STERTZER SIMON H

SEC source: 0001437749-26-022970 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,573

Underlying: Common stock · 8,000 shares

Expires 2036-07-06

F1 · derivative.exercise_date: One hundred percent of the shares are subject to the option vesting and becoming exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-26-021597 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,338

F2 · shares: This transaction was executed in multiple trades ranging from $1.00 to $1.01 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price.

F2 · price: This transaction was executed in multiple trades ranging from $1.00 to $1.01 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price.

SEC source: 0001437749-26-021597 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,338

F1 · shares: This transaction was executed in multiple trades ranging from $0.90 to $0.97 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price.

F1 · price: This transaction was executed in multiple trades ranging from $0.90 to $0.97 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price.

SEC source: 0001437749-25-037469 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,573

Underlying: Common Stock · 12,000 shares

Expires 2035-12-08

F1 · derivative.exercise_date: One hundred percent of the shares are subject to the option vesting and becoming exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-25-029653 · rdgdoc.xml · derivative · entry 6

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 575,675

Underlying: Common Stock · 398,400 shares

Expires 2027-09-20

F1 · shares: These shares were purchased from the Issuer in a public offering that closed on September 19, 2025, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F1 · price: These shares were purchased from the Issuer in a public offering that closed on September 19, 2025, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F1 · derivative.underlying_shares: These shares were purchased from the Issuer in a public offering that closed on September 19, 2025, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F2 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-25-029653 · rdgdoc.xml · nonDerivative · entry 3

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 591,054

F1 · shares: These shares were purchased from the Issuer in a public offering that closed on September 19, 2025, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F3 · ownership.nature: These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-25-022063 · rdgdoc.xml · derivative · entry 6

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 177,275

Underlying: Common Stock · 72,289 shares

Expires 2030-06-30

F1 · shares: On June 30, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F1 · price: On June 30, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F1 · derivative.underlying_shares: On June 30, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F2 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-25-022063 · rdgdoc.xml · nonDerivative · entry 3

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 192,654

F1 · shares: On June 30, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F3 · ownership.nature: These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-25-013197 · rdgdoc.xml · derivative · entry 6

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See note

Disclosed balance after: 104,986

Underlying: Common Stock · 104,986 shares

Expires 2030-04-23

F1 · shares: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F1 · price: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F1 · derivative.underlying_shares: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

SEC source: 0001437749-25-013197 · rdgdoc.xml · nonDerivative · entry 3

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 120,365

F1 · shares: On April 23, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.

F3 · ownership.nature: These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-25-006561 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,138

SEC source: 0001437749-25-006221 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,138

F2 · price: This transaction was executed in multiple trades ranging from $2.34 to $2.50 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price.

SEC source: 0001437749-25-006221 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,602

F1 · price: This transaction was executed in multiple trades ranging from $2.13 to $2.50 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price.

SEC source: 0001437749-24-031407 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,573

Underlying: Common stock · 829 shares

Expires 2034-10-11

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-23-028619 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,510

Underlying: Common stock · 12,434 shares

Expires 2033-10-18

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-23-018549 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,766

F1 · shares: These shares were purchased from the Issuer in a registered direct offering that closed on June 23, 2023.

SEC source: 0001437749-22-029315 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 888,084

F1 · shares: These shares were purchased from the Issuer in a private placement that closed on December 16, 2022.

F2 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-22-023322 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,076

Underlying: Common stock · 12,434 shares

Expires 2032-06-10

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant.

SEC source: 0001437749-21-014882 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,642

Underlying: Common stock · 12,434 shares

Expires 2031-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one-year anniversary of the date of grant.

SEC source: 0001437749-21-008503 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,554

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

SEC source: 0001437749-21-000196 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,250

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

SEC source: 0001437749-21-000196 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,282

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted December 31, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

SEC source: 0001437749-20-021021 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,482

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted September 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

SEC source: 0001437749-20-014383 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,514

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted June 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

SEC source: 0001437749-20-013717 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,983

F1 · shares: These shares were purchased from the underwriters in a firm-commitment underwritten public offering of shares of the Issuer's common stock that closed on June 19, 2020.

SEC source: 0001437749-20-011486 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,133

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted May 8, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (1) the two (2) year anniversary of the grant date; (3) the Reporting Person's separation from service; (3) a change in control, as defined in the Issuer's 2016 Equity Incentive Plan; or (4) the Reporting Person's death.

SEC source: 0001437749-20-009334 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,739

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted April 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

SEC source: 0001437749-20-009334 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,208

F1 · shares: The award relates to vested restricted stock units ("RSUs") granted April 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

SEC source: 0001437749-19-015681 · rdgdoc.xml · derivative · entry 10

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 234,150

Underlying: Common Stock · 67,484 shares

Expires 2024-08-06

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

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

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

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-19-015681 · rdgdoc.xml · derivative · entry 9

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 67,484 shares

Expires 2020-06-05

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

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

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

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

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-19-015681 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 709,513

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

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

F2 · balance_after: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-19-015681 · rdgdoc.xml · derivative · entry 8

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 166,666

Underlying: Common Stock · 166,666 shares

Expires 2024-08-06

F3 · shares: The reported securities were included within 166,666 units purchased by the Stertzer Family Trust for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.

F3 · price: The reported securities were included within 166,666 units purchased by the Stertzer Family Trust for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-19-015681 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 642,029

F3 · shares: The reported securities were included within 166,666 units purchased by the Stertzer Family Trust for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-20-011485 · rdgdoc.xml · derivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 41,667

Underlying: Common Stock · 41,667 shares

Expires 2024-08-06

F1 · shares: The original Form 4 omitted the issuance of these securities.

F2 · price: The reported securities were included within 41,667 units purchased by Stertzer Holdings LLC for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.

F3 · ownership.nature: These securities are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such securities.

SEC source: 0001437749-20-011485 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 91,544

F1 · shares: The original Form 4 omitted the issuance of these securities.

F2 · shares: The reported securities were included within 41,667 units purchased by Stertzer Holdings LLC for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.

F3 · ownership.nature: These securities are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such securities.

SEC source: 0001437749-19-017337 · rdgdoc.xml · derivative · entry 7

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,594 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

F4 · derivative.expiration_date: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.

SEC source: 0001437749-19-017337 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,594

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

F1 · kind: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F2 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-19-015681 · rdgdoc.xml · derivative · entry 7

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: Not disclosed

Underlying: Common Stock · 25,000 shares

Expires 2020-06-05

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

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

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

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-022658 · rdgdoc.xml · derivative · entry 7

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 833,333

Underlying: Common Stock · 833,333 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-18-022658 · rdgdoc.xml · derivative · entry 6

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 833,333

Underlying: Common Stock · 833,333 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-022658 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,076,346

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-18-022658 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,283,275

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-022644 · rdgdoc.xml · derivative · entry 7

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 833,333

Underlying: Common Stock · 833,333 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-18-022644 · rdgdoc.xml · derivative · entry 6

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 833,333

Underlying: Common Stock · 833,333 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-022644 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,076,346

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-18-022644 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,283,275

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-19-000286 · rdgdoc.xml · derivative · entry 7

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 833,333

Underlying: Common Stock · 833,333 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-19-000286 · rdgdoc.xml · derivative · entry 6

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 833,333

Underlying: Common Stock · 833,333 shares

Expires 2023-12-24

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares

SEC source: 0001437749-19-000286 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,076,346

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F3 · ownership.nature: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

SEC source: 0001437749-19-000286 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,278,274

F1 · shares: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2 · balance_after: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares

F2 · ownership.nature: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares