BROENNIMAN EDWARD G

SEC source: 0001683168-26-005224 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,363

F1 · shares: The Reporting Person forfeited 1,091 shares of common stock upon conversion of an aggregate 5,454 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 17, 2026.

SEC source: 0001683168-26-003111 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,454

F1 · shares: The Reporting Person was granted RSUs that vest in four equal quarterly installments on each of June 30, 2026, September 30, 2026, December 31, 2026 and March 31, 2027, subject to the Reporting Person's continued service with the Company on each such vesting date.

SEC source: 0001683168-26-002587 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,915

F1 · shares: The Reporting Person forfeited 89 shares of common stock upon conversion of an aggregate 357 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 25, 2025.

SEC source: 0001683168-26-000049 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,807

F1 · shares: The Reporting Person forfeited 89 shares of common stock upon conversion of an aggregate 357 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 25, 2025.

SEC source: 0001683168-25-007376 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,397

F1 · shares: The Reporting Person forfeited 893 shares of common stock upon conversion of an aggregate 4,465 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 25, 2025.

SEC source: 0001683168-25-004859 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,825

F1 · shares: The Reporting Person forfeited 893 shares of common stock upon conversion of an aggregate 4,465 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 25, 2025.

SEC source: 0001683168-25-002836 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 181,741

F1 · shares: The Reporting Person was granted RSUs that vest in four equal quarterly installments on each of June 30, 2025, September 30, 2025, December 31, 2025 and March 31, 2026, subject to the Reporting Person's continued service with the Company on each such vesting date.

SEC source: 0001683168-25-002187 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,884

F1 · kind: The Reporting Person forfeited 1,645 shares of common stock upon conversion of an aggregate 8,224 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 17, 2023.

SEC source: 0001683168-25-000093 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,529

F1 · kind: The Reporting Person forfeited 1,645 shares of common stock upon conversion of an aggregate 8,224 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings, using the market price of the issuer's common stock at the time of forfeiture. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 17, 2024.

SEC source: 0001683168-24-006798 · ownership.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,174

F1 · kind: The Reporting Person forfeited 1,645 shares of common stock upon conversion of 8,224 vested and outstanding restricted stock units into shares of common stock to cover tax withholdings. These restricted stock units were part of the grant reported in Table I of the Form 4 filed by the Reporting Person with the Securities and Exchange Commission on April 17, 2024.

SEC source: 0001415889-24-018576 · form4-07012024_040702.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,819

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/16/24

SEC source: 0001415889-24-011035 · form4-04172024_090432.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,464

F1 · shares: The RSU's vests in four equal quarterly installments on 6/30/24, 9/30/24, 12/31/24 and 3/31/25.

SEC source: 0001415889-24-009567 · form4-04012024_090444.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,570

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/28/23

SEC source: 0001209191-24-000224 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,733

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/28/23

F2 · balance_after: The end of period holdings reflect a 1-10 reverse stock split effected by the Issuer on October 4, 2023.

SEC source: 0001209191-23-050879 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 148,957

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/28/23

SEC source: 0001209191-23-040546 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,585

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/28/23

SEC source: 0001209191-23-026259 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,213

F1 · shares: The RSU's vests in four equal quarterly installments on 6/30/23, 9/30/23, 12/31/23 and 3/31/24.

SEC source: 0001209191-23-021933 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,934

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/1/22

SEC source: 0001209191-22-063049 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,359

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/1/22

SEC source: 0001209191-22-052076 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,784

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/1/22

SEC source: 0001209191-22-050216 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,633

F1 · shares: The RSU was granted on 4/1/22, but was contingent on stockholder approval of an increase in the shares issuable under the Issuer's 2020 Equity Incentive Plan at the Issuer's annual meeting of stockholders held on 9/15/22, and therefore for purposes of Section 16 the RSU was not "acquired" until such stockholder approval was obtained. 50% of the shares subject to the RSU will vest on 9/30/22, and 25% of the RSU's will vest on each of 12/31/22 and 3/31/23, subject to continuous service through each such date.

SEC source: 0001209191-22-021846 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,386

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/1/21

SEC source: 0001209191-22-000272 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,816

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/1/21

SEC source: 0001209191-21-058477 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,246

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/1/21

SEC source: 0001209191-21-044372 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,676

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/1/21

SEC source: 0001209191-21-024736 · doc4.xml · nonDerivative · entry 2

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,106

F2 · shares: The RSU's vests in four equal quarterly installments on 6/30/21, 9/30/21, 12/31/21 and 3/31/22.

SEC source: 0001209191-21-024736 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,811

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/3/20

SEC source: 0001209191-21-000248 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,386

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/3/20

SEC source: 0001209191-20-052565 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,961

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/3/20

SEC source: 0001209191-20-040081 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,421

F1 · acquired: Reporting the tax withholding of shares upon vesting of the RSU dated 4/3/20

SEC source: 0001209191-20-023738 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,810

F1 · shares: The RSU's vests in four equal quarterly installments on 6/30/2020, 9/30/2020, 12/31/2020 and 3/31/2021.

F2 · balance_after: The end of period holdings reflect a 1-15 reverse stock split effected by the Issuer on October 14, 2019.

