DUNTON ALAN W

SEC source: 0001493152-26-036186 · ownership.xml · derivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,769

Underlying: Common Stock · 2,200 shares

Expires 2037-08-03

F1 · derivative.exercise_date: Stock Option granted under the 2011 Stock Incentive Plan as amended. The option vests as to 50% on August 3, 2027 and as to the remaining 50% on August 3, 2028. The option was granted by the Compensation Committee on August 3, 2026, and there was no impediment to the grant of option.

SEC source: 0001213900-26-008475 · ownership.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,703

F1 · price: These shares represent restricted stock units issued on January 26, 2026. Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. These restricted stock units will vest in full on January 26, 2027, subject to continued service on the vesting date.

SEC source: 0001213900-26-000712 · ownership.xml · derivative · entry 3

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2032-02-22

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: These options were granted on 2/22/2022. These options are fully vested.

SEC source: 0001213900-26-000712 · ownership.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 40,250

SEC source: 0001213900-26-000712 · ownership.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 60,250

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: 0001304773-25-000003 · primary_doc.xml · derivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2035-12-11

F1 · security: Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended, pursuant to the Company's non-employee director compensation program. The options vest immediately. The option exercise price is the Company's closing price on the date of grant.

F1 · shares: Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended, pursuant to the Company's non-employee director compensation program. The options vest immediately. The option exercise price is the Company's closing price on the date of grant.

F1 · derivative.exercise_date: Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended, pursuant to the Company's non-employee director compensation program. The options vest immediately. The option exercise price is the Company's closing price on the date of grant.

F1 · balance_after: Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended, pursuant to the Company's non-employee director compensation program. The options vest immediately. The option exercise price is the Company's closing price on the date of grant.

SEC source: 0001493152-25-027267 · ownership.xml · derivative · entry 4

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,999

Underlying: Common Stock · 1,200 shares

Expires 2026-12-09

F4 · derivative.exercise_date: Stock Options granted under the 2011 Stock Incentive Plan, the option vests as to 50% on December 9, 2026 and as to the remaining 50% on December 9, 2027. The options were granted by the Compensation Committee on December 9, 2025, and there were no impediments to the grant of options.

F4 · derivative.expiration_date: Stock Options granted under the 2011 Stock Incentive Plan, the option vests as to 50% on December 9, 2026 and as to the remaining 50% on December 9, 2027. The options were granted by the Compensation Committee on December 9, 2025, and there were no impediments to the grant of options.

SEC source: 0001493152-25-027267 · ownership.xml · derivative · entry 3

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 24,799

Underlying: Common Stock · 1,200 shares

Expires 2035-12-09

F3 · derivative.exercise_date: Stock Options granted under the 2011 Stock Incentive Plan, the option vests on December 9,2026, and in the event that the director does not serve until December 31, 2026, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on January 31, 2026. The options were granted by the Compensation Committee on December 9, 2025, and there were no impediments to the grant of the options.

F3 · derivative.expiration_date: Stock Options granted under the 2011 Stock Incentive Plan, the option vests on December 9,2026, and in the event that the director does not serve until December 31, 2026, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on January 31, 2026. The options were granted by the Compensation Committee on December 9, 2025, and there were no impediments to the grant of the options.

SEC source: 0001493152-25-027267 · ownership.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,081

F2 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest as to 50% on December 9, 2026 and as to the remaining 50% on December 9, 2027. The restricted share units were granted by the Compensation Committee on December 9, 2025, and there were no impediments to the grant of the restricted stock units.

F2 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest as to 50% on December 9, 2026 and as to the remaining 50% on December 9, 2027. The restricted share units were granted by the Compensation Committee on December 9, 2025, and there were no impediments to the grant of the restricted stock units.

SEC source: 0001493152-25-027267 · ownership.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,081

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on December 9, 2026. The restricted share units were granted by the Compensation Committee on December 9, 2025, and there were no impediments to the grant of the restricted stock units.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on December 9, 2026. The restricted share units were granted by the Compensation Committee on December 9, 2025, and there were no impediments to the grant of the restricted stock units.

