PHELPS BARRY

SEC source: 0001239819-20-000005 · wf-form4_157808754797325.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,269.78

Underlying: Common Stock · 372.63 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as the chairman of the audit committee of the board of directors for the period from January 1, 2020 to March 31, 2020. The number of restricted stock units is equal to $2,750.00 divided by $7.38, the closing price of issuer's common stock on the Nasdaq Capital Market on January 2, 2020, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-20-000005 · wf-form4_157808754797325.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,897.15

Underlying: Common Stock · 1,270.33 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as a member of the board of directors for the period from January 1, 2020 to March 31, 2020. The number of restricted stock units is equal to $9,375.00 divided by $7.38, the closing price of the issuer's common stock on the Nasdaq Capital Market on January 2, 2020, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000133 · wf-form4_157013611693379.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,626.82

Underlying: Common Stock · 175.44 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $1,000.00 divided by $5.70, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000133 · wf-form4_157013611693379.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,451.38

Underlying: Common Stock · 482.46 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as the chairman of the audit committee of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $2,750.00 divided by $5.70, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000133 · wf-form4_157013611693379.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,968.92

Underlying: Common Stock · 1,644.74 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as a member of the board of directors for the period from October 1, 2019 to December 31, 2019. The number of restricted stock units is equal to $9,375.00 divided by $5.70, the closing price of the issuer's common stock on the Nasdaq Capital Market on October 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000077 · wf-form4_156218519753466.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,324.18

Underlying: Common Stock · 221.73 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from July 1, 2019 to September 30, 2019. The number of restricted stock units is equal to $1,000.00 divided by $4.51, the closing price of issuer's common stock on the Nasdaq Capital Market on July 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000077 · wf-form4_156218519753466.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,102.45

Underlying: Common Stock · 609.76 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as the chairman of the audit committee of the board of directors for the period from July 1, 2019 to September 30, 2019. The number of restricted stock units is equal to $2,750.00 divided by $4.51, the closing price of issuer's common stock on the Nasdaq Capital Market on July 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000077 · wf-form4_156218519753466.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,492.69

Underlying: Common Stock · 2,078.71 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as a member of the board of directors for the period from July 1, 2019 to September 30, 2019. The number of restricted stock units is equal to $9,375.00 divided by $4.51, the closing price of the issuer's common stock on the Nasdaq Capital Market on July 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001567619-19-013584 · doc1.xml · nonDerivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,302

F1 · kind: The shares were acquired in a privately negotiated, non-open market transaction.

SEC source: 0001567619-19-011987 · doc1.xml · derivative · entry 5

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,057

Underlying: Common Stock · 1,057 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: Not applicable.

F2 · derivative.exercise_date: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 3,171 restricted stock units, one-third of which vested on May 22, 2019. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

F2 · derivative.expiration_date: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 3,171 restricted stock units, one-third of which vested on May 22, 2019. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

SEC source: 0001567619-19-011987 · doc1.xml · derivative · entry 4

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 357 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.

F2 · security: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 3,171 restricted stock units, one-third of which vested on May 22, 2019. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

F4 · derivative.exercise_price: Not applicable.

F1 · derivative.exercise_date: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 1,071 restricted stock units, one third of which vested on May 22, 2019. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

F1 · derivative.expiration_date: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 1,071 restricted stock units, one third of which vested on May 22, 2019. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

SEC source: 0001567619-19-011987 · doc1.xml · nonDerivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,431

F3 · kind: Granted pursuant to the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, these restricted stock units shall vest in full at the Company's 2020 annual stockholder meeting.

SEC source: 0001567619-19-011987 · doc1.xml · nonDerivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,900

F2 · kind: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 3,171 restricted stock units, one-third of which vested on May 22, 2019. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

SEC source: 0001567619-19-011987 · doc1.xml · nonDerivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,843

F1 · kind: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 1,071 restricted stock units, one third of which vested on May 22, 2019. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

SEC source: 0001239819-19-000063 · wf-form4_155803737126609.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,413.98

Underlying: Common Stock · 5,800 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was awarded in connection with Mr. Phelps's service a member of the board of directors, pursuant to the issuer's non-employee director compensation policy. The number of stock units awarded is equal to $25,000 divided by $4.31, the closing price of the issuer's stock on the Nasdaq Capital Market on May 14, 2019, the date of grant.

F3 · derivative.exercise_date: The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The stock units have no expiration date.

