Plesha Scott M.

SEC source: 0001753926-25-001175 · ownership.xml · derivative · entry 2

Plesha Scott M. · CIK 0001726687 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 255,000 shares

Expires 2035-07-02

F2 · price: On July 2, 2025, the Reporting Person was granted stock options to purchase 255,000 shares of common stock at an exercise price of $13.50 per share, with the initial one third (1/3) of such shares vesting on July 2, 2026, and in equal installments on a quarterly basis thereafter over a period of two (2) years.

F2 · derivative.exercise_date: On July 2, 2025, the Reporting Person was granted stock options to purchase 255,000 shares of common stock at an exercise price of $13.50 per share, with the initial one third (1/3) of such shares vesting on July 2, 2026, and in equal installments on a quarterly basis thereafter over a period of two (2) years.

SEC source: 0001753926-25-001175 · ownership.xml · derivative · entry 1

Plesha Scott M. · CIK 0001726687 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,678

Underlying: Common Stock · 83,678 shares

Expires 2035-07-02

F1 · price: On July 2, 2025, the Reporting Person was granted restricted stock units to purchase 83,678 shares of common stock at an exercise price of $13.50 per share, with the initial one third (1/3) of such shares vesting on July 2, 2026, and in equal installments on a quarterly basis thereafter over a period of two (2) years.

F1 · derivative.exercise_date: On July 2, 2025, the Reporting Person was granted restricted stock units to purchase 83,678 shares of common stock at an exercise price of $13.50 per share, with the initial one third (1/3) of such shares vesting on July 2, 2026, and in equal installments on a quarterly basis thereafter over a period of two (2) years.

SEC source: 0001919246-26-000044 · wk-form4a_1775079846.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,678

F1 · security: Represents shares of common stock, par value $0.0001 per share ("Common Stock") of Pelthos Therapeutics Inc. (the "Issuer"), issuable upon settlement of restricted stock units of the Issuer ("RSUs") granted to the reporting person pursuant to the Issuer's 2023 Equity Incentive Plan, as amended from time to time (the "2023 Plan"), each of which represents the right to receive one (1) share of Common Stock, subject to the vesting terms of such RSUs, and may be settled solely in shares of Common Stock. The original grant of RSUs was reported in Table II of the Form 4 filed by the reporting person (the "Original Form 4"). This Form 4 amendment (this "Amendment") is being filed to amend the Original Form 4 in order to report the grant of such RSUs in Table I.

F2 · shares: The RSUs were received as compensation for the reporting person's service as an officer of the Issuer pursuant to the 2023 Plan. The RSUs vest as follows: the initial one-third of such shares vests on July 2, 2026, and the remainder vesting in equal installments on a quarterly basis thereafter over a period of two years, so long as the reporting person remains in the service of the Issuer on each such anniversary.

F2 · price: The RSUs were received as compensation for the reporting person's service as an officer of the Issuer pursuant to the 2023 Plan. The RSUs vest as follows: the initial one-third of such shares vests on July 2, 2026, and the remainder vesting in equal installments on a quarterly basis thereafter over a period of two years, so long as the reporting person remains in the service of the Issuer on each such anniversary.

SEC source: 0001103021-22-000070 · wf-form4_164798368528851.xml · derivative · entry 5

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 369,721 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000070 · wf-form4_164798368528851.xml · derivative · entry 4

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 348,222 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000070 · wf-form4_164798368528851.xml · derivative · entry 3

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 245,000 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000070 · wf-form4_164798368528851.xml · derivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 119,228 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one Share.

F3 · price: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

F3 · derivative.exercise_date: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

F3 · derivative.expiration_date: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

SEC source: 0001103021-22-000070 · wf-form4_164798368528851.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

SEC source: 0001103021-22-000016 · wf-form4_164366973123746.xml · derivative · entry 8

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,334 shares

Expires 2022-01-31

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.

F7 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 31, 2019, under the Issuer's 2011 Equity Incentive Plan.

SEC source: 0001103021-22-000016 · wf-form4_164366973123746.xml · nonDerivative · entry 3

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 345,127

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: 0001103021-22-000016 · wf-form4_164366973123746.xml · nonDerivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,793

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: 0001103021-22-000016 · wf-form4_164366973123746.xml · derivative · entry 7

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,870

Underlying: Common Stock · 10,869 shares

Expires 2023-01-29

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.

F6 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 29, 2020, under the Plan. The remaining RSUs vest on January 29, 2023.

