Faubert Peter R.

SEC source: 0001193125-26-294769 · ownership.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,448

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: 0001193125-26-072336 · ownership.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,059

Underlying: Common Stock · 42,059 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 21,029 shares on June 30, 2026, and 21,030 shares on December 31, 2026 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 21,029 shares on June 30, 2026, and 21,030 shares on December 31, 2026 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0001193125-26-002691 · ownership.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,419

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: 0000950170-25-093241 · ownership.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,425

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: 0000950170-25-038100 · ownership.xml · nonDerivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,432

SEC source: 0000950170-25-038100 · ownership.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,432

SEC source: 0000950170-25-034915 · ownership.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,987

Underlying: Common Stock · 47,987 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 23,992 shares on June 30, 2025, and 23,993 shares on December 31, 2025 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 23,992 shares on June 30, 2025, and 23,993 shares on December 31, 2025 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0000950170-25-001149 · ownership.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,298

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: 0000950170-24-081560 · ownership.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,160

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

SEC source: 0001209191-24-004762 · doc4.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,275

Underlying: Common Stock · 26,275 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 13,137 shares on June 30, 2024, and 13,138 shares on December 31, 2024 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under 2023 Equity and Incentive Plan of Aware, Inc. The shares will be issued as follows; 13,137 shares on June 30, 2024, and 13,138 shares on December 31, 2024 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0001209191-24-000498 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,023

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

SEC source: 0001209191-23-041305 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,964

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

SEC source: 0001209191-23-018964 · doc4.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,117

Underlying: Common Stock · 30,117 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 15,058 shares on June 30, 2023, and 15,059 shares on December 31, 2023 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 15,058 shares on June 30, 2023, and 15,059 shares on December 31, 2023 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0001209191-23-001992 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,906

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

SEC source: 0001209191-22-041127 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,002

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

SEC source: 0001209191-22-015878 · doc4.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,807

Underlying: Common Stock · 13,807 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 6,903 shares on June 30, 2022, and 6,904 shares on December 31, 2022 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 6,903 shares on June 30, 2022, and 6,904 shares on December 31, 2022 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0001209191-22-001921 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,099

SEC source: 0001104659-21-120241 · tm2128583-4_4seq1.xml · derivative · entry 1

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Class A Common Stock · 500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A common stock. The RSUs have no expiration date.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Class A common stock. The RSUs have no expiration date.

SEC source: 0001104659-21-094072 · tm2122604-22_4seq1.xml · derivative · entry 3

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,311

Underlying: Class A Common Stock · 144,311 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of the Issuer's Class A common stock. Pursuant to an "Earn Out" provision in the Merger Agreement, the performance rights vest upon the Issuer's Class A Common stock achieving a specified price per share as follows: (i) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $12.50 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026; (ii) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $15.00 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026; and (iii) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $17.50 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026.

F1 · shares: The Reporting Person acquired these securities on July 16, 2021 as consideration and in exchange for the Reporting Person's holdings in Evolv Technologies, Inc. ("OldEvolv") pursuant to an Agreement and Plan of Merger dated March 5, 2021, by and among Old Evolv, NewHold Investments Corp. (the predecessor to Issuer) and NHIC Sub Inc., as amended by that certain First Amendment to Agreement and Plan of Merger dated June 5, 2021 (as so amended, the "Merger Agreement").

F4 · price: Each performance right represents a contingent right to receive one share of the Issuer's Class A common stock. Pursuant to an "Earn Out" provision in the Merger Agreement, the performance rights vest upon the Issuer's Class A Common stock achieving a specified price per share as follows: (i) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $12.50 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026; (ii) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $15.00 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026; and (iii) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $17.50 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026.

F4 · derivative.exercise_date: Each performance right represents a contingent right to receive one share of the Issuer's Class A common stock. Pursuant to an "Earn Out" provision in the Merger Agreement, the performance rights vest upon the Issuer's Class A Common stock achieving a specified price per share as follows: (i) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $12.50 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026; (ii) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $15.00 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026; and (iii) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $17.50 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026.

F4 · derivative.expiration_date: Each performance right represents a contingent right to receive one share of the Issuer's Class A common stock. Pursuant to an "Earn Out" provision in the Merger Agreement, the performance rights vest upon the Issuer's Class A Common stock achieving a specified price per share as follows: (i) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $12.50 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026; (ii) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $15.00 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026; and (iii) 1/3 of the shares shall be issued if the closing sale price of Class A common stock equals or exceeds $17.50 per share for any period of 20 trading days out of 30 consecutive trading days prior to March 5, 2026.

SEC source: 0001104659-21-094072 · tm2122604-22_4seq1.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,168

Underlying: Class A Common Stock · 14,168 shares

Expires 2030-08-16

F1 · shares: The Reporting Person acquired these securities on July 16, 2021 as consideration and in exchange for the Reporting Person's holdings in Evolv Technologies, Inc. ("OldEvolv") pursuant to an Agreement and Plan of Merger dated March 5, 2021, by and among Old Evolv, NewHold Investments Corp. (the predecessor to Issuer) and NHIC Sub Inc., as amended by that certain First Amendment to Agreement and Plan of Merger dated June 5, 2021 (as so amended, the "Merger Agreement").

F1 · price: The Reporting Person acquired these securities on July 16, 2021 as consideration and in exchange for the Reporting Person's holdings in Evolv Technologies, Inc. ("OldEvolv") pursuant to an Agreement and Plan of Merger dated March 5, 2021, by and among Old Evolv, NewHold Investments Corp. (the predecessor to Issuer) and NHIC Sub Inc., as amended by that certain First Amendment to Agreement and Plan of Merger dated June 5, 2021 (as so amended, the "Merger Agreement").

F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the shares on June 3, 2021 and in 36 equal monthly installments thereafter.

SEC source: 0001104659-21-094072 · tm2122604-22_4seq1.xml · derivative · entry 1

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,231,885

Underlying: Class A Common Stock · 1,231,885 shares

Expires 2030-08-16

F1 · shares: The Reporting Person acquired these securities on July 16, 2021 as consideration and in exchange for the Reporting Person's holdings in Evolv Technologies, Inc. ("OldEvolv") pursuant to an Agreement and Plan of Merger dated March 5, 2021, by and among Old Evolv, NewHold Investments Corp. (the predecessor to Issuer) and NHIC Sub Inc., as amended by that certain First Amendment to Agreement and Plan of Merger dated June 5, 2021 (as so amended, the "Merger Agreement").

F1 · price: The Reporting Person acquired these securities on July 16, 2021 as consideration and in exchange for the Reporting Person's holdings in Evolv Technologies, Inc. ("OldEvolv") pursuant to an Agreement and Plan of Merger dated March 5, 2021, by and among Old Evolv, NewHold Investments Corp. (the predecessor to Issuer) and NHIC Sub Inc., as amended by that certain First Amendment to Agreement and Plan of Merger dated June 5, 2021 (as so amended, the "Merger Agreement").

F2 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the shares on October 14, 2020 and in 36 equal monthly installments thereafter.

SEC source: 0001209191-21-044996 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,549

SEC source: 0001209191-21-014766 · doc4.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,099

Underlying: Common Stock · 11,099 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under the Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows: 5,549 shares on June 30, 2021, and 5,550 shares on December 31, 2021, provided, in each case, that the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on the applicable date.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under the Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows: 5,549 shares on June 30, 2021, and 5,550 shares on December 31, 2021, provided, in each case, that the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on the applicable date.

SEC source: 0001104659-21-000444 · tm211536d6_4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001104659-20-080631 · tm2024027d6_4.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 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_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

F1 · derivative.expiration_date: Unrestricted stock award awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The remainder of the unrestricted stock award will vest and unrestricted shares of Aware, Inc. common stock will be issued to the reporting person on December 31, 2020, provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said date.

SEC source: 0001104659-20-080631 · tm2024027d6_4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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: 0001104659-20-040929 · tm2014275d3_4.xml · derivative · entry 1

Faubert Peter R. · CIK 0001679086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 5,000 shares on June 30, 2020, and 5,000 shares on December 31, 2020 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

F1 · derivative.expiration_date: Shares of unrestricted stock awarded to reporting person under Aware, Inc. 2001 Nonqualified Stock Plan. The shares will be issued as follows; 5,000 shares on June 30, 2020, and 5,000 shares on December 31, 2020 provided the reporting person is serving as a director, officer or employee of the Company or any subsidiary of the Company on said dates.

SEC source: 0001209191-19-039350 · doc4.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-25

SEC source: 0001209191-19-007015 · doc4.xml · nonDerivative · entry 3

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,952

F3 · price: $1.51136 is the weighted average share price for the purchase of these shares. The actual prices of the shares purchased ranged from $1.51 to $1.5392. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within this range.

SEC source: 0001209191-19-007015 · doc4.xml · nonDerivative · entry 2

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,141

F2 · price: $1.51266 is the weighted average share price for the purchase of these shares. The actual prices of the shares purchased ranged from $1.51 to $1.5667. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within this range.

SEC source: 0001209191-19-007015 · doc4.xml · derivative · entry 5

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-01-31

F5 · derivative.exercise_date: One third of the stock options will vest annually on January 31, 2020, January 31, 2021 and January 31, 2022.

