Schoeneck James A

SEC source: 0001493152-26-039288 · ownership.xml · derivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common stock · 5,000 shares

Expires 2036-08-17

F1 · security: On August 17, 2026, the Reporting Person was issued a non-qualified stock option to purchase 5,000 shares of common stock (the "Options") at an exercise price of $1.36 per share (equal to the closing price on the grant date, August 17, 2026) and shall vest, and become exercisable, in 1/12th per month installments over one year commencing on the grant date. The stock options were granted pursuant to the Issuer's non-employee director compensation policy and issued under the Issuer's 2023 Equity Incentive Plan.

F1 · derivative.exercise_date: On August 17, 2026, the Reporting Person was issued a non-qualified stock option to purchase 5,000 shares of common stock (the "Options") at an exercise price of $1.36 per share (equal to the closing price on the grant date, August 17, 2026) and shall vest, and become exercisable, in 1/12th per month installments over one year commencing on the grant date. The stock options were granted pursuant to the Issuer's non-employee director compensation policy and issued under the Issuer's 2023 Equity Incentive Plan.

F2 · balance_after: Does not include the stock options previously granted to the Reporting Person.

SEC source: 0001420987-26-000004 · form4-06172026_110615.xml · derivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2036-06-11

F1 · derivative.exercise_date: The shares subject to the option shall vest in four equal quarterly installments measured from the date of grant.

SEC source: 0001641172-25-025448 · ownership.xml · derivative · entry 4

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common stock · 75,000 shares

Expires 2030-08-21

F1 · kind: The common stock and warrants were acquired by the reporting person in a public offering conducted by the Issuer that was closed on August 21, 2025.

F2 · price: Each common share was purchased with an accompanying warrant for a purchase price of $2.00 per share and accompanying warrant.

SEC source: 0001641172-25-025448 · ownership.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,134

F1 · kind: The common stock and warrants were acquired by the reporting person in a public offering conducted by the Issuer that was closed on August 21, 2025.

F2 · price: Each common share was purchased with an accompanying warrant for a purchase price of $2.00 per share and accompanying warrant.

SEC source: 0001641172-25-019802 · ownership.xml · derivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,493

Underlying: Common stock · 164,493 shares

Expires 2035-07-09

F1 · security: On July 15, 2025, the Reporting Person was issued a non-qualified stock option to purchase 164,493 shares of common stock (the "Options") at an exercise price of $0.70 per share (equal to the closing price on the grant date, July 9, 2025) and shall vest, and become exercisable, in 1/12th per month installments over one year commencing on the grant date. The stock options were granted pursuant to the Issuer's non-employee director compensation policy and issued under the Issuer's 2023 Equity Incentive Plan.

F1 · derivative.exercise_date: On July 15, 2025, the Reporting Person was issued a non-qualified stock option to purchase 164,493 shares of common stock (the "Options") at an exercise price of $0.70 per share (equal to the closing price on the grant date, July 9, 2025) and shall vest, and become exercisable, in 1/12th per month installments over one year commencing on the grant date. The stock options were granted pursuant to the Issuer's non-employee director compensation policy and issued under the Issuer's 2023 Equity Incentive Plan.

SEC source: 0001415889-25-019067 · form4-07022025_080721.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 39,666

F1 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $4.935 to $5.25. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: Reflects a 1-for-25 reverse stock split effective on June 16, 2025.

SEC source: 0001415889-25-015985 · form4-06062025_080651.xml · derivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2035-06-03

F1 · derivative.exercise_date: The shares subject to the option shall vest on the earlier of four equal quarterly installments measured from the date of grant or the date of the next annual meeting of stockholders, subject to the reporting person's continued service at each applicable vest date.

