Litvack Frank

SEC source: 0001310715-26-000004 · form4-05142026_050501.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,937 shares

Expires 2026-06-02

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

F2 · derivative.exercise_price: This option was granted on June 2, 2016 and was previously reported as covering 39,375 shares at an exercise price of $3.12 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

F3 · derivative.exercise_date: 1,750 shares vested immediately on June 2, 2016. The remaining shares vested on December 31, 2016.

SEC source: 0001310715-26-000004 · form4-05142026_050501.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,776

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: 0001310715-26-000002 · form4-01072026_040101.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2036-01-05

F1 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2026, with the last month vesting on December 31, 2026, until the stock option becomes fully vested and exercisable. The award pertains to annual board service as Executive Chairman. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-25-006736 · form4-03042025_070305.xml · derivative · entry 4

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2025-03-03

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

F3 · derivative.exercise_price: This option was granted on March 3, 2015 and was previously reported as covering 250,000 shares at an exercise price of $5.78 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

F4 · derivative.exercise_date: Shares vested 1/48th on the first day of each month commencing April 1, 2015.

F3 · derivative.underlying_shares: This option was granted on March 3, 2015 and was previously reported as covering 250,000 shares at an exercise price of $5.78 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice of $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-25-006736 · form4-03042025_070305.xml · nonDerivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,839

F1 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on March 3, 2025 of $13.67. The options would otherwise expire on March 3, 2025, pursuant to their terms.

F1 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on March 3, 2025 of $13.67. The options would otherwise expire on March 3, 2025, pursuant to their terms.

SEC source: 0001415889-25-006736 · form4-03042025_070305.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,382

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

SEC source: 0001415889-25-000932 · form4-01072025_120110.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-01-02

F3 · derivative.exercise_date: The shares vest 1/12th of the first day of each month, commencing February 1, 2025, with the last month vesting on December 31, 2025, until the stock option becomes fully vested and exercisable. The award pertains to annual board service as Executive Chairman. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-24-028337 · form4-12042024_081201.xml · derivative · entry 5

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

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 · ownership.nature: Held by Litvack Curtis Family Trust for which the Reporting Person serves as trustee.

SEC source: 0001415889-24-028337 · form4-12042024_081201.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held in Family Trust

Disclosed balance after: 46,278

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 · ownership.nature: Held by Litvack Curtis Family Trust for which the Reporting Person serves as trustee.

SEC source: 0001415889-24-028337 · form4-12042024_081201.xml · derivative · entry 4

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Family Trust

Disclosed balance after: 20,391

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

F1 · ownership.nature: Held by Litvack Curtis Family Trust for which the Reporting Person serves as trustee.

SEC source: 0001415889-24-028337 · form4-12042024_081201.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

SEC source: 0001415889-24-000651 · form4-01042024_050108.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-01-02

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

SEC source: 0001415889-23-012326 · form4-08162023_050801.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,748 shares

Expires 2023-08-21

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

F3 · derivative.exercise_price: This option was granted on August 21, 2013 and was previously reported as covering 207,485 shares at an exercise price of $0.30 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

F3 · derivative.underlying_shares: This option was granted on August 21, 2013 and was previously reported as covering 207,485 shares at an exercise price of $0.30 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-23-012326 · form4-08162023_050801.xml · nonDerivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,269

F2 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on August 14, 2023 of $6.61. The options would otherwise expire on August 21, 2023, pursuant to their terms.

F2 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on August 14, 2023 of $6.61. The options would otherwise expire on August 21, 2023, pursuant to their terms.

SEC source: 0001415889-23-012326 · form4-08162023_050801.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,633

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 · balance_after: This amount has been adjusted to correct an administrative error in the Form 4 filed by the reporting person on February 23, 2023, which inadvertently overstated the amount of common stock beneficially owned by 20,391 shares.

SEC source: 0001415889-23-003083 · form4-02232023_090201.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,027 shares

Expires 2023-02-22

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

F2 · derivative.exercise_price: This option was granted on February 22, 2013 and was previously reported as covering 140,270 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

F3 · derivative.exercise_date: 25% of the shares vested immediately, with the remainder vesting monthly over 25 months commencing May 1, 2013.

F2 · derivative.underlying_shares: This option was granted on February 22, 2013 and was previously reported as covering 140,270 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-23-003083 · form4-02232023_090201.xml · nonDerivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,276

F1 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

F1 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on February 21, 2023 of $4.31. The options would otherwise expire on February 22, 2023, pursuant to their terms.

SEC source: 0001415889-23-003083 · form4-02232023_090201.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,800

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

SEC source: 0001415889-23-000592 · form4-01052023_080124.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Stock · 185,000 shares

Expires 2033-01-03

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

SEC source: 0001415889-22-000284 · form4-01042022_090154.xml · derivative · entry 4

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,250

Underlying: Common Stock · 252,250 shares

Expires 2032-01-03

F3 · derivative.exercise_date: The shares vest 1/48th of the first day of each month, commencing February 1, 2022, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Issuer if the reporting person's service to the Issuer terminates prior to vesting.

