allan R. Tessler Charitable Remainder Unitrust #2 u/a/d 121696, of which the Reporting Person is the sole trustee; (D) 6,750 shares are held by Tessler Family Limited of which the Reporting Person is a limited partner; and (E) 10,000 shares are held by the ART FGT Family Partners Limited, of which the Reporting Person is a limited partner.

SEC source: 0001173431-18-000161 · wf-form4_154283561547960.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,998

SEC source: 0001173431-18-000117 · wf-form4_153505612174408.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,985

SEC source: 0001437749-18-017509 · rdgdoc.xml · derivative · entry 8

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,353

Underlying: Common Stock · 32,353 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F13 · derivative.exercise_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019.

F13 · derivative.expiration_date: The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019.

SEC source: 0001437749-18-017509 · rdgdoc.xml · derivative · entry 7

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 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.

F4 · derivative.exercise_price: Each RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on June 15, 2018 was $1.40 per share.

F12 · derivative.exercise_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.

F12 · derivative.expiration_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.

SEC source: 0001437749-18-017509 · rdgdoc.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,277

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.

F2 · kind: Represents the conversion upon vesting of RSUs into common stock. On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the SEC on August 25, 2017.

F7 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001173431-18-000078 · wf-form4_152719317986656.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,977

SEC source: 0001209191-18-026323 · doc4.xml · derivative · entry 4

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,624 shares

Expires 2018-05-25

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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting.

F6 · derivative.exercise_date: The restricted stock units vest as follows: 100% of the underlying shares vest one year following the vesting commencement date of April 26, 2017. The restricted stock units are subject to accelerated vesting as to 100% of such shares following a change in control of the Issuer.

F5 · derivative.expiration_date: The Issuer has up to 30 days following vesting to settle. The actual expiration date will be immediately following settlement.

SEC source: 0001209191-18-026323 · doc4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,557

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 · shares: Represents the number of shares that were acquired in connection with the settlement of the restricted stock units listed in Table II.

SEC source: 0001209191-18-026323 · doc4.xml · derivative · entry 3

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,081

Underlying: Common Stock · 4,081 shares

Expires 2019-05-23

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting.

F4 · derivative.exercise_date: The restricted stock units vest as follows: 100% of the underlying shares vest one year following the vesting commencement date of April 24, 2018. The restricted stock units are subject to accelerated vesting as to 100% of such shares following a change in control of the Issuer.

F5 · derivative.expiration_date: The Issuer has up to 30 days following vesting to settle. The actual expiration date will be immediately following settlement.

SEC source: 0001225208-18-006642 · doc4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,640

SEC source: 0001173431-18-000037 · wf-form4_151933587103737.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,970

SEC source: 0001173431-18-000037 · wf-form4_151933587103737.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,805

SEC source: 0001209191-18-007557 · doc4.xml · derivative · entry 3

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,028 shares

Expires 2018-03-03

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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer upon vesting.

F4 · derivative.exercise_date: The restricted stock units vest as follows: one-third of the underlying shares vest one year following the vesting commencement date of February 2, 2015 with the remaining two-thirds vesting in equal annual installments over the next two years. The restricted stock units are subject to accelerated vesting as to 100% of such shares following a change in control of the Issuer.

F5 · derivative.expiration_date: The Issuer has up to 30 days following vesting to settle. The actual expiration date will be immediately following settlement.

SEC source: 0001209191-18-007557 · doc4.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,933

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 · shares: Represents the number of shares that were acquired in connection with the settlement of the restricted stock units listed in Table II.

SEC source: 0001437749-18-017509 · rdgdoc.xml · derivative · entry 6

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Underlying: Common Stock · 10,222 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.

F3 · derivative.exercise_price: Each RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on January 12, 2018 was $2.95 per share.

F11 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

F11 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-017509 · rdgdoc.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,111

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 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F6 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001173431-17-000182 · wf-form4_151138646283515.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,462