SEC source: 0001415889-25-008823 · form4-03242025_090301.xml · nonDerivative · entry 2

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 373,722

F2 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $0.3341 to $0.3466. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001415889-25-008823 · form4-03242025_090301.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 323,722

F1 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $0.3499 to $0.3593. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001493152-24-041201 · ownership.xml · derivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,217

Underlying: Common stock · 20,217 shares

Expires 2034-09-20

F1 · deemedExecutionDate: On October 11, 2024, pursuant to the issuer's 2023 Equity Incentive Plan, the reporting person was issued a non-qualified stock option to purchase 20,217 shares of common stock (the "Options") at an exercise price of $1.09, which is the closing price of the issuer's common stock on the grant date, September 20, 2024 (the "Grant Date"). The Options shall vest, and become exercisable, in 1/12th per month installments over one year commencing on the Grant Date.

F1 · kind: On October 11, 2024, pursuant to the issuer's 2023 Equity Incentive Plan, the reporting person was issued a non-qualified stock option to purchase 20,217 shares of common stock (the "Options") at an exercise price of $1.09, which is the closing price of the issuer's common stock on the grant date, September 20, 2024 (the "Grant Date"). The Options shall vest, and become exercisable, in 1/12th per month installments over one year commencing on the Grant Date.

F1 · price: On October 11, 2024, pursuant to the issuer's 2023 Equity Incentive Plan, the reporting person was issued a non-qualified stock option to purchase 20,217 shares of common stock (the "Options") at an exercise price of $1.09, which is the closing price of the issuer's common stock on the grant date, September 20, 2024 (the "Grant Date"). The Options shall vest, and become exercisable, in 1/12th per month installments over one year commencing on the Grant Date.

F1 · derivative.exercise_date: On October 11, 2024, pursuant to the issuer's 2023 Equity Incentive Plan, the reporting person was issued a non-qualified stock option to purchase 20,217 shares of common stock (the "Options") at an exercise price of $1.09, which is the closing price of the issuer's common stock on the grant date, September 20, 2024 (the "Grant Date"). The Options shall vest, and become exercisable, in 1/12th per month installments over one year commencing on the Grant Date.

SEC source: 0001493152-24-026115 · ownership.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,071,781

F1 · price: Represents a grant of restricted stock units ("RSUs") on June 28, 2024 (the "Grant Date"), pursuant to the Issuer's 2023 Equity Incentive Plan and subject to the conditions of a Restricted Stock Unit Award Agreement, in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-employee director with the Issuer, in connection with services for the Issuer's second fiscal quarter. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on the Grant Date.

SEC source: 0001415889-24-015859 · form4-06062024_080616.xml · derivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2034-06-04

F1 · derivative.exercise_date: Options vest on the earlier of June 16, 2025 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001493152-24-022745 · ownership.xml · derivative · entry 7

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 548,000

Underlying: Common Stock · 548,000 shares

Expires 2029-12-03

F1 · security: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F6 · security: Represents Series D warrants to purchase up to an aggregate of 548,000 shares of common stock at an exercise price of $0.30 per share (the "Series D Warrants") pursuant to the Inducement Agreement. The Series D Warrants will be initially exercisable upon receipt of stockholder approval as may be required by the rules of the NYSE American and will have a term of 66 months from the Issuance Date. The Series D Warrants were acquired in a transaction exempt under Rule 16b-3 and at the same offering terms as other investors in the Offering.

F6 · price: Represents Series D warrants to purchase up to an aggregate of 548,000 shares of common stock at an exercise price of $0.30 per share (the "Series D Warrants") pursuant to the Inducement Agreement. The Series D Warrants will be initially exercisable upon receipt of stockholder approval as may be required by the rules of the NYSE American and will have a term of 66 months from the Issuance Date. The Series D Warrants were acquired in a transaction exempt under Rule 16b-3 and at the same offering terms as other investors in the Offering.

F6 · derivative.exercise_date: Represents Series D warrants to purchase up to an aggregate of 548,000 shares of common stock at an exercise price of $0.30 per share (the "Series D Warrants") pursuant to the Inducement Agreement. The Series D Warrants will be initially exercisable upon receipt of stockholder approval as may be required by the rules of the NYSE American and will have a term of 66 months from the Issuance Date. The Series D Warrants were acquired in a transaction exempt under Rule 16b-3 and at the same offering terms as other investors in the Offering.

