Liaw Jeffrey

SEC source: 0000950170-25-096399 · ownership.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Director · Chief Executive Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 10,363

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: 0000900075-22-000020 · wf-form4_164918602680289.xml · derivative · entry 1

Liaw Jeffrey · CIK 0001429516 · co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires 2032-04-01

F1 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the date of grant and the balance vests on a monthly basis over the 48 months succeeding such first anniversary. Separate and apart from the time-based vesting schedule, the options are also subject to performance-based vesting, such that no options will be exercisable unless and until the stock price in trading of Copart, Inc. on the NASDAQ Global Select Market is greater than or equal to $157.10 per share (which is an amount equal to 125% of the exercise price of the option) both (1) at the time of any exercise, and (2) as of the closing price for each of the twenty consecutive days in trading preceding the date of any exercise.

SEC source: 0000900075-22-000019 · wf-form4_164918448193910.xml · derivative · entry 1

Liaw Jeffrey · CIK 0001429516 · co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2032-04-01

F1 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the date of grant and the balance vest on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0000900075-22-000018 · wf-form4_164918308091797.xml · derivative · entry 1

Liaw Jeffrey · CIK 0001429516 · co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of Copart, Inc. common stock upon vesting of the unit.

F2 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the restricted stock units vest on the first anniversary of the April 1, 2022 grant date, and the balance vests monthly over the 48 months succeeding such first anniversary. Separate and apart from the time-based vesting condition, no portion of the net shares of common stock that Mr. Liaw receives as a result of the vesting of the restricted stock units may be sold, assigned, or transferred by Mr. Liaw for any reason until April 1, 2032, which is a period of ten (10) years from the original grant date.

F2 · derivative.expiration_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the restricted stock units vest on the first anniversary of the April 1, 2022 grant date, and the balance vests monthly over the 48 months succeeding such first anniversary. Separate and apart from the time-based vesting condition, no portion of the net shares of common stock that Mr. Liaw receives as a result of the vesting of the restricted stock units may be sold, assigned, or transferred by Mr. Liaw for any reason until April 1, 2032, which is a period of ten (10) years from the original grant date.

SEC source: 0001628280-21-013636 · wf-form4_162574556754918.xml · derivative · entry 7

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,320 shares

Expires 2026-01-04

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: 2007 Equity Incentive Plan.

F3 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001628280-21-013636 · wf-form4_162574556754918.xml · derivative · entry 6

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,666

Underlying: Common Stock · 1,520 shares

Expires 2026-10-10

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: 2007 Equity Incentive Plan.

F3 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001628280-21-013636 · wf-form4_162574556754918.xml · derivative · entry 5

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,186

Underlying: Common Stock · 15,814 shares

Expires 2026-10-10

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: 2007 Equity Incentive Plan.

F3 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001628280-21-013636 · wf-form4_162574556754918.xml · nonDerivative · entry 4

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,840

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $136.11 to $136.46, inclusive. The reporting person undertakes to provide to Copart, Inc., any security holder of Copart, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

SEC source: 0001628280-21-013636 · wf-form4_162574556754918.xml · nonDerivative · entry 3

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,654

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: 0001628280-21-013636 · wf-form4_162574556754918.xml · nonDerivative · entry 2

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,334

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: 0001628280-21-013636 · wf-form4_162574556754918.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,814

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: 0001628280-21-013626 · wf-form4_162570037149548.xml · derivative · entry 6

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,320

Underlying: Common Stock · 7,346 shares

Expires 2026-01-04

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: 2007 Equity Incentive Plan.

F3 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001628280-21-013626 · wf-form4_162570037149548.xml · derivative · entry 5

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 40,000 shares

Expires 2026-10-10

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: 2007 Equity Incentive Plan.

F3 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001628280-21-013626 · wf-form4_162570037149548.xml · nonDerivative · entry 4

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.12 to $135.65, inclusive. The reporting person undertakes to provide to Copart, Inc., any security holder of Copart, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

SEC source: 0001628280-21-013626 · wf-form4_162570037149548.xml · nonDerivative · entry 3

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,346

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: 0001628280-21-013626 · wf-form4_162570037149548.xml · nonDerivative · entry 2

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

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: 0001628280-21-013626 · wf-form4_162570037149548.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-21-038995 · doc4.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,230

F1 · security: Restricted stock units granted under the Issuer's Amended and Restated Armstrong Flooring, Inc. 2016 Directors Stock Unit Plan and as part of the Issuer's Nonemployee Director Compensation Program. Each unit represents the Reporting Person's right to receive one share of the Issuer's Common Stock. The units vest (contingent upon the Director's continued service as of such date) on the earlier of (i) the date of the next annual stockholders meeting; (ii) the death or total and permanent disability of the Director; or (iii) the date of any Change in Control Event (as defined in the Plan). Vested units will be acquirable by the Director, at the election of the Director: (i) on the date of the next annual stockholders meeting or (ii) at the time of the Director's separation from service.

