Walters-Hoffert Lisa

SEC source: 0001711576-26-000002 · wk-form4_1781295304.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2036-06-10

F1 · derivative.exercise_date: The reporting person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2024 Equity Incentive Plan. The Option will become fully exercisable on June 10, 2027.

SEC source: 0001493152-26-026715 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

F1 · price: On May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

F1 · derivative.exercise_date: On May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

F1 · derivative.expiration_date: On May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

SEC source: 0001493152-26-026715 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,107

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 May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

SEC source: 0001493152-26-026715 · ownership.xml · derivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_price: On May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

F2 · derivative.exercise_price: Due to an administrative error, this grant was not previously reported.

F1 · price: On May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

F1 · derivative.exercise_date: On May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

F1 · derivative.expiration_date: On May 28, 2025, the reporting person was granted restricted stock units ("RSUs"), which vested on May 28, 2026. Upon vesting, each RSU converted into one share of the Issuer's common stock.

SEC source: 0001641172-25-005544 · ownership.xml · derivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,057 shares

Expires not disclosed

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

F2 · security: This award was granted on April 18, 2024. 17,057 RSUs vested on April 18, 2025.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 17,057 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 18, 2024. 17,057 RSUs vested on April 18, 2025.

F2 · derivative.exercise_date: This award was granted on April 18, 2024. 17,057 RSUs vested on April 18, 2025.

F2 · derivative.expiration_date: This award was granted on April 18, 2024. 17,057 RSUs vested on April 18, 2025.

SEC source: 0001641172-25-005544 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,107

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 · security: Represents the number of common stock issued upon the vesting of 17,057 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 17,057 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · price: Represents the number of common stock issued upon the vesting of 17,057 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

SEC source: 0001372514-25-000025 · wk-form4_1743639029.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2035-04-01

F1 · derivative.exercise_date: The reporting person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2024 Equity Incentive Plan. The Option will become fully exercisable on April 1, 2026.

SEC source: 0001372514-24-000111 · wk-form4_1724173206.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250

F1 · price: The shares were purchased in multiple transactions at prices ranging from $3.815 to $3.8798. The reported price of $3.86 represents the volume weighted average price for the reported transaction. The reporting person undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001372514-24-000090 · wk-form4_1720034130.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,778

Underlying: Common Stock · 1,778 shares

Expires 2034-07-01

F1 · derivative.exercise_date: The reporting person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2024 Equity Incentive Plan. The Option will become fully exercisable on July 1, 2025.

SEC source: 0001493152-24-017310 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,526 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.

F4 · security: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of the RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F2 · derivative.exercise_date: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

F2 · derivative.expiration_date: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

SEC source: 0001493152-24-017310 · ownership.xml · nonDerivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,050

F3 · kind: This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023.

F4 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of the RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-24-017310 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,584

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 · security: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 29, 2021 subject to the terms and conditions of the restricted stock unit award agreement pursuant to the Issuer's 2014 Equity Incentive Plan. One third of the original grant of 4,578 RSUs vested on April 29, 2022, and a subsequent one third vested on April 29, 2023. On April 29, 2024, the remaining one third of the original grant vested.

SEC source: 0001493152-24-015623 · ownership.xml · nonDerivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,058

F3 · kind: This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

SEC source: 0001493152-24-017314 · ownership.xml · nonDerivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,058

F3 · kind: This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023.

F6 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F6 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-24-015623 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,883 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.

F4 · security: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.exercise_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.expiration_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-015623 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,967

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 · security: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-017314 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,883 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.

F4 · security: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $4.02 to $4.10, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.exercise_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

F2 · derivative.expiration_date: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-017314 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,967

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 · security: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 16,883 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: This award was granted on April 20, 2023. 16,883 RSUs vested on April 20, 2024.

SEC source: 0001493152-24-015623 · ownership.xml · derivative · entry 4

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,057

Underlying: Common Stock · 17,057 shares

Expires not disclosed

F5 · security: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.exercise_price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.exercise_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.expiration_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

SEC source: 0001493152-24-017314 · ownership.xml · derivative · entry 4

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,057

Underlying: Common Stock · 17,057 shares

Expires not disclosed

F5 · security: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.exercise_price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · price: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.exercise_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

F5 · derivative.expiration_date: Represents a grant of RSUs on April 18, 2024, pursuant to the Issuer's 2021 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 18, 2025, which is one year from the date of grant.

SEC source: 0001493152-23-033660 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,084

F1 · kind: This transaction was entered into pursuant to a Rule 10b5-1 trading plan previously adopted by Lisa Walters-Hoffert on June 13, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.78 to $4.01, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

SEC source: 0001493152-23-015068 · ownership.xml · derivative · entry 4

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,526

Underlying: Common Stock · 1,526 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.