F7 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-022745 · ownership.xml · derivative · entry 6

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 375,000

Underlying: Common Stock · 375,000 shares

Expires 2029-06-03

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.

F1 · security: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F4 · security: Represents the exercise of 375,000 Series C warrants for 375,000 Series C Units, consisting of an aggregate of (i) 375,000 shares of common stock and (ii) Series C-1 Warrants to purchase up to an aggregate of 375,000 shares of common stock. The Series C Warrants are exercisable immediately upon issuance and will expire four months from April 18, 2024.

F5 · security: The Series C-1 Warrants are exercisable immediately upon issuance and are exercisable for a term of 5 years from the Issuance Date at a reduced exercise price of $0.20.

F5 · price: The Series C-1 Warrants are exercisable immediately upon issuance and are exercisable for a term of 5 years from the Issuance Date at a reduced exercise price of $0.20.

F5 · derivative.exercise_date: The Series C-1 Warrants are exercisable immediately upon issuance and are exercisable for a term of 5 years from the Issuance Date at a reduced exercise price of $0.20.

F7 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-022745 · ownership.xml · derivative · entry 5

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 0

Underlying: Series C Unit · 375,000 shares

Expires 2024-08-18

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

F1 · security: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F4 · security: Represents the exercise of 375,000 Series C warrants for 375,000 Series C Units, consisting of an aggregate of (i) 375,000 shares of common stock and (ii) Series C-1 Warrants to purchase up to an aggregate of 375,000 shares of common stock. The Series C Warrants are exercisable immediately upon issuance and will expire four months from April 18, 2024.

F5 · security: The Series C-1 Warrants are exercisable immediately upon issuance and are exercisable for a term of 5 years from the Issuance Date at a reduced exercise price of $0.20.

F1 · price: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F4 · price: Represents the exercise of 375,000 Series C warrants for 375,000 Series C Units, consisting of an aggregate of (i) 375,000 shares of common stock and (ii) Series C-1 Warrants to purchase up to an aggregate of 375,000 shares of common stock. The Series C Warrants are exercisable immediately upon issuance and will expire four months from April 18, 2024.

F4 · derivative.exercise_date: Represents the exercise of 375,000 Series C warrants for 375,000 Series C Units, consisting of an aggregate of (i) 375,000 shares of common stock and (ii) Series C-1 Warrants to purchase up to an aggregate of 375,000 shares of common stock. The Series C Warrants are exercisable immediately upon issuance and will expire four months from April 18, 2024.

F7 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-022745 · ownership.xml · derivative · entry 4

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 173,000

Underlying: Common Stock · 173,000 shares

Expires 2029-06-03

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.

F1 · security: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F2 · security: Represents the exercise of 173,000 Series B warrants for 173,000 Series B Units, consisting of an aggregate of (i) 173,000 shares of common stock and (ii) Series B-1 Warrants to purchase up to an aggregate of 173,000 shares of common stock. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024.

F3 · security: The Series B-1 Warrants are exercisable immediately upon issuance and are exercisable for a term of 5 years from June 3, 2024 (the "Issuance Date") at a reduced exercise price of $0.20.

F3 · price: The Series B-1 Warrants are exercisable immediately upon issuance and are exercisable for a term of 5 years from June 3, 2024 (the "Issuance Date") at a reduced exercise price of $0.20.

F3 · derivative.exercise_date: The Series B-1 Warrants are exercisable immediately upon issuance and are exercisable for a term of 5 years from June 3, 2024 (the "Issuance Date") at a reduced exercise price of $0.20.

F7 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-022745 · ownership.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 202,000

Underlying: Series B Unit · 173,000 shares

Expires 2025-04-18

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

F1 · security: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F2 · security: Represents the exercise of 173,000 Series B warrants for 173,000 Series B Units, consisting of an aggregate of (i) 173,000 shares of common stock and (ii) Series B-1 Warrants to purchase up to an aggregate of 173,000 shares of common stock. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024.