F3 · derivative.expiration_date: The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The stock units have no expiration date.

SEC source: 0001239819-19-000035 · wf-form4_155423850658397.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,613.98

Underlying: Common Stock · 179 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the audit committee of the board of directors for the period from April 1, 2019 to June 30, 2019. The number of restricted stock units is equal to $750.00 divided by $4.19, the closing price of issuer's common stock on the Nasdaq Capital Market on April 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000035 · wf-form4_155423850658397.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,434.98

Underlying: Common Stock · 179 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from April 1, 2019 to June 30, 2019. The number of restricted stock units is equal to $750.00 divided by $4.19, the closing price of issuer's common stock on the Nasdaq Capital Market on April 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000035 · wf-form4_155423850658397.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,255.98

Underlying: Common Stock · 1,491.65 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as a member of the board of directors for the period from April 1, 2019 to June 30, 2019. The number of restricted stock units is equal to $6,250.00 divided by $4.19, the closing price of the issuer's common stock on the Nasdaq Capital Market on April 1, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000005 · wf-form4_154663948476567.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,764.33

Underlying: Common Stock · 223.88 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the audit committee of the board of directors for the period from January 1, 2019 to March 31, 2019. The number of restricted stock units is equal to $750.00 divided by $3.35, the closing price of issuer's common stock on the Nasdaq Capital Market on January 2, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000005 · wf-form4_154663948476567.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,540.45

Underlying: Common Stock · 223.88 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from January 1, 2019 to March 31, 2019. The number of restricted stock units is equal to $750.00 divided by $3.35, the closing price of issuer's common stock on the Nasdaq Capital Market on January 2, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-19-000005 · wf-form4_154663948476567.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,316.57

Underlying: Common Stock · 1,865.67 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as a member of the board of directors for the period from January 1, 2019 to March 31, 2019. The number of restricted stock units is equal to $6,250.00 divided by $3.35, the closing price of the issuer's common stock on the Nasdaq Capital Market on January 2, 2019, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001567619-18-007234 · doc1.xml · nonDerivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,486

SEC source: 0001628280-18-012230 · wf-form4_153853148548018.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,450.9

Underlying: Common Stock · 232.2 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the audit committee of the board of directors for the period from October 1, 2018 to December 31, 2018. The number of restricted stock units is equal to $750.00 divided by $3.23, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001628280-18-012230 · wf-form4_153853148548018.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,218.7

Underlying: Common Stock · 232.2 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from October 1, 2018 to December 31, 2018. The number of restricted stock units is equal to $750.00 divided by $3.23, the closing price of issuer's common stock on the Nasdaq Capital Market on October 1, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001628280-18-012230 · wf-form4_153853148548018.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,986.5

Underlying: Common Stock · 1,934.98 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation, as compensation for Mr. Phelps's service as a member of the board of directors for the period from October 1, 2018 to December 31, 2018. The number of restricted stock units is equal to $6,250.00 divided by $3.23, the closing price of the issuer's common stock on the Nasdaq Capital Market on October 1, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001140361-18-032132 · doc1.xml · derivative · entry 5

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,114

Underlying: Common Stock · 1,057 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: Not applicable.

F2 · derivative.exercise_date: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 3,171 restricted stock units, one-third of which vested on July 9, 2018. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

F2 · derivative.expiration_date: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 3,171 restricted stock units, one-third of which vested on July 9, 2018. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

SEC source: 0001140361-18-032132 · doc1.xml · derivative · entry 4

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357

Underlying: Common Stock · 357 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: Not applicable.

F1 · derivative.exercise_date: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 1,071 restricted stock units, one third of which vested on July 9, 2018. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

F1 · derivative.expiration_date: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 1,071 restricted stock units, one third of which vested on July 9, 2018. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

SEC source: 0001140361-18-032132 · doc1.xml · nonDerivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,486

F3 · kind: Granted pursuant to the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, these restricted stock units shall vest in full at the Company's 2019 annual stockholder meeting.

SEC source: 0001140361-18-032132 · doc1.xml · nonDerivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,771

F2 · kind: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 3,171 restricted stock units, one-third of which vested on July 9, 2018. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

SEC source: 0001140361-18-032132 · doc1.xml · nonDerivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,714

F1 · kind: In accordance with the U.S. Auto Parts Network, Inc. 2016 Equity Incentive Plan, the reporting person was granted 1,071 restricted stock units, one third of which vested on July 9, 2018. These restricted stock units converted to common stock on a one-for-one basis upon vesting.

