Richards Timothy T.

SEC source: 0001193125-26-412434 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,863

F1 · price: These shares were issued pursuant to the issuer's Seventh Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at September 30, 2026.

SEC source: 0001193125-26-296614 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,544

F1 · price: These shares were issued pursuant to the issuer's Seventh Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at June 30, 2026.

SEC source: 0001193125-26-261835 · ownership.xml · derivative · entry 3

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500 shares

Expires 2026-06-08

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: This option was previously reported as covering 20,000 shares at an exercise price of $0.25 per share, but was adjusted to reflect the stock split that occurred on July 27, 2016.

F1 · derivative.underlying_shares: This option was previously reported as covering 20,000 shares at an exercise price of $0.25 per share, but was adjusted to reflect the stock split that occurred on July 27, 2016.

SEC source: 0001193125-26-261835 · ownership.xml · nonDerivative · entry 2

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,322

SEC source: 0001193125-26-261835 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,698

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: 0001193125-26-253602 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,198

F1 · kind: This sale of shares was made to cover the tax liability incident to the vesting of 12,417 shares on May 19, 2026 under a restricted stock unit granted to the director on May 22, 2025.

F2 · price: Represents a weighted average sales price per share. The shares were sold at prices ranging from $12.04 to $12.47. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001193125-26-239441 · ownership.xml · derivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,820

Underlying: Common Stock · 12,820 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CLPT common stock.

F2 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2027 annual meeting of stockholders.

F2 · derivative.expiration_date: The restricted stock units vest on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2027 annual meeting of stockholders.

SEC source: 0001193125-26-234570 · ownership.xml · derivative · entry 2

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,417 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.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 22, 2025, the reporting person was granted 12,417 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2026 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 22, 2025, the reporting person was granted 12,417 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2026 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 22, 2025, the reporting person was granted 12,417 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2026 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 22, 2025, the reporting person was granted 12,417 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2026 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001193125-26-234570 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,613

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 · price: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 22, 2025, the reporting person was granted 12,417 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2026 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001193125-26-139777 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,196

F1 · price: These shares were issued pursuant to the issuer's Sixth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at March 31, 2026.

SEC source: 0001193125-26-002935 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,754

F1 · price: These shares were issued pursuant to the issuer's Sixth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at December 31, 2025.

SEC source: 0001193125-25-228824 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,870

F1 · price: These shares were issued pursuant to the issuer's Sixth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at September 30, 2025.

SEC source: 0000950170-25-093154 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,315

F1 · price: These shares were issued pursuant to the issuer's Sixth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at June 30, 2025.

SEC source: 0000950170-25-085714 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,381

F1 · kind: This sale of shares was made to cover the tax liability incident to the vesting of 21,903 shares on May 16, 2025 under a restricted stock unit granted to the director on May 16, 2024.

F2 · price: Represents a weighted average sales price per share. The shares were sold at prices ranging from $13.27 to $13.31. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0000950170-25-077157 · ownership.xml · derivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,417

Underlying: Common Stock · 12,417 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock.

F2 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2026 annual meeting of stockholders.

F2 · derivative.expiration_date: The restricted stock units vest on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2026 annual meeting of stockholders.

SEC source: 0000950170-25-074420 · ownership.xml · derivative · entry 2

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,093 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.

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 16, 2024, the reporting person was granted 21,093 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2025 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 16, 2024, the reporting person was granted 21,093 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2025 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 16, 2024, the reporting person was granted 21,093 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2025 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 16, 2024, the reporting person was granted 21,093 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2025 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0000950170-25-074420 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,381

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 · price: Each restricted stock unit represents a contingent right to receive one share of ClearPoint Neuro, Inc. ("CLPT") common stock. On May 16, 2024, the reporting person was granted 21,093 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2025 annual meeting of stockholders. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0000950170-25-049820 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,288

F1 · price: These shares were issued pursuant to the issuer's Fifth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at March 31, 2025.

SEC source: 0000950170-25-001304 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,350

F1 · price: These shares were issued pursuant to the issuer's Fifth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at December 31, 2024.

SEC source: 0001285550-24-000114 · wk-form4_1727900554.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,625

F1 · price: These shares were issued pursuant to the issuer's Fifth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at September 30, 2024.

SEC source: 0001285550-24-000084 · wk-form4_1719955190.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,630

F1 · price: These shares were issued pursuant to the issuer's Fifth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at June 28, 2024.

SEC source: 0001285550-24-000067 · wk-form4_1715977372.xml · derivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,093

Underlying: Common Stock · 21,093 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CLPT common stock.

F2 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2025 annual meeting of stockholders.

F2 · derivative.expiration_date: The restricted stock units vest on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2025 annual meeting of stockholders.

SEC source: 0001285550-24-000053 · wk-form4_1715779003.xml · derivative · entry 2

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,153 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.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On May 25, 2023, the reporting person was granted 17,153 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2024 annual meeting of stockholders.

F2 · derivative.expiration_date: On May 25, 2023, the reporting person was granted 17,153 restricted stock units, vesting on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2024 annual meeting of stockholders.

