Goldberger Daniel S

SEC source: 0001382042-26-000003 · primary_doc.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Former Officer & Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,471

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $8.52 per share between 04/23/26 and 05/26/26 subject to Rule 144. 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 sold by him at each separate price.

SEC source: 0001493152-26-016541 · ownership.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Former Officer and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,471

F1 · security: The reported transaction resulted in a claim under Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") amounting to $1,182. The Reporting Person (RP) voluntarily paid the full amount to the Issuer.

F2 · kind: The RP sold 16,072 shares of the Issuer's common stock in the reported transaction upon the vesting and settlement of previously issued Restricted Stock Units (RSUs), all of which were previously reported by the RP on a Form 4 pursuant to Section 16 of the Exchange Act, solely to satisfy tax withholding obligations incurred upon vesting and settlement.

F3 · ownership.direct: Includes (i) 3,665 shares, net of the amount sold in the reported transaction, issued pursuant to previously issued RSUs that vested on a prorated basis as of April 1, 2026, in accordance with the vesting provisions of the consulting and separation agreement (the "Agreement") between the RP and the Issuer; and (ii) 43,200 RSUs previously issued to the RP that shall continue to vest, subject to the RP's continued consulting services under the Agreement, through the applicable vesting dates, in equal monthly installments of 3,600 RSUs per month.

SEC source: 0001493152-26-004039 · ownership.xml · nonDerivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 338,940

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

F2 · balance_after: Includes 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 50,000 of such shares have vested and (ii) 25,000 of such shares will potentially vest on January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 33,333 of such shares have vested and (ii) 16,667 of such shares will potentially vest on August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F4 · balance_after: Includes 40,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 13,333 of such shares have vested and (ii)26,667 of such shares will potentially vest in one-half increments on each of January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001493152-26-004039 · ownership.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,940

SEC source: 0001493152-25-025873 · ownership.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,565

F1 · price: The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the price at which the RP purchased the shares.

F2 · balance_after: Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 33,333 of such shares have vested and (ii) 16,667 of such shares will potentially vest on August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F4 · balance_after: Includes an additional 40,000 shares issuable pursuant to previously issued Restricted Stock Units: 40,000 of such shares will potentially vest in one-third increments on each of January 18, 2026, January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001641172-25-023084 · ownership.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 291,565

F1 · price: The price in Column 4 is a weighted average of shares purchased at prices ranging from $4.225 to $4.25. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price.

F2 · balance_after: Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 33,333 of such shares have vested and (ii) 16,667 of such shares will potentially vest on August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F4 · balance_after: Includes an additional 40,000 shares issuable pursuant to previously issued Restricted Stock Units: 40,000 of such shares will potentially vest in one-third increments on each of January 18, 2026, January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-25-000318 · e664287_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,565

F1 · balance_after: Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F2 · balance_after: Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 16,667 of such shares have vested and (ii) 33,333 of such shares will potentially vest in one-half increments on each of August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes an additional 40,000 shares issuable pursuant to previously issued Restricted Stock Units: 40,000 of such shares will potentially vest in one-third increments on each of January 18, 2026, January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-25-000076 · e664143_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,565

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

F2 · balance_after: Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 16,667 of such shares have vested and (ii) 33,333 of such shares will potentially vest in one-half increments on each of August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-24-000755 · e663686_4-goldberger.xml · derivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,252

Underlying: Common Stock · 19,252 shares

Expires 2029-06-05

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 38,505 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

SEC source: 0001193805-24-000755 · e663686_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 249,565

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 38,505 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

F2 · balance_after: Includes an additional previously issued 75,000 shares issuable pursuant to Restricted Stock Units that will potentially vest in one-third increments on each of January 16, 2025, January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes an additional previously issued 50,000 shares issuable pursuant to Restricted Stock Units that will potentially vest in one-third increments on each of August 4, 2024, August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-24-000057 · e619192_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,060

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

F2 · balance_after: Includes an additional previously issued 50,000 shares issuable pursuant to Restricted Stock Units that will potentially vest in one-third increments on each of August 4, 2024, August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-23-001298 · e618942_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,060

F1 · balance_after: Includes 10,752 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 3,584 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023 and 50,000 shares issuable pursuant to Restricted Stock Units that will potentially vest in one-third increments on each of August 4, 2023, August 4, 2024, and August 4, 2025. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023.

SEC source: 0001193805-23-001120 · e618852_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,560

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

F2 · balance_after: Includes 10,752 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 3,584 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023.

SEC source: 0001193805-23-001067 · e618828_4-goldberger.xml · derivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,495

Underlying: Common Stock · 25,495 shares

Expires 2029-02-02

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 50,991 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

SEC source: 0001193805-23-001067 · e618828_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,560

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 50,991 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

F2 · balance_after: Includes 10,752 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 3,584 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023.

SEC source: 0001193805-23-000371 · primary_doc.xml · nonDerivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,569

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023.

SEC source: 0001193805-23-000371 · primary_doc.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,069

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023.

