Bergmann Anthony

SEC source: 0001593087-26-000013 · form4-06292026_090601.xml · derivative · entry 3

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,980

Underlying: Common Stock · 24,100 shares

Expires 2032-01-03

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_date: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

SEC source: 0001593087-26-000013 · form4-06292026_090601.xml · nonDerivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,223

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.88, inclusive.

SEC source: 0001593087-26-000013 · form4-06292026_090601.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,323

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: 0001593087-26-000011 · form4-06242026_080603.xml · derivative · entry 6

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,080

Underlying: Common Stock · 400 shares

Expires 2032-01-03

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

F2 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

SEC source: 0001593087-26-000011 · form4-06242026_080603.xml · nonDerivative · entry 4

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,223

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001593087-26-000011 · form4-06242026_080603.xml · nonDerivative · entry 3

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,623

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: 0001593087-26-000011 · form4-06242026_080603.xml · derivative · entry 5

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,480

Underlying: Common Stock · 500 shares

Expires 2032-01-03

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

F2 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

SEC source: 0001593087-26-000011 · form4-06242026_080603.xml · nonDerivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,223

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001593087-26-000011 · form4-06242026_080603.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,723

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: 0001593087-26-000009 · form4-05192026_040501.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

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: This option was granted on June 2, 2016 and was previously reported as covering 30,000 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing as of July 1, 2016.

F1 · derivative.underlying_shares: This option was granted on June 2, 2016 and was previously reported as covering 30,000 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

SEC source: 0001593087-26-000009 · form4-05192026_040501.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,223

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: 0001593087-26-000007 · form4-05042026_040501.xml · derivative · entry 3

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 116,980

Underlying: Common Stock · 25,000 shares

Expires 2032-01-03

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_date: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

SEC source: 0001593087-26-000007 · form4-05042026_040501.xml · nonDerivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,223

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.89 to $33.19, inclusive.

SEC source: 0001593087-26-000007 · form4-05042026_040501.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 33,223

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: 0001593087-26-000005 · form4-04012026_080406.xml · derivative · entry 3

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 141,980

Underlying: Common Stock · 25,000 shares

Expires 2032-01-03

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_date: Shares vested 1/48th on the first day of each month commencing February 1, 2022.

SEC source: 0001593087-26-000005 · form4-04012026_080406.xml · nonDerivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,223

F1 · kind: Shares were sold pursuant to a 10b5-1 trading plan adopted in December 2025 by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported on Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.32, inclusive.

SEC source: 0001593087-26-000005 · form4-04012026_080406.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 33,223

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: 0001593087-26-000002 · form4-01072026_040123.xml · derivative · entry 3

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents the right to receive, upon vesting, one share of the Issuer's common stock in accordance with the Issuer's 2025 Equity Incentive Plan.

F4 · derivative.exercise_date: The restricted stock units were granted on January 5, 2026 as part of the Issuer's annual equity grant to executive officers. The restricted stock units granted on January 5, 2026 vest annually at a rate of 25% commencing on February 1, 2027. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.

F4 · derivative.expiration_date: The restricted stock units were granted on January 5, 2026 as part of the Issuer's annual equity grant to executive officers. The restricted stock units granted on January 5, 2026 vest annually at a rate of 25% commencing on February 1, 2027. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.

SEC source: 0001593087-26-000002 · form4-01072026_040123.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-01-05

F2 · derivative.exercise_date: These shares of the award vest and become exercisable on the date of U.S. Food and Drug Administration approval of Deramiocel. Vesting is subject to the Reporting Person's continued service to the Issuer through the vesting date.

SEC source: 0001593087-26-000002 · form4-01072026_040123.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2036-01-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2026, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-25-006734 · form4-03042025_070301.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2025-03-03

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: This option was granted on March 3, 2015 and was previously reported as covering 25,000 shares at an exercise price of $5.78 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing April 1, 2015.

F1 · derivative.underlying_shares: This option was granted on March 3, 2015 and was previously reported as covering 25,000 shares at an exercise price of $5.78 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-25-006734 · form4-03042025_070301.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,223

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: 0001415889-25-000876 · form4-01062025_070123.xml · derivative · entry 3

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,170

Underlying: Common Stock · 6,170 shares

Expires 2035-01-02

F3 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2025, the date of the grant.

SEC source: 0001415889-25-000876 · form4-01062025_070123.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2035-01-02

F2 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2025, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-25-000876 · form4-01062025_070123.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,723

F1 · shares: Represents fully vested Restricted Stock Units as of January 2, 2025 issued for services with the Company.

SEC source: 0001415889-24-000648 · form4-01042024_050101.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,692

Underlying: Common Stock · 9,692 shares

Expires 2034-01-02

F2 · derivative.exercise_date: The shares of the award are fully vested and exercisable as of January 2, 2024, the date of the grant.

SEC source: 0001415889-24-000648 · form4-01042024_050101.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2024, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-23-014485 · form4-10242023_091001.xml · nonDerivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,381

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.

SEC source: 0001415889-23-000589 · form4-01052023_080101.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2023, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-22-000276 · form4-01042022_090117.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,980

Underlying: Common Stock · 166,980 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001104659-21-001581 · tm211849-1_4seq1.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,693

Underlying: Common Stock · 95,693 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2021, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001104659-20-071413 · tm2022128-1_4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,003

Underlying: Common Stock · 120,003 shares

Expires 2030-06-05

F1 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing March 1, 2020, until the stock option becomes fully vested and exercisable. The following stock option grant was approved by the Board on February 12, 2020 under the 2020 Plan, contingent upon stockholder approval of the 2020 Plan, which was obtained on June 5, 2020. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 12

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,178 shares

Expires 2023-10-23

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 11

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 10

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing July 1, 2016, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 9

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,500 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 8

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 7

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 4,666 of the shares were vested on the date of grant. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 6

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,178

Underlying: Common Stock · 2,178 shares

Expires 2023-10-23

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 5

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2025-03-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F6 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 4

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2026-06-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F5 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing July 1, 2016, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 3

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 3,500 shares

Expires 2027-01-03

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F4 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2028-01-02

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F3 · derivative.exercise_date: The shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022098 · tm208086d1_4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F2 · price: The reported transactions involved the repricing of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options, with a new exercise price of $1.39 per share.

F1 · derivative.exercise_date: 4,666 of the shares were vested on the date of grant. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-19-038998 · tv527329_form4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 4,666 of the shares shall vest immediately. The remaining 9,334 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000853 · tv482712_4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-17-000698 · v456173_4.xml · derivative · entry 1

Bergmann Anthony · CIK 0001593087 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2027-01-03

F1 · derivative.exercise_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

F1 · derivative.expiration_date: 1/48th of the shares subject to the stock option award shall vest on the first day of each month, commencing February 1, 2017, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001415889-23-014485 · form4-10242023_091001.xml · derivative · entry 2

Bergmann Anthony · CIK 0001593087 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,178 shares

Expires 2023-10-23

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: This option was granted on October 23, 2013 and was previously reported as covering 21,785 shares at an exercise price of $0.30 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F2 · derivative.exercise_date: The shares vested annually over a 4 year period commencing on November 1, 2014.

F1 · derivative.underlying_shares: This option was granted on October 23, 2013 and was previously reported as covering 21,785 shares at an exercise price of $0.30 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.