F1 · shares: Restricted stock units granted under the Issuer's Amended and Restated Armstrong Flooring, Inc. 2016 Directors Stock Unit Plan and as part of the Issuer's Nonemployee Director Compensation Program. Each unit represents the Reporting Person's right to receive one share of the Issuer's Common Stock. The units vest (contingent upon the Director's continued service as of such date) on the earlier of (i) the date of the next annual stockholders meeting; (ii) the death or total and permanent disability of the Director; or (iii) the date of any Change in Control Event (as defined in the Plan). Vested units will be acquirable by the Director, at the election of the Director: (i) on the date of the next annual stockholders meeting or (ii) at the time of the Director's separation from service.

F2 · balance_after: Includes 63,605 vested units that are not yet acquirable by the Director per prior deferral elections by the Director under the terms of the Amended and Restated Armstrong Flooring, Inc. 2016 Directors Stock Unit Plan. Also includes 17,396 shares of the Issuer's Common Stock held by the Director.

SEC source: 0001628280-21-004558 · wf-form4_161549805426371.xml · derivative · entry 1

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2031-03-09

F1 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary. Separate and apart from the time-based vesting schedule, the options are also subject to performance based vesting, such that no options will be exercisable unless and until the stock price in trading of Copart, Inc. on the NASDAQ Global Select Market is greater than or equal to $132.89 per share (which is an amount equivalent to 125% of the exercise price of the option) at the time of exercise.

SEC source: 0001628280-21-004509 · wf-form4_161548826089505.xml · derivative · entry 1

Liaw Jeffrey · CIK 0001429516 · President & CEO North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2031-03-09

F1 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001628280-20-009963 · wf-form4_159319363607644.xml · derivative · entry 5

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,000

Underlying: Common Stock · 36,000 shares

Expires 2026-10-10

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: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vested on the first anniversary of the date of grant and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001628280-20-009963 · wf-form4_159319363607644.xml · derivative · entry 4

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,666

Underlying: Common Stock · 58,334 shares

Expires 2026-01-04

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: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vested on the first anniversary of the date of grant and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001628280-20-009963 · wf-form4_159319363607644.xml · nonDerivative · entry 3

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.7090 to $81.55, inclusive. The reporting person undertakes to provide to Copart, Inc., any security holder of Copart, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

SEC source: 0001628280-20-009963 · wf-form4_159319363607644.xml · nonDerivative · entry 2

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,334

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: 0001628280-20-009963 · wf-form4_159319363607644.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,334

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: 0001628280-20-009947 · wf-form4_159318490835361.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-20-035452 · doc4.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,001

F1 · security: Restricted stock units granted under the Issuer's 2016 Directors Stock Unit Plan and as part of the Issuer's nonemployee Director Compensation Program. Each unit represents the Reporting Person's right to receive one share of the Issuer's Common Stock. The units vest (contingent upon the Director's continued service as of such date) on the earlier of (i) the date of the next annual stockholders meeting; (ii) the death or total and permanent disability of the Director; or (iii) the date of any Change in Control Event (as defined in the Plan). Vested units will be acquirable by the Director, at the election of the Director: (i) on the date of the next annual stockholders meeting or (ii) at the time of the Director's separation from service.

F1 · shares: Restricted stock units granted under the Issuer's 2016 Directors Stock Unit Plan and as part of the Issuer's nonemployee Director Compensation Program. Each unit represents the Reporting Person's right to receive one share of the Issuer's Common Stock. The units vest (contingent upon the Director's continued service as of such date) on the earlier of (i) the date of the next annual stockholders meeting; (ii) the death or total and permanent disability of the Director; or (iii) the date of any Change in Control Event (as defined in the Plan). Vested units will be acquirable by the Director, at the election of the Director: (i) on the date of the next annual stockholders meeting or (ii) at the time of the Director's separation from service.

F2 · balance_after: Includes 37,355 vested units that are not yet acquirable by the Director per prior elections by the Director. Also includes 17,396 shares of the Issuer's Common Stock held by the Director.

SEC source: 0001209191-19-035015 · doc4.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,751

F1 · security: Restricted stock units granted under the Issuer's 2016 Directors Stock Unit Plan and as part of the Issuer's nonemployee Director Compensation Program. Each unit represents the Reporting Person's right to receive one share of the Issuer's common shares. The units vest (contingent upon the Director's continued service as of such date) on the earlier of (i) the date of the next annual stockholders meeting; (ii) the death or total and permanent disability of the Director; or (iii) the date of any Change in Control Event (as defined in the Plan). Vested units will be acquirable by the Director, at the election of the Director: (i) on the date of the next annual stockholders meeting or (ii) at the time of the Director's separation from service.