F4 · security: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, 1,526 of the remaining RSUs vested on April 29, 2023 and the remaining 1,526 RSU will vest on April 29, 2024.

F2 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 1,526 RSUs, which converted into the Issuer's common stock on a one-for-one basis.

F4 · price: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, 1,526 of the remaining RSUs vested on April 29, 2023 and the remaining 1,526 RSU will vest on April 29, 2024.

F4 · derivative.exercise_date: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, 1,526 of the remaining RSUs vested on April 29, 2023 and the remaining 1,526 RSU will vest on April 29, 2024.

F4 · derivative.expiration_date: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, 1,526 of the remaining RSUs vested on April 29, 2023 and the remaining 1,526 RSU will vest on April 29, 2024.

SEC source: 0001493152-23-015068 · ownership.xml · nonDerivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,845

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 · security: Represents the number of common stock issued upon the vesting of 1,526 RSUs, which converted into the Issuer's common stock on a one-for-one basis.

F2 · kind: Represents the number of common stock issued upon the vesting of 1,526 RSUs, which converted into the Issuer's common stock on a one-for-one basis.

F2 · price: Represents the number of common stock issued upon the vesting of 1,526 RSUs, which converted into the Issuer's common stock on a one-for-one basis.

SEC source: 0001493152-23-015068 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,793 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.

F3 · security: This award was granted on April 28, 2022. 17,793 RSUs vested on April 28, 2023.

F1 · derivative.exercise_price: Represents the number of common stock issued upon the vesting of 17,793 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F3 · price: This award was granted on April 28, 2022. 17,793 RSUs vested on April 28, 2023.

F3 · derivative.exercise_date: This award was granted on April 28, 2022. 17,793 RSUs vested on April 28, 2023.

F3 · derivative.expiration_date: This award was granted on April 28, 2022. 17,793 RSUs vested on April 28, 2023.

SEC source: 0001493152-23-015068 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,319

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 · security: Represents the number of common stock issued upon the vesting of 17,793 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 17,793 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · price: Represents the number of common stock issued upon the vesting of 17,793 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

SEC source: 0001493152-23-013224 · ownership.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,883

Underlying: Common Stock · 16,883 shares

Expires not disclosed

F1 · security: Represents a grant of RSUs on April 20, 2023, pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 20, 2024, which is one year from the date of grant.

F1 · derivative.exercise_price: Represents a grant of RSUs on April 20, 2023, pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 20, 2024, which is one year from the date of grant.

F1 · price: Represents a grant of RSUs on April 20, 2023, pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 20, 2024, which is one year from the date of grant.

F1 · derivative.exercise_date: Represents a grant of RSUs on April 20, 2023, pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 20, 2024, which is one year from the date of grant.

F1 · derivative.expiration_date: Represents a grant of RSUs on April 20, 2023, pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 20, 2024, which is one year from the date of grant.

SEC source: 0001493152-23-006999 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,526

SEC source: 0001401914-23-000007 · wf-form4_167476716272724.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,000

Underlying: Common stock · 290,000 shares

Expires 2033-01-24

F1 · derivative.exercise_date: This stock option vests and becomes exercisable in 48 equal monthly installments commencing on the one-month anniversary of the grant date, subject to the reporting person's continuous service to the issuer.

SEC source: 0001493152-22-011853 · ownership.xml · derivative · entry 2

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,052

Underlying: Common Stock · 1,526 shares

Expires not disclosed

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

F2 · security: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, and 1,526 of the remaining RSUs will vest on April 29, 2023 and April 29, 2024, respectively.

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, and 1,526 of the remaining RSUs will vest on April 29, 2023 and April 29, 2024, respectively.

F2 · price: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, and 1,526 of the remaining RSUs will vest on April 29, 2023 and April 29, 2024, respectively.

F2 · derivative.exercise_date: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, and 1,526 of the remaining RSUs will vest on April 29, 2023 and April 29, 2024, respectively.

F2 · derivative.expiration_date: Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. On April 29, 2021, in consideration for board services the Issuer granted 4,578 RSUs pursuant to a Restricted Stock Unit Award Agreement. One third of the original grant of 4,578 RSUs pursuant to the Issuer's 2014 Equity Incentive Plan vested on April 29, 2022, and 1,526 of the remaining RSUs will vest on April 29, 2023 and April 29, 2024, respectively.

SEC source: 0001493152-22-011853 · ownership.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,526

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 · security: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · kind: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

F1 · price: Represents the number of common stock issued upon the vesting of 1,526 restricted stock units ("RSUs"), which converted into the Issuer's common stock on a one-for-one basis.

