PFENNIGER RICHARD C JR

SEC source: 0001193125-26-277740 · ownership.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2036-06-17

SEC source: 0001200796-26-000002 · form4-06232026_080619.xml · derivative · entry 3

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 3,576 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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: The entire award vested or vests on the earlier of the: (i) date of the 2026 annual meeting of the Issuer's stockholders, or (ii) first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the vesting date. These RSUs do not have an expiration date; they either vest or are cancelled prior to the vesting date.

F3 · derivative.expiration_date: The entire award vested or vests on the earlier of the: (i) date of the 2026 annual meeting of the Issuer's stockholders, or (ii) first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the vesting date. These RSUs do not have an expiration date; they either vest or are cancelled prior to the vesting date.

SEC source: 0001200796-26-000002 · form4-06232026_080619.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,248

Underlying: Class A Common Stock · 4,248 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The entire award shall vest on the earlier of the (i) date of the 2027 annual meeting of the Issuer's stockholders, or (ii) first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the vesting date. These RSUs do not have an expiration date; they either vest or are cancelled prior to the vesting date.

F2 · derivative.expiration_date: The entire award shall vest on the earlier of the (i) date of the 2027 annual meeting of the Issuer's stockholders, or (ii) first anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through the vesting date. These RSUs do not have an expiration date; they either vest or are cancelled prior to the vesting date.

SEC source: 0001200796-26-000002 · form4-06232026_080619.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,082

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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

SEC source: 0001437749-26-021167 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,438

F1 · shares: On June 17, 2026, the Reporting Person received a grant of 30,096 restricted stock units ("RSUs") under the Issuer's 2022 Omnibus Equity Incentive Plan. The RSUs will vest in three equal annual installments, with the first installment vesting on June 17, 2027.

SEC source: 0001493152-26-002042 · ownership.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,410

Underlying: Common Stock · 16,410 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

SEC source: 0001493152-25-020219 · ownership.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-01-28

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F1 · derivative.exercise_date: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

SEC source: 0001493152-25-020219 · ownership.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,400

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F1 · price: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F2 · balance_after: Includes shares of common stock issuable upon vesting of restricted stock units.

SEC source: 0001415889-25-017988 · form4-06232025_090603.xml · derivative · entry 3

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 12,924 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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

F2 · derivative.expiration_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

SEC source: 0001415889-25-017988 · form4-06232025_090603.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,576

Underlying: Class A Common Stock · 3,576 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

F2 · derivative.expiration_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

SEC source: 0001415889-25-017988 · form4-06232025_090603.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,506

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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

SEC source: 0001437749-25-021055 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,341

F1 · shares: On June 18, 2025, the Reporting Person received a grant of 39,682 restricted stock units ("RSUs") under the Issuer's 2022 Omnibus Equity Incentive Plan. These RSUs will vest in three equal annual installments, beginning on June 18, 2026.

SEC source: 0001415889-25-011978 · form4-05052025_080539.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 918 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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 1/3 of the total RSUs shall vest annually of the total RSUs monthly annually beginning on May 2, 2023 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F2 · derivative.expiration_date: 1/3 of the total RSUs shall vest annually of the total RSUs monthly annually beginning on May 2, 2023 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

SEC source: 0001415889-25-011978 · form4-05052025_080539.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,582

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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

SEC source: 0000950170-25-057518 · ownership.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2035-04-22

SEC source: 0001493152-24-040902 · ownership.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,400

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001437749-24-027545 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: The reported securities were disposed of pursuant to the terms of an Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 6, 2024, by and among Asensus Surgical, Inc., a Delaware corporation ("Asensus"), KARL STORZ Endoscopy-America, Inc., a California corporation ("Parent"), and Karl Storz California Inc., a California corporation ("Merger Sub"), pursuant to which Merger Sub merged with and into Asensus with Asensus as the surviving corporation of the merger (the "Merger"). Upon the effective time of the Merger, the reporting person received $0.35 in cash, without interest and less applicable withholding taxes for each share of common stock.