F3 · security: The Series B-1 Warrants are exercisable immediately upon issuance and are exercisable for a term of 5 years from June 3, 2024 (the "Issuance Date") at a reduced exercise price of $0.20.

F1 · price: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F2 · price: Represents the exercise of 173,000 Series B warrants for 173,000 Series B Units, consisting of an aggregate of (i) 173,000 shares of common stock and (ii) Series B-1 Warrants to purchase up to an aggregate of 173,000 shares of common stock. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024.

F2 · derivative.exercise_date: Represents the exercise of 173,000 Series B warrants for 173,000 Series B Units, consisting of an aggregate of (i) 173,000 shares of common stock and (ii) Series B-1 Warrants to purchase up to an aggregate of 173,000 shares of common stock. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024.

F7 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-022745 · ownership.xml · nonDerivative · entry 2

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 963,887

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

F1 · security: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F2 · security: Represents the exercise of 173,000 Series B warrants for 173,000 Series B Units, consisting of an aggregate of (i) 173,000 shares of common stock and (ii) Series B-1 Warrants to purchase up to an aggregate of 173,000 shares of common stock. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024.

F7 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-022745 · ownership.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 588,887

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

F1 · security: On May 31, 2024, the Reporting Person and the Issuer entered into an inducement offer letter agreement (the "Inducement Agreement") providing for the immediate exercise of some or all of certain Series B warrants and Series C warrants, at an initial exercise price of $0.60, previously purchased in the Issuer's public offering which closed on April 18, 2024 (the "Offering"), at a reduced exercise price of $0.20 (the "Exercise"). Pursuant to the Inducement Agreement, the Issuer also issued Series D common stock purchase warrants ("New Series D Warrants") in consideration for the Exercise. The Offering closed on June 3, 2024.

F2 · security: Represents the exercise of 173,000 Series B warrants for 173,000 Series B Units, consisting of an aggregate of (i) 173,000 shares of common stock and (ii) Series B-1 Warrants to purchase up to an aggregate of 173,000 shares of common stock. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024.

F7 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-015572 · ownership.xml · derivative · entry 4

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 375,000

Underlying: Series C Unit · 375,000 shares

Expires 2024-08-18

F1 · security: Represents 375,000 shares of common stock acquired by the Reporting Person at the public offering price of $0.40 per Common Stock Unit, each consisting of: (i) one share of common stock, (ii) one Series A warrant, (iii) one Series B warrant, and (iv) one Series C warrant, for a total purchase price of $150,000, in connection with the Issuer's public offering which closed on April 18, 2024 (the "Offering"). The Units were acquired in a transaction exempt under Rule 16b-3 and at the same offering terms as other investors in the Offering.

F4 · security: Represents 375,000 Series C warrants to purchase 375,000 Series C Units (the "Series C Warrants"), at an exercise price of $0.60 per Series C Unit, with each Series C Unit consisting of (i) one share of the common stock and (ii) one Series C-1 Warrant to purchase one share of common stock, at an exercise price of $0.60. The Series C-1 Warrants will only be issued upon exercise of the Series B Warrants, and will expire five years from the date of such issuance. The Series C Warrants are exercisable immediately upon issuance and will expire four months from April 18, 2024, the date of issuance of the Series C Warrants.

F4 · price: Represents 375,000 Series C warrants to purchase 375,000 Series C Units (the "Series C Warrants"), at an exercise price of $0.60 per Series C Unit, with each Series C Unit consisting of (i) one share of the common stock and (ii) one Series C-1 Warrant to purchase one share of common stock, at an exercise price of $0.60. The Series C-1 Warrants will only be issued upon exercise of the Series B Warrants, and will expire five years from the date of such issuance. The Series C Warrants are exercisable immediately upon issuance and will expire four months from April 18, 2024, the date of issuance of the Series C Warrants.