SEC source: 0001239819-18-000057 · wf-form4_153065934746621.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,051.52

Underlying: Common Stock · 235.11 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from July 1, 2018 to September 30, 2018. The number of restricted stock units is equal to $750.00 divided by $3.19, the closing price of issuer's common stock on the Nasdaq Capital Market on July 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000057 · wf-form4_153065934746621.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,816.41

Underlying: Common Stock · 235.11 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the audit committee of the board of directors for the period from July 1, 2018 to September 30, 2018. The number of restricted stock units is equal to $750.00 divided by $3.19, the closing price of issuer's common stock on the Nasdaq Capital Market on July 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000057 · wf-form4_153065934746621.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,581.3

Underlying: Common Stock · 1,959.25 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation, as compensation for Mr. Phelps's service as a member of the board of directors for the period from July 1, 2018 to September 30, 2018. The number of restricted stock units is equal to $6,250.00 divided by $3.19, the closing price of the issuer's common stock on the Nasdaq Capital Market on July 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000042 · wf-form4_152660256210503.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,622.05

Underlying: Common Stock · 8,143 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was awarded in connection with Mr. Phelps's service a member of the board of directors, pursuant to the issuer's non-employee director compensation policy. The number of stock units awarded is equal to $25,000 divided by $3.07, the closing price of the issuer's stock on Nasdaq Capital Market on May 15, 2018, the date of grant.

F3 · derivative.exercise_date: The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units vest upon the earlier of the one year anniversary of the grant date or the issuer's annual meeting of stockholders and, subject to vesting, will become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000014 · wf-form4_152287410382152.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,479.05

Underlying: Common Stock · 230.77 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from April 1, 2018 to June 30, 2018. The number of restricted stock units is equal to $750.00 divided by $3.25, the closing price of issuer's common stock on the Nasdaq Capital Market on April 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000014 · wf-form4_152287410382152.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,248.28

Underlying: Common Stock · 230.77 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the audit committee of the board of directors for the period from April 1, 2018 to June 30, 2018. The number of restricted stock units is equal to $750.00 divided by $3.25, the closing price of issuer's common stock on the Nasdaq Capital Market on April 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000014 · wf-form4_152287410382152.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,017.51

Underlying: Common Stock · 1,923.08 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation, as compensation for Mr. Phelps's service as a member of the board of directors for the period from April 1, 2018 to June 30, 2018. The number of restricted stock units is equal to $6,250.00 divided by $3.25, the closing price of the issuer's common stock on the Nasdaq Capital Market on April 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000001 · wf-form4_151510577637790.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,094.43

Underlying: Common Stock · 300 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was awarded pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from January 1, 2018 to March 31, 2018. The number of restricted stock units is equal to $750.00 divided by $2.50, the closing price of the issuer's common stock on NASDAQ Capital Market on January 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000001 · wf-form4_151510577637790.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,794.43

Underlying: Common Stock · 300 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was awarded pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the audit committee of the board of directors for the period from January 1, 2018 to March 31, 2018. The number of restricted stock units is equal to $750.00 divided by $2.50, the closing price of the issuer's common stock on NASDAQ Capital Market on January 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-18-000001 · wf-form4_151510577637790.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,494.43

Underlying: Common Stock · 2,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as a member of the board of directors for the period from January 1, 2018 to March 31, 2018. The number of restricted stock units is equal to $6,250.00 divided by $2.50, the closing price of the issuer's common stock on the NASDAQ Capital Market on January 2, 2018, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000081 · wf-form4_150716063119742.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,994.43

Underlying: Common Stock · 441.18 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from October 1, 2017 to December 31, 2017. The number of restricted stock units is equal to $750.00 divided by $1.70, the closing price of issuer's common stock on the NASDAQ Capital Market on October 2, 2017, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000081 · wf-form4_150716063119742.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,553.25

Underlying: Common Stock · 441.18 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the audit committee of the board of directors for the period from October 1, 2017 to December 31, 2017. The number of restricted stock units is equal to $750.00 divided by $1.70, the closing price of issuer's common stock on the NASDAQ Capital Market on October 2, 2017, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000081 · wf-form4_150716063119742.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,112.07