SEC source: 0001415889-24-018330 · form4-06272024_080621.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,924

Underlying: Class A Common Stock · 12,924 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

F2 · derivative.expiration_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

SEC source: 0001415889-24-018044 · form4-06242024_090654.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 5,828 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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

F2 · derivative.expiration_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

SEC source: 0001415889-24-018044 · form4-06242024_090654.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,664

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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

SEC source: 0001437749-24-021888 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,659

F1 · shares: On April 11, 2024, the Issuer effected a 6-for-1 reverse stock split (the "Reverse Stock Split"). The holding reported here reflects the Reverse Stock Split.

F2 · shares: On June 5, 2024, the Reporting Person received a grant of 21,429 restricted stock units ("RSUs") under the Issuer's 2022 Omnibus Equity Incentive Plan. These RSUs will vest in three equal annual installments, beginning on June 1, 2025.

SEC source: 0001437749-26-021163 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,660

F1 · balance_after: On June 5, 2024, the Reporting Person filed a Form 4 which inadvertently reported, that following his activity, the Reporting Person owned a total of 50,659 shares of common stock which amount did not accurately reflect the total impact for Issuer's 1-for-6 reverse stock split effectuated on April 11, 2024. As reported in this amendment, following the activity, the Reporting Person owned 50,660 shares of common stock.

SEC source: 0001415889-24-012143 · form4-05032024_080531.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 918

Underlying: Class A Common Stock · 918 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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: 1/3 of the total RSUs shall vest annually of the total RSUs monthly annually beginning on May 2, 2023 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

F2 · derivative.expiration_date: 1/3 of the total RSUs shall vest annually of the total RSUs monthly annually beginning on May 2, 2023 until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

SEC source: 0001415889-24-012143 · form4-05032024_080531.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,836

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 ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

SEC source: 0000950170-24-002345 · ownership.xml · nonDerivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

SEC source: 0000950170-24-002345 · ownership.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,000

SEC source: 0001209191-23-055105 · doc4.xml · nonDerivative · entry 4

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

SEC source: 0001209191-23-055105 · doc4.xml · nonDerivative · entry 3

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,000

SEC source: 0001209191-23-055105 · doc4.xml · nonDerivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 285,000

SEC source: 0001209191-23-055105 · doc4.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,000

SEC source: 0001209191-23-054765 · doc4.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,918

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.46 to $1.5166, inclusive. 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 the range set forth herein.

SEC source: 0001209191-23-046599 · doc4.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,918

SEC source: 0001209191-23-043299 · doc4.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,828

Underlying: Class A Common Stock · 5,828 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

F3 · derivative.expiration_date: The RSUs shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

SEC source: 0001209191-23-043299 · doc4.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,816

Underlying: Class A Common Stock · 8,816 shares

Expires 2033-07-20

F1 · derivative.exercise_date: The stock option shall vest the earlier of (a) the date of the next annual meeting of the Issuer's shareholders following the grant date, and (b) the first anniversary of the grant date, subject to the Reporting Person continuing to provide services to the Issuer through each vesting date.

SEC source: 0001493152-23-025081 · ownership.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,333

Underlying: Common Stock · 7,333 shares

Expires 2033-07-18

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 18, 2024 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001209191-23-039363 · doc4.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2033-06-21

SEC source: 0001437749-23-017501 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,385

F1 · shares: On June 7, 2023, the Reporting Person received a grant of 115,385 Restricted Stock Units ("RSUs") under the Issuer's 2022 Omnibus Equity Incentive Plan. These RSUs vest in three equal annual installments beginning on June 1, 2024.

SEC source: 0001209191-23-035502 · doc4.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,417

F1 · shares: Represents restricted stock units ("RSUs"). Each RSU represents the right to receive one share of the Registrant's common stock.

F2 · shares: Forfeiture restrictions will lapse on the RSUs on the first anniversary of the date of grant, provided that if the date of the 2024 annual meeting of stockholders is earlier, the restrictions will lapse on the date of the annual meeting.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents the right to receive one share of the Registrant's common stock.

F2 · price: Forfeiture restrictions will lapse on the RSUs on the first anniversary of the date of grant, provided that if the date of the 2024 annual meeting of stockholders is earlier, the restrictions will lapse on the date of the annual meeting.