SEC source: 0001103021-22-000016 · wf-form4_164366973123746.xml · derivative · entry 6

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,101

Underlying: Common Stock · 21,050 shares

Expires 2024-01-27

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.

F5 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 27, 2021, under the Plan. The remaining RSUs will vest in equal portions on: (i) January 27, 2023; and (ii) January 27, 2024.

SEC source: 0001103021-22-000016 · wf-form4_164366973123746.xml · derivative · entry 5

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,257

Underlying: Common Stock · 66,257 shares

Expires 2025-01-27

F3 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2023; (ii) January 27, 2024; and (iii) January 27, 2025.

F4 · derivative.exercise_date: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock.

SEC source: 0001103021-22-000016 · wf-form4_164366973123746.xml · derivative · entry 4

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,721

Underlying: Common Stock · 369,721 shares

Expires 2032-01-26

F1 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is equal to the closing price of the Issuer's common stock on January 27, 2022.

F2 · kind: The stock options were issued to the Reporting Person on January 27, 2022, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2023; (ii) January 27, 2024; and (iii) January 27, 2025.

F2 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 27, 2022, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2023; (ii) January 27, 2024; and (iii) January 27, 2025.

SEC source: 0001103021-22-000016 · wf-form4_164366973123746.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,924

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: 0001103021-21-000033 · wf-form4_161592819765512.xml · derivative · entry 3

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,834 shares

Expires 2021-03-12

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: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,834 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP.

SEC source: 0001103021-21-000033 · wf-form4_161592819765512.xml · nonDerivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,874

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 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,834 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP.

SEC source: 0001103021-21-000033 · wf-form4_161592819765512.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,040

F1 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,834 Performance Restricted Stock Units (RSUs) granted to the Reporting Person on February 18, 2018 under the Issuer's Equity Incentive Plan, as amended (the EIP) subject to certain performance measures.

SEC source: 0001103021-21-000016 · wf-form4_161230683501026.xml · derivative · entry 4

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,334

Underlying: Common Stock · 13,333 shares

Expires 2022-01-31

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: The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 31, 2019, under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs will vest on January 31, 2022.

SEC source: 0001103021-21-000016 · wf-form4_161230683501026.xml · nonDerivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,206

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: 0001103021-21-000016 · wf-form4_161230683501026.xml · derivative · entry 3

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,739

Underlying: Common Stock · 10,870 shares

Expires 2023-01-29

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_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on January 29, 2020, under the Issuer's 2019 Stock Option Incentive Plan. The remaining RSUs vest equally on January 29, 2022 and January 29, 2023.

SEC source: 0001103021-21-000016 · wf-form4_161230683501026.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,873

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: 0001103021-21-000004 · wf-form4_161196502447119.xml · derivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,151

Underlying: Common Stock · 63,151 shares

Expires 2024-01-27

F3 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2021, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2022; (ii) January 27, 2023; and (iii) January 27, 2024.

F4 · derivative.exercise_date: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock.

SEC source: 0001103021-21-000004 · wf-form4_161196502447119.xml · derivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,222

Underlying: Common Stock · 348,222 shares

Expires 2031-01-26

F1 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is equal to the closing price of the Issuer's common stock on January 27, 2021.

F2 · kind: The stock options were issued to the Reporting Person on January 27, 2021, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2022; (ii) January 27, 2023; and (iii) January 27, 2024.

F2 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 27, 2021, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2022; (ii) January 27, 2023; and (iii) January 27, 2024.

SEC source: 0001103021-20-000087 · wf-form4_159000710756287.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,003

F1 · security: The shares of Common Stock were automatically sold under a pre-planned 10b5-1 trading plan.

F2 · price: On May 18, 2020, the Reporting Person sold an aggregate of 15,000 shares of the Issuer's Common Stock at a weighted average price of $4.52 per share. The highest sale price for the Common Stock was $4.58 per share and the lowest sale price was $4.46 per share. The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in these footnotes.

SEC source: 0001103021-20-000053 · wf-form4_158456275688538.xml · nonDerivative · entry 5

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,003

F5 · kind: The shares of Common Stock were automatically sold under a pre-planned 10b5-1 trading plan.

F6 · price: On March 18, 2018, the Reporting Person sold an aggregate of 15,000 shares of the Issuer's Common Stock at a weighted average price of $3.55 per share. The highest sale price for the Common Stock was $3.64 per share and the lowest sale price was $3.51 per share. The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in these footnotes.

SEC source: 0001103021-20-000053 · wf-form4_158456275688538.xml · derivative · entry 7

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,833 shares

Expires 2021-03-19

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: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP. The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2021.