F4 · derivative.exercise_date: Represents 375,000 Series C warrants to purchase 375,000 Series C Units (the "Series C Warrants"), at an exercise price of $0.60 per Series C Unit, with each Series C Unit consisting of (i) one share of the common stock and (ii) one Series C-1 Warrant to purchase one share of common stock, at an exercise price of $0.60. The Series C-1 Warrants will only be issued upon exercise of the Series B Warrants, and will expire five years from the date of such issuance. The Series C Warrants are exercisable immediately upon issuance and will expire four months from April 18, 2024, the date of issuance of the Series C Warrants.

F5 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-015572 · ownership.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 375,000

Underlying: Series B Unit · 375,000 shares

Expires 2025-04-18

F1 · security: Represents 375,000 shares of common stock acquired by the Reporting Person at the public offering price of $0.40 per Common Stock Unit, each consisting of: (i) one share of common stock, (ii) one Series A warrant, (iii) one Series B warrant, and (iv) one Series C warrant, for a total purchase price of $150,000, in connection with the Issuer's public offering which closed on April 18, 2024 (the "Offering"). The Units were acquired in a transaction exempt under Rule 16b-3 and at the same offering terms as other investors in the Offering.

F3 · security: Represents 375,000 Series B warrants to purchase 375,000 Series B Unit (the "Series B Warrants"), at an exercise price of $0.60 per Series B Unit, with each Series B Unit consisting of (i) one share of the common stock and (ii) one Series B-1 Warrant to purchase one share of common stock, at an exercise price of $0.60. The Series B-1 Warrants will only be issued upon exercise of the Series B Warrants, and will expire five years from the date of such issuance. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024, the date of issuance of the Series B Warrants.

F3 · price: Represents 375,000 Series B warrants to purchase 375,000 Series B Unit (the "Series B Warrants"), at an exercise price of $0.60 per Series B Unit, with each Series B Unit consisting of (i) one share of the common stock and (ii) one Series B-1 Warrant to purchase one share of common stock, at an exercise price of $0.60. The Series B-1 Warrants will only be issued upon exercise of the Series B Warrants, and will expire five years from the date of such issuance. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024, the date of issuance of the Series B Warrants.

F3 · derivative.exercise_date: Represents 375,000 Series B warrants to purchase 375,000 Series B Unit (the "Series B Warrants"), at an exercise price of $0.60 per Series B Unit, with each Series B Unit consisting of (i) one share of the common stock and (ii) one Series B-1 Warrant to purchase one share of common stock, at an exercise price of $0.60. The Series B-1 Warrants will only be issued upon exercise of the Series B Warrants, and will expire five years from the date of such issuance. The Series B Warrants are exercisable immediately upon issuance and will expire twelve months from April 18, 2024, the date of issuance of the Series B Warrants.

F5 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-015572 · ownership.xml · derivative · entry 2

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 375,000

Underlying: Common Stock · 375,000 shares

Expires 2029-04-18

F1 · security: Represents 375,000 shares of common stock acquired by the Reporting Person at the public offering price of $0.40 per Common Stock Unit, each consisting of: (i) one share of common stock, (ii) one Series A warrant, (iii) one Series B warrant, and (iv) one Series C warrant, for a total purchase price of $150,000, in connection with the Issuer's public offering which closed on April 18, 2024 (the "Offering"). The Units were acquired in a transaction exempt under Rule 16b-3 and at the same offering terms as other investors in the Offering.

F2 · security: Represents 375,000 Series A warrants to purchase 375,000 shares of common stock at an exercise price of $0.60 per share (the "Series A Warrants"). The Series A Warrants are exercisable immediately upon issuance and will expire five years from April 18, 2024, the date of issuance of the Series A Warrants.

F2 · price: Represents 375,000 Series A warrants to purchase 375,000 shares of common stock at an exercise price of $0.60 per share (the "Series A Warrants"). The Series A Warrants are exercisable immediately upon issuance and will expire five years from April 18, 2024, the date of issuance of the Series A Warrants.

F2 · derivative.exercise_date: Represents 375,000 Series A warrants to purchase 375,000 shares of common stock at an exercise price of $0.60 per share (the "Series A Warrants"). The Series A Warrants are exercisable immediately upon issuance and will expire five years from April 18, 2024, the date of issuance of the Series A Warrants.