SEC source: 0001209191-23-031499 · doc4.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,918

SEC source: 0001209191-23-027332 · doc4.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 60,606 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 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The underlying shares vest as to 1/3 of the total award annually beginning on May 2, 2023 until fully vested, subject to the Reporting Person continuing to provide services to the Issuer on the applicable vesting date.

F2 · derivative.expiration_date: The underlying shares vest as to 1/3 of the total award annually beginning on May 2, 2023 until fully vested, subject to the Reporting Person continuing to provide services to the Issuer on the applicable vesting date.

SEC source: 0001209191-23-027332 · doc4.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,303

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: 0001437749-22-024031 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

F1 · shares: On October 6, 2022, the Reporting Person received a grant of 60,000 restricted stock units ("RSUs") under the Issuer's 2022 Omnibus Equity Incentive Plan. The RSUs will vest in three equal annual installments beginning on October 1, 2023.

SEC source: 0001493152-22-021151 · ownership.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2032-07-25

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 25, 2023 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2023, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001209191-22-042280 · doc4.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2032-07-13

SEC source: 0001209191-22-037127 · doc4.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,417

F1 · shares: Represents restricted stock units ("RSUs"). Each RSU represents the right to receive one share of the Registrant's common stock.

F2 · shares: Forfeiture restrictions will lapse on the RSUs on the first anniversary of the date of grant, provided that if the date of the 2023 annual meeting of stockholders is earlier, the restrictions will lapse on the date of the annual meeting.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents the right to receive one share of the Registrant's common stock.

F2 · price: Forfeiture restrictions will lapse on the RSUs on the first anniversary of the date of grant, provided that if the date of the 2023 annual meeting of stockholders is earlier, the restrictions will lapse on the date of the annual meeting.

SEC source: 0001209191-22-027291 · doc4.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,909

Underlying: Class A Common Stock · 90,909 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: The restricted stock units vests as of 1/3 of the total units annually beginning on May 2, 2023 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The restricted stock units vests as of 1/3 of the total units annually beginning on May 2, 2023 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-22-027291 · doc4.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,828

Underlying: Class A Common Stock · 157,828 shares

Expires 2032-05-01

F1 · derivative.exercise_date: The stock option vests as of 1/36 of the total shares monthly beginning on June 2, 2022 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-22-027694 · doc4a.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,828

Underlying: Class A Common Stock · 157,828 shares

Expires 2032-05-01

F1 · derivative.exercise_price: This Form 4 amendment has been filed solely to correct the exercise price of a previously issued stock option to purchase shares of Class A Common Stock of the Issuer reported in a Form 4 filed on May 4, 2022 (the "Form 4"). The exercise price was inadvertently stated as $2.155 in the Form 4. The exercise price should have been stated as $2.20 in the Form 4.

F2 · derivative.exercise_date: The stock option vests as of 1/36 of the total shares monthly beginning on June 2, 2022 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0000070415-21-000147 · wf-form4_163458482876899.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On July 15, 2021, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Learning Technologies Group plc, a public limited company incorporated in England and Wales ("LTG"), Learning Technologies Acquisition Corporation, a Delaware corporation and direct wholly owned subsidiary of LTG ("US Holdco"), and Gravity Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of US Holdco ("Merger Sub"), pursuant to which each share of common stock of the Issuer was converted into the right to receive a cash payment equal to the per share merger consideration of $20.85.

F1 · price: On July 15, 2021, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Learning Technologies Group plc, a public limited company incorporated in England and Wales ("LTG"), Learning Technologies Acquisition Corporation, a Delaware corporation and direct wholly owned subsidiary of LTG ("US Holdco"), and Gravity Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of US Holdco ("Merger Sub"), pursuant to which each share of common stock of the Issuer was converted into the right to receive a cash payment equal to the per share merger consideration of $20.85.

SEC source: 0000070415-21-000119 · wf-form4_163336998467356.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,297

F1 · price: Represents a portion of the quarterly Director fees for the quarter ended September 30, 2021 paid in shares of the Registrant's Common Stock.