Brandt Peter C.

SEC source: 0001434099-26-000002 · form4-05122026_040506.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,000

Underlying: Common Stock · 22,000 shares

Expires 2036-05-09

F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on June 9, 2026; provided, however, that the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders, subject to the Reporting Person continuing to provide service through each such date.

SEC source: 0001434099-25-000004 · form4-12232025_061203.xml · nonDerivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,181

F1 · balance_after: Effective June 3, 2025, the Issuer effected a 1-for-30 reverse stock split of the Issuer's common stock. The number of securities reported herein have been adjusted to reflect the reverse stock split.

SEC source: 0001415889-25-012650 · form4-05122025_040509.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,150

Underlying: Common Stock · 63,150 shares

Expires 2035-05-08

F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on June 8, 2025; provided, however, that the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders, subject to the Reporting Person continuing to provide service through each such date.

SEC source: 0001415889-25-012286 · form4-05072025_080501.xml · derivative · entry 9

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 81,967 shares

Expires 2025-05-02

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.

F3 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-25-012286 · form4-05072025_080501.xml · derivative · entry 6

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 81,967 shares

Expires 2025-05-02

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.

F3 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-25-012286 · form4-05072025_080501.xml · nonDerivative · entry 2

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 681,538

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: 0001415889-25-012286 · form4-05072025_080501.xml · nonDerivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 599,571

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: 0001415889-25-012286 · form4-05072025_080501.xml · derivative · entry 8

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,967

Underlying: Common Stock · 81,967 shares

Expires 2025-05-02

F5 · kind: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 with an exercise price of $1.50 and expiration date of December 13, 2028. The exercise price was reduced to $0.1844 per share and the warrant expiration date was amended to May 2, 2025.

F5 · price: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 with an exercise price of $1.50 and expiration date of December 13, 2028. The exercise price was reduced to $0.1844 per share and the warrant expiration date was amended to May 2, 2025.

F3 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-25-012286 · form4-05072025_080501.xml · derivative · entry 7

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 81,967 shares

Expires 2028-12-13

F5 · kind: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 with an exercise price of $1.50 and expiration date of December 13, 2028. The exercise price was reduced to $0.1844 per share and the warrant expiration date was amended to May 2, 2025.

F4 · price: The reported securities are included within 81,967 units purchased by the Reporting Person on December 13, 2023 for $1.22 per unit. Each unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock.

F5 · price: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 with an exercise price of $1.50 and expiration date of December 13, 2028. The exercise price was reduced to $0.1844 per share and the warrant expiration date was amended to May 2, 2025.

F3 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-25-012286 · form4-05072025_080501.xml · derivative · entry 5

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,967

Underlying: Common Stock · 81,967 shares

Expires 2025-05-02

F2 · kind: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 and later amended on October 4, 2024 with an exercise price of $0.45 per share and expiration date of October 4, 2025. On April 27, 2025, the warrant's exercise price was reduced to $0.1844 per share and the warrant expiration date was amended to May 2, 2025.

F2 · price: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 and later amended on October 4, 2024 with an exercise price of $0.45 per share and expiration date of October 4, 2025. On April 27, 2025, the warrant's exercise price was reduced to $0.1844 per share and the warrant expiration date was amended to May 2, 2025.

F3 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-25-012286 · form4-05072025_080501.xml · derivative · entry 4

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 81,967 shares

Expires 2025-10-04

F2 · kind: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 and later amended on October 4, 2024 with an exercise price of $0.45 per share and expiration date of October 4, 2025. On April 27, 2025, the warrant's exercise price was reduced to $0.1844 per share and the warrant expiration date was amended to May 2, 2025.

F2 · price: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 and later amended on October 4, 2024 with an exercise price of $0.45 per share and expiration date of October 4, 2025. On April 27, 2025, the warrant's exercise price was reduced to $0.1844 per share and the warrant expiration date was amended to May 2, 2025.

F4 · price: The reported securities are included within 81,967 units purchased by the Reporting Person on December 13, 2023 for $1.22 per unit. Each unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock.

F3 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-24-030061 · form4-12232024_041213.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,490

Underlying: Common Stock · 49,490 shares

Expires 2034-12-19

F1 · derivative.exercise_date: The shares subject to the option shall vest on December 19, 2025, subject to the Reporting Person continuing to provide service on such date.