SEC source: 0001213900-25-088337 · ownership.xml · derivative · entry 3

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 10,000 shares

Expires 2034-03-05

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

F2 · derivative.exercise_date: These options were granted on 3/5/2024. The options vest monthly with full vesting on the one year anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001213900-25-088337 · ownership.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,250

F1 · price: This transaction was executed in multiple trades at prices ranging from $13.00 to $13.25. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001213900-25-088337 · ownership.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,250

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: 0001654954-25-007105 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 420,016

Underlying: Common Stock · 363,636 shares

Expires not disclosed

F1 · price: Each share of Series D Convertible Preferred Stock has a stated value of $100 per share, and is convertible to common stock at an initial conversion price of $0.11 per share, for a total of 181,818 shares of common stock. The Series D Preferred Stock and Series I common stock purchase warrants were sold at a combined offering price of $0.11 per share of common stock obtainable upon conversion of the Series D Convertible Preferred Stock.

F2 · derivative.exercise_date: The Series I warrants are exercisable on or after the date that approval is obtained from the Issuer's stockholders as may be required by the NYSE American (or any successor entity) (the "Stockholder Approval Date"), and will expire on the five-year anniversary of the Stockholder Approval Date, subject to the terms and conditions contained in such Series I warrant.

F2 · derivative.expiration_date: The Series I warrants are exercisable on or after the date that approval is obtained from the Issuer's stockholders as may be required by the NYSE American (or any successor entity) (the "Stockholder Approval Date"), and will expire on the five-year anniversary of the Stockholder Approval Date, subject to the terms and conditions contained in such Series I warrant.

SEC source: 0001654954-25-007105 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 224,112

F1 · shares: Each share of Series D Convertible Preferred Stock has a stated value of $100 per share, and is convertible to common stock at an initial conversion price of $0.11 per share, for a total of 181,818 shares of common stock. The Series D Preferred Stock and Series I common stock purchase warrants were sold at a combined offering price of $0.11 per share of common stock obtainable upon conversion of the Series D Convertible Preferred Stock.

SEC source: 0001213900-25-005674 · ownership.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,250

F1 · price: These shares represent restricted stock units issued on January 17, 2025. Each restricted stock unit represents the right to receive one share of CorMedix Inc. common stock. These restricted stock units will vest in full on January 17, 2026, subject to continued service on the vesting date.

SEC source: 0001493152-24-049325 · ownership.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,623

SEC source: 0001493152-24-037728 · ownership.xml · derivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2034-09-19

F1 · security: Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended pursuant to the Company's non-employee director compensation program. The options vest immediately. The option exercise price is the Company's closing price on the date of grant.

F1 · shares: Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended pursuant to the Company's non-employee director compensation program. The options vest immediately. The option exercise price is the Company's closing price on the date of grant.

F1 · derivative.exercise_date: Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended pursuant to the Company's non-employee director compensation program. The options vest immediately. The option exercise price is the Company's closing price on the date of grant.

F1 · balance_after: Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended pursuant to the Company's non-employee director compensation program. The options vest immediately. The option exercise price is the Company's closing price on the date of grant.

SEC source: 0001654954-24-009001 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,780

Underlying: Common Stock · 17,000 shares

Expires 2034-06-04

F2 · derivative.exercise_date: The option vests on June 4, 2025, and in the event that the director does not serve until June 30, 2025, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2024. The options were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

SEC source: 0001654954-24-009001 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,294

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 4, 2025. The restricted share units were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

SEC source: 0001654954-24-009045 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,780

Underlying: Common Stock · 17,000 shares

Expires 2034-06-04

F2 · derivative.exercise_date: The option vests on June 4, 2025, and in the event that the director does not serve until June 30, 2025, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2024. The options were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

SEC source: 0001654954-24-009045 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,294

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 4, 2025. The restricted share units were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

SEC source: 0000899140-24-000322 · form4.xml · derivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-03-05

F1 · derivative.exercise_date: These options were granted on 3/5/2024. The options vest monthly with full vesting on the one year anniversary of the date of grant, subject to continued service on the board.