SEC source: 0001193805-23-000347 · e618372_4-goldberger.xml · nonDerivative · entry 3

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 467,542

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-23-000347 · e618372_4-goldberger.xml · nonDerivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 467,042

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-23-000347 · e618372_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,542

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-22-001737 · e618132_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,042

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-22-001727 · e618124_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,042

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-22-001723 · e618123_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,042

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-22-001710 · e618116_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 451,042

F1 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-22-001688 · e621667_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 446,042

F1 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $0.2706 to $0.2848 per share. 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 bought by him at each separate price on December 8, 2022.

F2 · balance_after: Includes 161,290 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 53,763 shares that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-22-000821 · e621667_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,516

SEC source: 0001161697-22-000155 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,334

SEC source: 0001193805-22-000087 · e621222_4-goldberger.xml · derivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2032-01-17

F1 · derivative.exercise_date: The option vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

SEC source: 0001161697-22-000008 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,113

SEC source: 0001193805-21-001709 · e621141_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,308

SEC source: 0001193805-21-001631 · e621104_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,308

SEC source: 0001193805-21-001410 · e620986_4-goldberger.xml · derivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,528

Underlying: Common Stock · 53,764 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: On October 1, 2019, the Reporting Person was granted 215,053 Restricted Stock Units; on October 1, 2021, as part of the second annual vesting of 25% of such Restricted Stock Unit grant award, the Reporting Person was issued 53,764 shares of Common Stock.

F1 · derivative.exercise_date: On October 1, 2019, the Reporting Person was granted 215,053 Restricted Stock Units; on October 1, 2021, as part of the second annual vesting of 25% of such Restricted Stock Unit grant award, the Reporting Person was issued 53,764 shares of Common Stock.

F1 · derivative.expiration_date: On October 1, 2019, the Reporting Person was granted 215,053 Restricted Stock Units; on October 1, 2021, as part of the second annual vesting of 25% of such Restricted Stock Unit grant award, the Reporting Person was issued 53,764 shares of Common Stock.

SEC source: 0001193805-21-001410 · e620986_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,308

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: On October 1, 2019, the Reporting Person was granted 215,053 Restricted Stock Units; on October 1, 2021, as part of the second annual vesting of 25% of such Restricted Stock Unit grant award, the Reporting Person was issued 53,764 shares of Common Stock.

SEC source: 0001161697-21-000460 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,113

SEC source: 0001193805-21-000995 · e620781_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,544

SEC source: 0001161697-21-000334 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,850

SEC source: 0001161697-21-000184 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,587

SEC source: 0001193805-21-000068 · e620223_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,544

F1 · kind: Represent fully vested Common Stock granted under the Issuer's 2018 Omnibus Incentive Plan as a bonus payment in respect of 2020 in lieu of an equivalent cash bonus at the election of the Reporting Person.

SEC source: 0001193805-21-000072 · e620226_4-goldberger.xml · derivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,000

Underlying: Common Stock · 270,000 shares

Expires 2031-01-25

F1 · derivative.exercise_date: The option vests (i) with respect to 25% of the underlying shares of Common Stock on each of the first, second, third, and fourth anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

SEC source: 0001161697-21-000029 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,812

SEC source: 0001161697-20-000523 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,774

SEC source: 0001161697-20-000513 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,274

SEC source: 0001161697-20-000504 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,774

SEC source: 0001161697-21-000082 · form_5.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,390

F1 · shares: On November 13, 2020, the reporting person gifted 94,422 shares of common stock, $0.01 par value, to the D.S.G. Charitable Remainder Trust (the "Trust"). The Trust is an irrevocable trust, of which Massachusetts Institute of Technology is the sole trustee. The reporting person disclaims beneficial ownership of the shares gifted to the Trust.

SEC source: 0001161697-20-000422 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,274

SEC source: 0001161697-20-000279 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,408

SEC source: 0001161697-20-000132 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,712

SEC source: 0001161697-20-000002 · form_4.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,879

SEC source: 0000899243-19-024959 · doc4.xml · derivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 764,331

Underlying: Common Stock · 764,331 shares

Expires 2029-10-01

F2 · derivative.exercise_date: Subject to accelerated vesting in certain circumstances, one-fourth of the option is scheduled to vest on each of the first four anniversaries of the Start Date, as long as the Reporting Person remains in the service of the Issuer through the respective vesting date.

SEC source: 0000899243-19-024959 · doc4.xml · derivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,053

Underlying: Common Stock · 215,053 shares

Expires 2029-10-01

F1 · derivative.exercise_date: Represents a grant of restricted stock units of the Issuer. Each restricted stock unit represents the contingent right to receive, upon vesting of the unit, one share of Issuer common stock. Subject to accelerated vesting in certain circumstances, one-fourth of the restricted stock units are scheduled to vest on each of the first four anniversaries of the Start Date (as defined in the Offer Letter, dated September 26, 2019, between the Reporting Person and the Issuer), as long as the Reporting Person remains in the service of the Issuer through the respective vesting date.