SEC source: 0001415889-22-000284 · form4-01042022_090154.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 154,543 shares

Expires 2022-04-27

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

F2 · derivative.exercise_date: This option was granted on April 27, 2012 and was previously reported as covering 1,545,435 shares at an exercise price of $0.37 per share, but was adjusted to reflect a 1-for-10 reverse stock split that occurred on June 4, 2019 and a share reprice to $1.39 per share that occurred on February 12, 2020.

SEC source: 0001415889-22-000284 · form4-01042022_090154.xml · nonDerivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,382

F1 · kind: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on January 3, 2022 of $3.18. The options would otherwise expire on April 27, 2022, pursuant to their terms.

F1 · price: Represents a "net exercise" of outstanding stock options. These shares were withheld by the Issuer for payment of the exercise price, based on the closing market price of the Issuer's common stock on January 3, 2022 of $3.18. The options would otherwise expire on April 27, 2022, pursuant to their terms.

SEC source: 0001415889-22-000284 · form4-01042022_090154.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,934

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: 0001104659-21-001586 · tm211849-4_4seq1.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,160

Underlying: Common Stock · 211,160 shares

Expires 2031-01-04

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

SEC source: 0001104659-20-071419 · tm2022128-4_4.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,935

Underlying: Common Stock · 280,935 shares

Expires 2030-06-05

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

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 16

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 154,543 shares

Expires 2022-04-27

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 15

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,027 shares

Expires 2023-03-06

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 14

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,748 shares

Expires 2023-08-21

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 13

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2025-03-03

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 12

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,937 shares

Expires 2026-06-02

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 11

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2027-01-03

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 10

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2028-01-02

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

F3 · derivative.exercise_date: 3,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 2,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 9

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,750 shares

Expires 2029-08-08

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

F1 · derivative.exercise_date: 8,000 of the shares were vested on the date of grant. The remaining 15,750 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 8

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,543

Underlying: Common Stock · 154,543 shares

Expires 2022-04-27

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 7

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,027

Underlying: Common Stock · 14,027 shares

Expires 2023-03-06

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 6

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,748

Underlying: Common Stock · 20,748 shares

Expires 2023-08-21

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 5

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2025-03-03

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 4

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,937

Underlying: Common Stock · 3,937 shares

Expires 2026-06-02

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 3

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2027-01-03

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

F4 · derivative.exercise_date: The stock option award is fully vested and exercisable.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2028-01-02

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

F3 · derivative.exercise_date: 3,500 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 2,500 shares will vest 1/12th on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-20-022101 · tm208086d4_4.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,750

Underlying: Common Stock · 23,750 shares

Expires 2029-08-08

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

F1 · derivative.exercise_date: 8,000 of the shares were vested on the date of grant. The remaining 15,750 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. The option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001104659-19-074516 · tm1926719d3_4.xml · derivative · entry 2

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391

Underlying: Common Stock · 20,391 shares

Expires 2024-12-17

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001104659-19-074516 · tm1926719d3_4.xml · nonDerivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391

F1 · price: The Reporting Person on December 17, 2019, purchased 20,391 shares of the common stock of Capricor Therapeutics, Inc. (the "Issuer"), and accompanying amount of warrants to purchase up to an aggregate of 20,391 shares of the Issuer's common stock, at a combined purchase price of $1.226 per share of common stock and accompanying warrant, for a total cost of approximately US$25,000.

SEC source: 0001144204-19-039001 · tv527332_form4.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,750

Underlying: Common Stock · 23,750 shares

Expires 2029-08-08

F1 · derivative.exercise_date: 8,000 of the shares shall vest immediately. The remaining 15,750 shares will vest 1/48th on the first day of each month, commencing September 1, 2019, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-18-000859 · tv482716_4.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2028-01-02

F1 · derivative.exercise_date: 35,000 of the shares will vest 1/48th on the first day of each month, commencing February 1, 2018, until the stock option becomes fully vested and exercisable. The remaining 25,000 shares will vest 1/12 on the first day of each month, commencing February 1, 2018, with the last month vesting on December 31, 2018. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.

SEC source: 0001144204-17-000702 · v456177_4.xml · derivative · entry 1

Litvack Frank · CIK 0001310715 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-01-03

F1 · derivative.exercise_date: 25,000 shares will vest 1/12 on the first day of each month, commencing February 1, 2017, with the last month vesting on December 31, 2017, until the stock option becomes fully vested and exercisable. However, the option is subject to early exercise and, therefore, all or any part of the option can be exercised at any time. If the reporting person elects to take advantage of the early exercise feature and purchase shares prior to the vesting of such shares, the shares will be deemed restricted stock and will be subject to a repurchase option in favor of the Registrant if the reporting person's service to the Registrant terminates prior to vesting.