F5 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-015572 · ownership.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By James & Cynthia Schoeneck Family Trust

Disclosed balance after: 415,887

F1 · security: Represents 375,000 shares of common stock acquired by the Reporting Person at the public offering price of $0.40 per Common Stock Unit, each consisting of: (i) one share of common stock, (ii) one Series A warrant, (iii) one Series B warrant, and (iv) one Series C warrant, for a total purchase price of $150,000, in connection with the Issuer's public offering which closed on April 18, 2024 (the "Offering"). The Units were acquired in a transaction exempt under Rule 16b-3 and at the same offering terms as other investors in the Offering.

F5 · ownership.nature: These securities are held by James & Cynthia Schoeneck Family Trust (the "Trust"). Mr. Schoeneck is a trustee of the Trust, and may be deemed to beneficially own the securities held by the Trust. Mr. Schoeneck disclaims beneficial ownership of any such securities, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001493152-24-026108 · ownership.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 992,094

F1 · price: Represents a grant of restricted stock units ("RSUs") on March 29, 2024 (the "Grant Date"), pursuant to the Issuer's 2023 Equity Incentive Plan and subject to the conditions of a Restricted Stock Unit Award Agreement, in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-employee director with the Issuer, in connection with services for the Issuer's first fiscal quarter. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on the Grant Date.

SEC source: 0001493152-24-001134 · ownership.xml · derivative · entry 2

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,249

Underlying: Common stock · 70,249 shares

Expires 2033-12-21

F1 · price: Pursuant to the Issuer's 2023 Equity Incentive Plan (the "2023 Plan"), on December 21, 2023 (the "Grant Date"), the Reporting Person was granted 70,249 Non-Qualified Stock Options (the "Options") at an exercise price of $1.80, which is equal to the closing price of the Issuer's common stock on December 21, 2023, for serving as a director. The Options will vest in one year or next annual shareholder meeting, whichever first. The Options were granted in a transaction exempt under Rule 16b-3 to the Reporting Person.

F1 · derivative.exercise_date: Pursuant to the Issuer's 2023 Equity Incentive Plan (the "2023 Plan"), on December 21, 2023 (the "Grant Date"), the Reporting Person was granted 70,249 Non-Qualified Stock Options (the "Options") at an exercise price of $1.80, which is equal to the closing price of the Issuer's common stock on December 21, 2023, for serving as a director. The Options will vest in one year or next annual shareholder meeting, whichever first. The Options were granted in a transaction exempt under Rule 16b-3 to the Reporting Person.

SEC source: 0001493152-24-001134 · ownership.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,872

F2 · shares: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2023 Plan. Each RSU represents a right to receive one share of the Company's common stock upon vesting. The number of RSUs to be issued will equal to the amount due to the director for Board fees divided by the closing price for a share of the Issuer's common stock. The RSUs were granted in a transaction exempt under Rule 16b-3 to the Reporting Person. The shares of common stock underlying the RSUs immediately vested on the Grant Date.

SEC source: 0001209191-23-045673 · doc4.xml · derivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-08-10

SEC source: 0001209191-23-036073 · doc4.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 12,666

Underlying: Common Stock · 12,666 shares

Expires 2033-06-06

F4 · derivative.exercise_date: Options vest on the earlier of June 7, 2024 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001209191-23-036073 · doc4.xml · nonDerivative · entry 2

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · By Trust

Disclosed balance after: 73,722

F2 · kind: Represents the number of shares sold by the reporting person (pursuant to a 10b5-1 trading plan dated March 2, 2023) to cover the tax obligation realized upon the vesting of restricted stock units previously reported in Table I.