SEC source: 0000929638-23-003434 · form4.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,250

SEC source: 0000929638-23-003434 · form4.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,250

SEC source: 0001654954-23-015219 · section16.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,074

SEC source: 0001654954-23-015219 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,075

SEC source: 0001493152-23-027577 · ownership.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,689

F1 · shares: Represents an award of restricted stock pursuant to the Company's non-employee director compensation program under the Company's 2021 Equity Incentive Plan with 20,000 shares vesting immediately and 5,000 shares vesting in six (6) months.

F2 · balance_after: Reflects adjustments made in connection with the 1-for-60 reverse stock split of the Issuer's common stock which became effective on January 23, 2023

SEC source: 0001654954-23-008312 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2033-06-20

F2 · derivative.exercise_date: The option vests on June 30, 2024, and in the event that the director does not serve until June 30, 2024, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2023.

SEC source: 0001654954-23-008312 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,807

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

SEC source: 0000929638-23-001520 · form4.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,250

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.31 to $4.34, inclusive. The reporting person undertakes to provide CorMedix Inc., any security holder of CorMedix Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

SEC source: 0000929638-23-001531 · form4.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,250

F1 · kind: On May 17, 2023, the reporting person filed a Form 4 which inadvertently included Transaction Code "A". The original Form 4 should have indicated Transaction Code "P". The reporting person has filed this amendment to restate the transaction with the correct Transaction Code.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.31 to $4.34, inclusive. The reporting person undertakes to provide CorMedix Inc., any security holder of CorMedix Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

SEC source: 0001213900-23-003550 · ownership.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-01-14

F1 · derivative.exercise_date: These options were granted on 1/14/2023. The options vest monthly with full vesting on the one year anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001654954-22-016941 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,420

SEC source: 0001493152-22-021013 · ownership.xml · derivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2032-07-29

F1 · security: Represents an award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2021 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, July 29, 2022.

F1 · shares: Represents an award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2021 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, July 29, 2022.

F1 · derivative.underlying_shares: Represents an award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2021 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, July 29, 2022.

F1 · balance_after: Represents an award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2021 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, July 29, 2022.

SEC source: 0001654954-22-008780 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

Underlying: Common Stock · 128,000 shares

Expires 2032-06-22

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2022.

SEC source: 0001654954-22-008780 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 991,519

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2023.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2023.

SEC source: 0001213900-22-008959 · doc4.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-02-22

F5 · derivative.exercise_date: These options were granted on 2/22/2022. The options vest monthly with full vesting on the one year anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001493152-21-031888 · ownership.xml · derivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2031-12-16

F1 · security: Represents an annual award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2012 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, December 16, 2021.

F1 · shares: Represents an annual award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2012 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, December 16, 2021.

F1 · derivative.underlying_shares: Represents an annual award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2012 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, December 16, 2021.

F1 · balance_after: Represents an annual award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2012 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, December 16, 2021.

SEC source: 0001654954-21-007518 · section16.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 786,518

SEC source: 0001654954-21-007518 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 776,518

SEC source: 0001654954-21-007562 · section16.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 786,518

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007562 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 776,518

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007253 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

Underlying: Common Stock · 128,000 shares

Expires 2031-06-22

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2021.

SEC source: 0001654954-21-007253 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,518

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

SEC source: 0001493152-21-004422 · ownership.xml · derivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2031-02-18

F1 · security: Represents an annual award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2012 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, February 18, 2021.

F1 · shares: Represents an annual award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2012 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, February 18, 2021.

F1 · derivative.underlying_shares: Represents an annual award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2012 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, February 18, 2021.

F1 · balance_after: Represents an annual award of options pursuant to the Company's non-employee director compensation program to purchase shares of common stock under the Company's 2012 Equity Incentive Plan. The options vest immediately and the exercise price is the closing price on the date of the grant, February 18, 2021.

SEC source: 0001213900-21-002074 · doc4.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-01-11

F1 · derivative.exercise_date: These options were granted on 1/11/2021. The options vest monthly with full vesting on the one year anniversary of the date of grant, subject to continued service on the board.

SEC source: 0001213900-20-022353 · doc4.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

SEC source: 0001654954-20-006793 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,000

Underlying: Common Stock · 127,000 shares

Expires 2030-06-16

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2020.

SEC source: 0001654954-20-006793 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 578,935

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 16, 2021.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 16, 2021.