SEC source: 0001209191-19-007015 · doc4.xml · derivative · entry 4

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2022-01-31

F4 · derivative.exercise_price: Each performance right represents a contingent right to receive 1 share of SeaChange common stock. The performance rights vest pursuant to the terms of the applicable Performance Stock Unit Agreement based on the Registrant achieving certain overall Registrant financial objectives for fiscal 2020, 2021 and 2022 related to total revenue and non-GAAP operating income in fiscal 2020 and to be determined in fiscal 2021 and 2022.

F4 · derivative.exercise_date: Each performance right represents a contingent right to receive 1 share of SeaChange common stock. The performance rights vest pursuant to the terms of the applicable Performance Stock Unit Agreement based on the Registrant achieving certain overall Registrant financial objectives for fiscal 2020, 2021 and 2022 related to total revenue and non-GAAP operating income in fiscal 2020 and to be determined in fiscal 2021 and 2022.

SEC source: 0001209191-19-007015 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,703

F1 · shares: The securities awarded on January 31, 2019 are in the form of restricted stock units (RSUs) issued pursuant to the SeaChange International, Inc. Second Amended and Restated 2011 Compensation and Incentive Plan (the "2011 Plan") that entitle the reporting person to receive one (1) share of common stock per RSU. The RSUs will vest at the rate of 33.33% on each of the first and second anniversary of January 31, 2019 with the balance to be vested on the third anniversary of January 31, 2019.

SEC source: 0001209191-18-006948 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,703

SEC source: 0001209191-18-006948 · doc4.xml · derivative · entry 4

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-01-31

F3 · derivative.exercise_date: One third of the stock options will vest annually on January 31, 2019, January 31, 2020 and January 31, 2021.

SEC source: 0001209191-18-006948 · doc4.xml · derivative · entry 3

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2021-01-31

F2 · derivative.exercise_price: Each performance right represents a contingent right to receive 1 share of SeaChange common stock. The performance rights vest pursuant to the terms of the applicable Performance Stock Unit Agreement based on the Registrant achieving certain overall Registrant financial objectives for fiscal 2019, 2020 and 2021 related to total revenue and non-GAAP operating income in fiscal 2019 and to be determined in fiscal 2020 and 2021.

F2 · derivative.exercise_date: Each performance right represents a contingent right to receive 1 share of SeaChange common stock. The performance rights vest pursuant to the terms of the applicable Performance Stock Unit Agreement based on the Registrant achieving certain overall Registrant financial objectives for fiscal 2019, 2020 and 2021 related to total revenue and non-GAAP operating income in fiscal 2019 and to be determined in fiscal 2020 and 2021.

SEC source: 0001209191-18-006948 · doc4.xml · nonDerivative · entry 2

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,703

F1 · shares: The securities awarded on January 31, 2018 are in the form of restricted stock units (RSUs) issued pursuant to the SeaChange International, Inc. 2011 Compensation and Incentive Plan (the "2011 Plan") that entitle the reporting person to receive one (1) share of common stock per RSU. The RSUs will vest at the rate of 33.33% on each of the first and second anniversary of January 31, 2018 with the balance to be vested on the third anniversary of January 31, 2018.

SEC source: 0001209191-17-007304 · doc4.xml · derivative · entry 3

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,469

Underlying: Common Stock · 42,469 shares

Expires 2027-01-31

F3 · derivative.exercise_date: One third of the stock options will vest annually on January 31, 2018, January 31, 2019 and January 31, 2020.

SEC source: 0001209191-17-007304 · doc4.xml · derivative · entry 2

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,175

Underlying: Common Stock · 40,175 shares

Expires 2020-01-31

F2 · derivative.exercise_price: Each performance right represents a contingent right to receive up to 1.5 shares of SeaChange common stock. The performance rights vest pursuant to the terms of the applicable Performance Stock Unit Agreement based on SeaChange's relative TSR percentile rank to the Standard & Poor's SmallCap 600 Index.

F2 · derivative.exercise_date: Each performance right represents a contingent right to receive up to 1.5 shares of SeaChange common stock. The performance rights vest pursuant to the terms of the applicable Performance Stock Unit Agreement based on SeaChange's relative TSR percentile rank to the Standard & Poor's SmallCap 600 Index.

SEC source: 0001209191-17-007304 · doc4.xml · nonDerivative · entry 1

Faubert Peter R. · CIK 0001679086 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,088

F1 · shares: The securities awarded on January 31, 2017 are in the form of restricted stock units (RSUs) issued pursuant to the SeaChange International, Inc. 2011 Compensation and Incentive Plan (the "2011 Plan") that entitle the reporting person to receive one (1) share of common stock per RSU. The RSUs will vest at the rate of 33.33% on each of the first and second anniversary of January 31, 2017 with the balance to be vested on the third anniversary of January 31, 2017.