SEC source: 0001415889-24-024867 · form4-10082024_041004.xml · derivative · entry 5

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,164

Underlying: Common Stock · 253,164 shares

Expires 2027-10-04

F1 · price: The reported securities are included within 253,164 Issuer Units purchased by the Reporting Person for $0.395 per Unit. Each Unit consists of one share of common stock and one Series C warrant representing the right to purchase 253,164 shares of common stock.

F4 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-24-024867 · form4-10082024_041004.xml · derivative · entry 4

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,967

Underlying: Common Stock · 81,967 shares

Expires 2025-10-04

F3 · kind: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 with an exercise price of $1.25 and expiration date of June 13, 2025. The exercise price was reduced to $0.45 and the warrant expiration date was extended to October 4, 2025.

F3 · price: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 with an exercise price of $1.25 and expiration date of June 13, 2025. The exercise price was reduced to $0.45 and the warrant expiration date was extended to October 4, 2025.

F5 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock.

F4 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-24-024867 · form4-10082024_041004.xml · derivative · entry 3

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 81,967 shares

Expires 2025-06-13

F3 · kind: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 with an exercise price of $1.25 and expiration date of June 13, 2025. The exercise price was reduced to $0.45 and the warrant expiration date was extended to October 4, 2025.

F3 · price: The reported transaction involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on December 13, 2023 with an exercise price of $1.25 and expiration date of June 13, 2025. The exercise price was reduced to $0.45 and the warrant expiration date was extended to October 4, 2025.

F5 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock.

F4 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001415889-24-024867 · form4-10082024_041004.xml · nonDerivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 517,604

F1 · price: The reported securities are included within 253,164 Issuer Units purchased by the Reporting Person for $0.395 per Unit. Each Unit consists of one share of common stock and one Series C warrant representing the right to purchase 253,164 shares of common stock.

SEC source: 0001415889-24-016965 · form4-06142024_050605.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,650

Underlying: Common Stock · 33,650 shares

Expires 2034-06-12

F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 12, 2024; provided, however, that the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders, subject to the Reporting Person continuing to provide service through each such date.

SEC source: 0001209191-23-058713 · doc4.xml · derivative · entry 4

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,967

Underlying: Common Stock · 81,967 shares

Expires 2028-12-13

F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock.

F3 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001209191-23-058713 · doc4.xml · derivative · entry 3

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,967

Underlying: Common Stock · 81,967 shares

Expires 2025-06-13

F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock.

F3 · derivative.exercise_date: Fully vested and exercisable.

SEC source: 0001209191-23-058713 · doc4.xml · nonDerivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 264,440

F1 · price: The reported securities are included within 81,967 Issuer Units purchased by the Reporting Person for $1.22 per Unit. Each Unit consists of one share of common stock, one Series A warrant and one Series B warrant, each warrant represents the right to purchase 81,967 shares of common stock.

SEC source: 0001209191-23-038124 · doc4.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 15, 2023 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date.

SEC source: 0001209191-22-046598 · doc4.xml · nonDerivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,473

F1 · balance_after: Includes 77,210 shares received as an annual annuity payment from the Reporting Person's GRAT. This transfer constitutes a mere change in the form of ownership and is exempt from reporting pursuant to Rule 16a-13.

SEC source: 0001209191-22-036807 · doc4.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,500

Underlying: Common Stock · 10,500 shares

Expires 2032-06-01

F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date.

SEC source: 0001209191-22-051159 · doc4a.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,500

Underlying: Common Stock · 13,500 shares

Expires 2032-06-01

F1 · shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person.

F2 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on July 1, 2022 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date.

F1 · derivative.underlying_shares: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person.

F1 · balance_after: The original Form 4 inadvertently listed the incorrect number of shares granted to the Reporting Person.

SEC source: 0001209191-21-049151 · doc4.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,500

Underlying: Common Stock · 10,500 shares

Expires 2031-07-29

F1 · derivative.exercise_date: One twelfth (1/12th) of the shares subject to the option shall vest in equal monthly installments commencing on August 29, 2021 and will be fully vested on the date of the next annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing to provide service through each such date.

SEC source: 0001140361-19-010671 · form4.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,537

Underlying: Common Stock · 3,537 shares

Expires 2029-06-06

SEC source: 0001140361-18-030732 · form4.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,742

Underlying: Common Stock · 39,742 shares

Expires 2028-06-28

SEC source: 0001140361-17-015706 · form4.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2027-04-11