F2 · shares: Represents an annual grant of restricted stock units as the equity portion of the Director's retainer for Board service under the Issuer's nonemployee Director Compensation Program. The grant date fair value of the units is calculated under the Financial Accounting Standards Board's Accounting Standards Codification Topic 718 using the closing stock price of the Issuer's common shares on June 5, 2019, the first business day following the annual stockholders meeting, which price was $11.05.

F3 · balance_after: Includes vested and unvested units as well as units not yet acquirable by the Director. Under the terms of the Issuer's 2016 Directors Stock Unit Plan, vested units under the Plan are not acquirable by the Director until, at the election of the Director: (i) the date of the next annual stockholders meeting or (ii) the time of the Director's separation from service. Also includes 7,894 of the Issuer's common shares held by the Director.

SEC source: 0001628280-19-002788 · wf-form4_155235165994235.xml · derivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-03-07

F1 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vested on the first anniversary of the date of grant and the balance vested on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0000900075-18-000035 · wf-form4_152951223279896.xml · derivative · entry 3

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 30,000 shares

Expires 2026-01-04

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

F3 · derivative.exercise_price: This option was previously reported as an option for 50,000 shares of common stock at an exercise price of $37.67 per share, but was adjusted to reflect the stock dividend declared by Copart on April 3, 2017.

F4 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0000900075-18-000035 · wf-form4_152951223279896.xml · nonDerivative · entry 2

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,346

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $58.33 to $58.59, inclusive. The reporting person undertakes to provide to Copart, Inc., any security holder of Copart, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

SEC source: 0000900075-18-000035 · wf-form4_152951223279896.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,346

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 · balance_after: Includes 392 shares of Common Stock acquired under the Company's 1994 Employee Stock Purchase Plan on December 31, 2017.

SEC source: 0001209191-18-036075 · doc4.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,249

F1 · security: Restricted stock units granted under the Issuer's 2016 Directors Stock Unit Plan and as part of the Issuer's nonemployee Director Compensation Program. The units vest (contingent upon the Director's continued service as of such date) on the earlier of (i) the date of the next annual stockholders meeting; (ii) the death or total and permanent disability of the Director; or (iii) the date of any Change in Control Event (as defined in the Plan). Vested units will be acquirable by the Director, at the election of the Director: (i) on the date of the next annual stockholders meeting or (ii) at the time of the Director's separation from service.

F2 · shares: Represents an annual grant of restricted stock units as the equity portion of the Director's retainer for Board service under the Issuer's nonemployee Director Compensation Program. The grant date fair value of the units is calculated under the Financial Accounting Standards Board's Accounting Standards Codification Topic 718 using the closing stock price of the Issuer's common shares on June 4, 2018, the first business day following the annual stockholders meeting, which price was $13.30.

F3 · balance_after: Includes units that have vested but are not yet acquirable until the Director's separation from service which were granted under the director compensation program of Armstrong World Industries, Inc. ("AWI") prior to the Issuer's separation from AWI ("AWI Units"). The AWI Units are vested but are not acquirable by the Director until the time of separation from service. Also includes vested and unvested units granted under the terms of the Issuer's 2016 Directors Stock Unit Plan. Vested units under the Plan are not acquirable by the Director until, at the election of the Director: (i) the next annual stockholders meeting or (ii) the time of the Director's separation from service.

SEC source: 0000900075-17-000053 · wf-form4_150732077962356.xml · derivative · entry 2

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-10-04

F2 · derivative.exercise_date: 2007 Equity Incentive Plan. Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.

SEC source: 0001209191-17-038289 · doc4.xml · nonDerivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,355

F1 · shares: Consists of unvested units granted on June 5, 2017 under the terms of the 2016 Directors Stock Unit Plan. The units vest (contingent upon the Director's continued service as of such date) on the earlier of (i) the next annual stockholders meeting following the grant (ii) the death or total and permanent disability of the Director, or (iii) the date of any Change in Control (as defined in the Plan). Shares will be issued for vested units within 60 days of (x) the vesting date, or (y) a later deferral date if deferred by the Director under the terms of the Plan.

F1 · balance_after: Consists of unvested units granted on June 5, 2017 under the terms of the 2016 Directors Stock Unit Plan. The units vest (contingent upon the Director's continued service as of such date) on the earlier of (i) the next annual stockholders meeting following the grant (ii) the death or total and permanent disability of the Director, or (iii) the date of any Change in Control (as defined in the Plan). Shares will be issued for vested units within 60 days of (x) the vesting date, or (y) a later deferral date if deferred by the Director under the terms of the Plan.

SEC source: 0000900075-16-000096 · wf-form4_147742825462341.xml · derivative · entry 1

Liaw Jeffrey · CIK 0001429516 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-10-10

F1 · security: 2007 Equity Incentive Plan

F2 · derivative.exercise_date: Twenty percent (20%) of the options vest on the first anniversary of the grant date and the balance vests on a monthly basis over the 48 months succeeding such first anniversary.