F3 · price: Price reported is a weighted-average sales price. The shares were sold at prices ranging from $17.77 to $18.56. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-23-036073 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 28,766

F1 · shares: Represents the grant of restricted stock units that vest on the earlier of June 7, 2024 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001209191-22-038598 · doc4.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,684

Underlying: Common Stock · 25,684 shares

Expires 2032-06-15

F2 · derivative.exercise_date: Options vest on the earlier of June 16, 2023 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001209191-22-038598 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,477

F1 · shares: Represents the grant of restricted stock units that vest on the earlier of June 16, 2023 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001209191-21-036684 · doc4.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

Underlying: Common Stock · 7,800 shares

Expires 2031-05-25

F2 · derivative.exercise_date: Options vest on the earlier of May 26, 2022 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001209191-21-036684 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,100

F1 · shares: Represents the grant of restricted stock units that vest on the earlier of May 26, 2022 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001209191-21-002361 · doc4.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2023-04-17

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001209191-21-002361 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,400

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

SEC source: 0001209191-20-047985 · doc4.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2022-06-27

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001209191-20-047985 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,400

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

SEC source: 0001209191-20-035158 · doc4.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

Underlying: Common Stock · 7,800 shares

Expires 2030-06-03

F2 · derivative.exercise_date: Options vest on the earlier of June 4, 2021 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001209191-20-035158 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,400

F1 · shares: Represents the grant of restricted stock units that vest on the earlier of June 4, 2021 or the date of the next annual meeting of stockholders, subject to the reporting person's continuous service on the applicable vesting date.

SEC source: 0001209191-20-002653 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director · Interim President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,422

F1 · shares: Represents shares withheld by the issuer to satisfy a tax obligation realized by the reporting person upon the vesting of restricted stock units.

F2 · balance_after: Reflects the cancellation on January 6, 2020 of 28,650 shares pursuant to the vesting terms of the RSU grant.

SEC source: 0001209191-19-050376 · doc4.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,100

Underlying: Common Stock · 97,100 shares

Expires 2029-09-18

F1 · derivative.exercise_date: The vesting schedule for the stock option and RSU grants, which shall have a Vesting Base date of August 26, 2019, is as follows: 50% of the Awards shall vest on the earlier of February 26, 2020 or upon the hiring of a new CEO, and 50% shall vest on August 26, 2020, subject to continued service as Interim CEO, provided that if Mr. Schoeneck's Interim CEO service terminates between February 26, 2020 and August 26, 2020, the Awards vest pro-rata based on the number of months of Interim CEO service past February 26, 2020 (rounding up for partial months) as a fraction of the 6-month period at the time service terminates.

SEC source: 0001209191-19-050376 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,000

F1 · shares: The vesting schedule for the stock option and RSU grants, which shall have a Vesting Base date of August 26, 2019, is as follows: 50% of the Awards shall vest on the earlier of February 26, 2020 or upon the hiring of a new CEO, and 50% shall vest on August 26, 2020, subject to continued service as Interim CEO, provided that if Mr. Schoeneck's Interim CEO service terminates between February 26, 2020 and August 26, 2020, the Awards vest pro-rata based on the number of months of Interim CEO service past February 26, 2020 (rounding up for partial months) as a fraction of the 6-month period at the time service terminates.

SEC source: 0001209191-19-035667 · doc4.xml · derivative · entry 3

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,800

Underlying: Common Stock · 7,800 shares

Expires 2029-06-05

F2 · derivative.exercise_date: Options vest on the earlier of June 5, 2020 or the date of the next annual meeting of stockholders.

SEC source: 0001209191-19-035667 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,400

F1 · shares: Represents the grant of restricted stock units that vest on the earlier of June 5, 2020 or the date of the next annual meeting of stockholders.

SEC source: 0001209191-19-033502 · doc4.xml · derivative · entry 5

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2021-03-15

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001209191-19-033502 · doc4.xml · derivative · entry 4

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires 2020-04-27

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001209191-19-033502 · doc4.xml · nonDerivative · entry 2

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,700

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

SEC source: 0001209191-19-033502 · doc4.xml · nonDerivative · entry 1

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,700

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

SEC source: 0001209191-19-028663 · doc4.xml · derivative · entry 5

Schoeneck James A · CIK 0001420987 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2020-04-27

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

F4 · derivative.exercise_date: Fully vested.