SEC source: 0001285550-24-000053 · wk-form4_1715779003.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,561

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001285550-24-000040 · wk-form4_1712090489.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,408

F1 · price: These shares were issued pursuant to the issuer's Fourth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at March 28, 2024.

SEC source: 0001285550-24-000006 · wk-form4_1704301034.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,768

F1 · price: These shares were issued pursuant to the issuer's Fourth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at December 29, 2023.

SEC source: 0001285550-23-000106 · wf-form4_169635129528956.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,125

F1 · price: These shares were issued pursuant to the issuer's Fourth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at September 30, 2023.

SEC source: 0001285550-23-000079 · wf-form4_168859356652618.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,899

F1 · price: These shares were issued pursuant to the issuer's Fourth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at June 30, 2023.

SEC source: 0001285550-23-000063 · wf-form4_168512468308665.xml · derivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,153

Underlying: Common Stock · 17,153 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CLPT common stock.

F2 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2024 annual meeting of stockholders.

F2 · derivative.expiration_date: The restricted stock units vest on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2024 annual meeting of stockholders.

SEC source: 0001285550-23-000039 · wf-form4_168064184614156.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,359

F1 · price: These shares were issued pursuant to the issuer's Fourth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at the closing price of the issuer's common stock at March 31, 2023.

SEC source: 0001285550-23-000008 · wf-form4_167287314329964.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,038

F1 · price: These shares were issued pursuant to the issuer's Fourth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $7.97 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ending December 30, 2022.

SEC source: 0001285550-22-000064 · wf-form4_166492186503764.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,639

F1 · price: These shares were issued pursuant to the issuer's Fourth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $10.19 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ending September 30, 2022.

SEC source: 0001285550-22-000030 · wf-form4_165713266139806.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,545

F1 · price: These shares were issued pursuant to the issuer's Fourth Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $12.63 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ending June 30, 2022.

SEC source: 0001420506-22-001136 · doc4_1014.xml · derivative · entry 2

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,179

Underlying: Common Stock · 6,179 shares

Expires 2032-05-25

F2 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2023 annual meeting of stockholders.

SEC source: 0001420506-22-001136 · doc4_1014.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,662

F1 · price: The shares are restricted stock and will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2023 annual meeting of stockholders.

SEC source: 0001171520-22-000239 · eps10158.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,393

F1 · price: These shares were issued pursuant to the issuer's Third Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $9.96 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2022.

SEC source: 0001171520-22-000014 · doc4_989.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,273

F1 · price: These shares were issued pursuant to the issuer's Third Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $11.54 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2021.

SEC source: 0001420506-21-001359 · doc4_969.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,629

F1 · price: These shares were issued pursuant to the issuer's Third Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $17.92 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended October 1, 2021.

SEC source: 0001420506-21-000844 · doc4_936.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,215

F1 · price: These shares were issued pursuant to the issuer's Third Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $20.26 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2021.

SEC source: 0001171520-21-000264 · ownership.xml · derivative · entry 2

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,006

Underlying: Common Stock · 6,006 shares

Expires 2031-06-25

F2 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2022 annual meeting of stockholders.

SEC source: 0001171520-21-000264 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,924

F1 · shares: The shares are restricted stock and will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2022 annual meeting of stockholders.

SEC source: 0001420506-21-000379 · doc4_921.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,921

F1 · price: These shares were issued pursuant to the issuer's Third Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $19.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2021.

SEC source: 0001420506-21-000009 · doc4_893.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,615

F1 · price: These shares were issued pursuant to the issuer's Third Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $15.00 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2020.

SEC source: 0001420506-20-001034 · doc4_860.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,216

F1 · price: These shares were issued pursuant to the issuer's Third Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $5.71 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2020.

SEC source: 0001171520-20-000287 · doc4_815.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,165

F1 · price: These shares were issued pursuant to the issuer's Third Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.55 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 30, 2020.

SEC source: 0001420506-20-000693 · doc4_809.xml · derivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-03

F1 · derivative.exercise_date: The shares subject to this option will vest in full on the earlier of (i) the first anniversary of the grant date, or (ii) the day immediately preceding the Company's 2021 annual meeting of stockholders.

SEC source: 0001420506-20-000353 · doc4_796.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,478

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.57 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended March 31, 2020.

SEC source: 0001420506-20-000008 · doc4_781.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,798

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $4.96 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended December 31, 2019.

SEC source: 0001534424-19-000273 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,193

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $5.15 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended September 30, 2019.

SEC source: 0001534424-19-000199 · ownership.xml · nonDerivative · entry 1

Richards Timothy T. · CIK 0001601831 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,611

F1 · price: These shares were issued pursuant to the issuer's Second Amended and Restated 2013 Incentive Compensation Plan, in payment of fees owed to the reporting person under the issuer's Non-Employee Director Compensation Plan, as amended and restated. The shares were issued at a price of $3.17 per share, representing the volume-weighted average price of the issuer's common stock for the five-trading day period ended June 28, 2019.