SEC source: 0001209191-20-050818 · doc4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,350

F1 · shares: The RSU was granted on 4/3/20, but was contingent on stockholder approval of the Issuer's 2020 Equity Incentive Plan at the Issuer's annual meeting of stockholders held on 9/15/20, and therefore for purposes of Section 16, the RSU was not "acquired" until such stockholder approval was obtained. The RSU's vest in two equal installments on 12/31/2020 and 3/31/2021.

SEC source: 0001209191-19-023053 · doc4.xml · derivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,842

Underlying: Common Stock · 36,842 shares

Expires not disclosed

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Common Stock of the Issuer.

F2 · derivative.exercise_date: The RSU's vests in four equal quarterly installments on 6/30/19, 9/30/19, 12/31/19 and 3/31/20.

F2 · derivative.expiration_date: The RSU's vests in four equal quarterly installments on 6/30/19, 9/30/19, 12/31/19 and 3/31/20.

SEC source: 0001209191-19-040370 · doc4a.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,747

F1 · shares: RSU was originally reported in Table II of the Reporting Person's Form 4 filed 04/03/2019.

SEC source: 0001683168-18-002079 · ownership.xml · derivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,465

Underlying: Common Stock · 26,799 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: 37,234 restricted stock units vested ratably on 12/31/2017 and 3/31/2018. 26,799 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19.

F2 · derivative.expiration_date: 37,234 restricted stock units vested ratably on 12/31/2017 and 3/31/2018. 26,799 restricted stock units to vest ratably on 9/30/18, 12/31/18 and 3/31/19.

SEC source: 0001209191-19-029884 · doc4a.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,536

F1 · balance_after: This amendment is being filed to correct the grant date of the 26,799 share RSU. Includes RSU's that were originally reported in Table II of the Reporting Person's prior Form 4 filings.

SEC source: 0001683168-17-003345 · broenniman_f4.xml · derivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,666

Underlying: Common Stock · 37,234 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: Restricted stock units to vest ratably on 12/31/2017 and 3/31/2018.

F2 · derivative.expiration_date: Restricted stock units to vest ratably on 12/31/2017 and 3/31/2018.

SEC source: 0001683168-16-000248 · broenniman_fmr4-100416.xml · derivative · entry 2

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,736

Underlying: Common Stock · 1,368 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.

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F4 · derivative.exercise_date: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units vested or will vest on each of 9/30/16, 12/31/16 and 3/31/17.

F4 · derivative.expiration_date: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units vested or will vest on each of 9/30/16, 12/31/16 and 3/31/17.

SEC source: 0001683168-16-000248 · broenniman_fmr4-100416.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,861

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 settlement in common stock of previously issued restricted stock units upon vesting of such units, net of shares of common stock withheld by the issuer to satisfy the tax obligation of the reporting person (transaction code F) due upon vesting of the units. A total of 1,368 shares of common stock were issuable upon vesting of the units, and 547 shares were withheld by the issuer. The issuer paid the reporting person $4.99 per share of common stock withheld, which the reporting person is to use to pay his tax obligation related to the vesting of the units.

F2 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F3 · balance_after: In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 12,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, and options to purchase 3,684 shares of common stock at $9.50 per share.

SEC source: 0001683168-16-000020 · broenniman_frm4.xml · derivative · entry 3

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,104

Underlying: Common Stock · 12,328 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.

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. For tax purposes, each share of common stock was valued at $6.28, the closing price of the common stock on 8/9/16, the date of grant.

F5 · derivative.exercise_date: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units will vest on each of 9/30/16, 12/31/16 and 3/31/17.

F5 · derivative.expiration_date: 12,328 of the restricted stock units vested on the grant date, 8/9/16, and 1,368 of the remaining restricted stock units will vest on each of 9/30/16, 12/31/16 and 3/31/17.

SEC source: 0001683168-16-000020 · broenniman_frm4.xml · nonDerivative · entry 2

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,040

F4 · shares: Represents shares of common stock withheld and deemed sold to the issuer to satisfy the tax obligation of the reporting person due upon vesting of the restricted stock units.

F3 · balance_after: In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options and restricted stock units: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 12,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, options to purchase 3,684 shares of common stock at $9.50 per share and 1,368 restricted stock units.

SEC source: 0001683168-16-000020 · broenniman_frm4.xml · nonDerivative · entry 1

BROENNIMAN EDWARD G · CIK 0001284599 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,971

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 settlement in common stock of previously issued restricted stock units upon vesting of such units.

F2 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. For tax purposes, each share of common stock was valued at $6.28, the closing price of the common stock on 8/9/16, the date of grant.

F3 · balance_after: In addition to the currently outstanding shares of common stock owned by the reporting person and reported here, the reporting person also beneficially owns the shares of common stock underlying the following stock options and restricted stock units: options to purchase 10,000 shares of common stock at $20.50 per share, options to purchase 12,000 shares of common stock at $12.50 per share, options to purchase 9,211 shares of common stock at $3.80 per share, options to purchase 8,537 shares of common stock at $4.10 per share, options to purchase 3,684 shares of common stock at $9.50 per share and 1,368 restricted stock units.