Underlying: Common Stock · 3,676.47 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as a member of the board of directors for the period of October 1, 2017 to December 31, 2017. The number of restricted stock units awarded is equal to $6,250.00 divided by $1.70, the closing price of the issuer's common stock on the NASDAQ Capital Market on October 2, 2017, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000057 · wf-form4_149928624802618.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,435.6

Underlying: Common Stock · 503.36 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the compensation committee of the board of directors for the period from July 1, 2017 to September 30, 2017. The number of stock units is equal to $750 divided by $1.49, the closing price of issuer's common stock on the NASDAQ Capital Market on July 3, 2017, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000057 · wf-form4_149928624802618.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,932.24

Underlying: Common Stock · 503.36 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F4 · shares: This grant was made pursuant to issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service on the audit committee of the board of directors for the period from July 1, 2017 to September 30, 2017. The number of stock units is equal to $750 divided by $1.49, the closing price of issuer's common stock on the NASDAQ Capital Market on July 3, 2017, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000057 · wf-form4_149928624802618.xml · derivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,428.88

Underlying: Common Stock · 4,194.63 shares

Expires not disclosed

F1 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy, as compensation for Mr. Phelps's service as a member of the board of directors for the period from July 1, 2017 to September 30, 2017. The number of stock units is equal to $6,250 divided by $1.49, the closing price of the issuer's common stock on the NASDAQ Capital Market on July 3, 2017, the first trading day of the quarter. The Reporting Person elected to receive fees in stock units.

F3 · derivative.exercise_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

F3 · derivative.expiration_date: The stock units became issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000048 · wf-form4_149584917639850.xml · derivative · entry 4

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,234.25

Underlying: Common Stock · 792.06 shares

Expires not disclosed

F4 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F8 · shares: This grant was awarded as compensation for Mr. Phelps's service on the compensation committee of the issuer's board of directors for the period of May 24, 2017 to June 30, 2017. The number of restricted stock units awarded was equal to $1,219.78 divided by $1.54, the closing price of the issuer's common stock on Nasdaq Capital Market on May 24, 2017, the date of grant. The Reporting Person elected to receive fees in stock units.

F6 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F6 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000048 · wf-form4_149584917639850.xml · derivative · entry 3

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,442.19

Underlying: Common Stock · 792.06 shares

Expires not disclosed

F4 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F7 · shares: This grant was awarded as compensation for Mr. Phelps's service on the audit committee of the issuer's board of directors for the period of May 24, 2017 to June 30, 2017. The number of restricted stock units awarded was equal to $1,219.78 divided by $1.54, the closing price of the issuer's common stock on Nasdaq Capital Market on May 24, 2017, the date of grant. The Reporting Person elected to receive fees in stock units.

F6 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F6 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000048 · wf-form4_149584917639850.xml · derivative · entry 2

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,650.13

Underlying: Common Stock · 1,650.13 shares

Expires not disclosed

F4 · derivative.exercise_price: Stock Units are convertible into issuer's common stock on a 1-for-1 basis.

F5 · shares: This grant was awarded as compensation for Mr. Phelps's service as member of the board of directors for the period of May 24, 2017 to June 30, 2017. The number of restricted stock units awarded was equal to $2541.20 divided by $1.54, the closing price of the issuer's common stock on Nasdaq Capital Market on May 24, 2017, the date of grant. The Reporting Person elected to receive fees in stock units.

F6 · derivative.exercise_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

F6 · derivative.expiration_date: The stock units become issuable in common stock of the issuer at the election of the Reporting Person upon the earliest to occur of the Reporting Person's termination of service, a change in control of the issuer, an unforeseeable emergency, or a fixed date selected by the Reporting Person. The units have no expiration date.

SEC source: 0001239819-17-000048 · wf-form4_149584917639850.xml · nonDerivative · entry 1

PHELPS BARRY · CIK 0001240508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,233

F1 · security: Consists of restricted stock units that are convertible into issuer's common stock on a 1-for-1 basis.

F2 · shares: This grant was awarded in connection with Mr. Phelps's appointment as a member of the board of directors, pursuant to the issuer's non-employee director compensation policy. The number of restricted stock units awarded is equal to $25,000 divided by $1.54, the closing price of issuer's common stock on Nasdaq Capital Market on May 24, 2017, the date of grant.

F3 · shares: The stock units will vest fully on the earlier of the one year anniversary of the grant date or the issuer's next annual meeting of stockholders.