SEC source: 0001493152-22-011853 · ownership.xml · derivative · entry 3

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,793

Underlying: Common Stock · 17,793 shares

Expires not disclosed

F3 · security: Represents a grant of RSUs on April 28, 2022 pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 28, 2023, which is one year from the date of grant.

F3 · derivative.exercise_price: Represents a grant of RSUs on April 28, 2022 pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 28, 2023, which is one year from the date of grant.

F3 · price: Represents a grant of RSUs on April 28, 2022 pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 28, 2023, which is one year from the date of grant.

F3 · derivative.exercise_date: Represents a grant of RSUs on April 28, 2022 pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 28, 2023, which is one year from the date of grant.

F3 · derivative.expiration_date: Represents a grant of RSUs on April 28, 2022 pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. Subject to the conditions of the Restricted Stock Unit Award Agreement, the RSUs are scheduled to vest on April 28, 2023, which is one year from the date of grant.

SEC source: 0001401914-22-000007 · wf-form4_164340372783895.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common stock · 185,000 shares

Expires 2032-01-25

F1 · derivative.exercise_date: This stock option vests and becomes exercisable in 48 equal monthly installments commencing on the one-month anniversary of the grant date, subject to the reporting person's continuous service to the issuer.

SEC source: 0001493152-21-010328 · ownership.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,578

Underlying: Common Stock · 4,578 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · price: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan in a transaction exempt under Rule 16b-3 to the Reporting Person, who is a non-executive director with the Issuer, in connection with services. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs are subject to the following vesting schedule: 1/3 of the RSUs shall vest on April 29, 2022, and each subsequent 1/3 of the RSUs shall vest every twelve (12) months thereafter until fully vested.

SEC source: 0001711576-21-000002 · wf-form4_161186841012861.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,000

Underlying: Common stock · 168,000 shares

Expires 2031-01-26

F1 · derivative.exercise_date: This stock option vests and becomes exercisable in 48 equal monthly installments commencing on the one-month anniversary of the grant date, subject to the reporting person's continuous service to the issuer.

SEC source: 0001401914-20-000032 · wf-form4_158379012050278.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,000

Underlying: Common stock · 68,000 shares

Expires 2030-03-06

F1 · derivative.exercise_date: This stock option vests and becomes exercisable in 48 equal monthly installments commencing on the one-month anniversary of the grant date, subject to the reporting person's continuous service to the issuer.

SEC source: 0001493152-20-000136 · ownership.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,948

Underlying: Common Stock · 3,948 shares

Expires 2030-01-01

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 3,948 shares of common stock of Issuer. The stock option vests over a 2 year period in quarterly installments, starting on 1/1/2020. The exercise price is the fair market value of Issuer's common stock, which is $8.87 per share based on the Issuer's 30-day volume-weighted average price on January 1, 2020.

SEC source: 0001209191-19-006217 · doc4.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2029-01-29

F1 · derivative.exercise_date: This stock option vests and becomes exercisable in 48 equal monthly installments commencing on the one-month anniversary of the grant date, subject to the reporting person's continuous service to the issuer.

SEC source: 0001209191-18-050351 · doc4.xml · derivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-09-07

F1 · derivative.exercise_date: This stock options vests and becomes exercisable in 48 equal monthly installments commencing on the one-month anniversary of the grant date, subject to the reporting person's continuous service to the issuer.

SEC source: 0001209191-17-045994 · doc4.xml · nonDerivative · entry 1

Walters-Hoffert Lisa · CIK 0001711576 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Lisa Walters-Hoffert Survivor's Trust dated October 31, 2002

Disclosed balance after: 443,512

F1 · price: In exchange for the issuance of shares of common stock and options to purchase shares of common stock of Dare Bioscience, Inc. (the "Corporation"), the Corporation acquired all of the issued and outstanding shares of common stock of Dare Bioscience Operations, Inc. ("Dare Operations") pursuant to the terms of a Stock Purchase Agreement, dated March 19, 2017, by and between the Corporation, Dare Operations and certain equityholders of Dare Operations party thereto, as filed with the Securities and Exchange Commission on Form 8-K on March 20, 2017 (such exchanges and issuances, the "Transaction").

F2 · price: The shares reported reflect the 10 for 1 reverse stock split effected by the Corporation on July 20, 2017. These shares were received in connection with the Transaction in exchange for 2,184,823 shares of Dare Operations common stock. On the effective date of the Transaction, the closing price of the common stock of the Corporation, as reported on The Nasdaq Capital Market, was $6.56 per share (on a post-split basis). Each share of common stock of Dare Operations was cancelled and exchanged for the right to receive 0.2029969047 shares of common stock of the Corporation (on a post-split basis).