SEC source: 0001103021-20-000053 · wf-form4_158456275688538.xml · derivative · entry 6

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,334 shares

Expires 2020-03-19

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_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,334 of Restricted Stock Units (RSUs) granted to the Reporting Person on February 6, 2017 under the Issuer's 2011 Equity Incentive Plan, as amended (the EIP).

SEC source: 0001103021-20-000053 · wf-form4_158456275688538.xml · nonDerivative · entry 4

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,003

F4 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 Performance RSUs granted to the Reporting Person on February 18, 2018 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

SEC source: 0001103021-20-000053 · wf-form4_158456275688538.xml · nonDerivative · entry 3

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,170

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 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP. The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2021.

SEC source: 0001103021-20-000053 · wf-form4_158456275688538.xml · nonDerivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,337

F2 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,334 Performance RSUs granted to the Reporting Person on February 6, 2017 under the EIP, subject to certain performance measures.

SEC source: 0001103021-20-000053 · wf-form4_158456275688538.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,003

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: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,334 of Restricted Stock Units (RSUs) granted to the Reporting Person on February 6, 2017 under the Issuer's 2011 Equity Incentive Plan, as amended (the EIP).

SEC source: 0001103021-20-000030 · wf-form4_158086253652230.xml · derivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,667

Underlying: Common Stock · 13,333 shares

Expires 2022-01-31

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_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on January 31, 2019, under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs vest equally on January 31, 2021 and January 31, 2022.

SEC source: 0001103021-20-000030 · wf-form4_158086253652230.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,669

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: 0001103021-20-000020 · wf-form4_158051082556071.xml · derivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,609

Underlying: Common Stock · 32,609 shares

Expires 2023-01-29

F3 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 29, 2020, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 29, 2021; (ii) January 29, 2022; and (iii) January 29, 2023.

F4 · derivative.exercise_date: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock.

SEC source: 0001103021-20-000020 · wf-form4_158051082556071.xml · derivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,576

Underlying: Common Stock · 158,576 shares

Expires 2030-01-29

F1 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is the volume-weighted average price of the Issuer's common stock for the 30-day period ending on January 28, 2020.

F2 · kind: The stock options were issued to the Reporting Person on January 29, 2020, pursuant to a grant under the Issuer's 2019 Stock Option and Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 29, 2021; (ii) January 29, 2022; and (iii) January 29, 2023.

F2 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 29, 2020, pursuant to a grant under the Issuer's 2019 Stock Option and Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 29, 2021; (ii) January 29, 2022; and (iii) January 29, 2023.

SEC source: 0001103021-20-000012 · wf-form4_157981488540534.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,336

F1 · security: The shares of Common Stock were automatically sold under a pre-planned 10b5-1 trading plan.

F2 · price: On January 21, 2020, the Reporting Person sold an aggregate of 15,000 shares of the Issuer's Common Stock at a weighted average price of $5.77 per share. The highest sale price for the Common Stock was $5.84 per share and the lowest sale price was $5.70 per share. The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in these footnotes.

SEC source: 0001103021-19-000054 · wf-form4_157627124203029.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,336

F1 · price: On December 11, 2019, the Reporting Person sold an aggregate of 50,000 shares of the Issuer's Common Stock at a weighted average price of $6.36 per share. The highest sale price for the Common Stock was $6.42 per share and the lowest sale price was $6.32 per share. The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in these footnotes.

SEC source: 0001103021-19-000037 · wf-form4_157419939601689.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,336

F1 · security: The shares of Common Stock were automatically sold under a pre-planned 10b5-1 trading plan.

F2 · price: On November 18, 2019, the Reporting Person sold an aggregate of 25,000 shares of the Issuer's Common Stock at a weighted average price of $6.06 per share. The highest sale price for the Common Stock was $6.16 per share and the lowest sale price was $6.01 per share. The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in these footnotes.

SEC source: 0000899243-19-008815 · doc4.xml · derivative · entry 8

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,667

Underlying: Common Stock · 20,833 shares

Expires 2021-03-19

F4 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 Performance RSUs granted to the Reporting Person on February 18, 2018 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

F4 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 Performance RSUs granted to the Reporting Person on February 18, 2018 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

F4 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 Performance RSUs granted to the Reporting Person on February 18, 2018 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

SEC source: 0000899243-19-008815 · doc4.xml · derivative · entry 7

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,667

Underlying: Common Stock · 20,833 shares

Expires 2021-03-19

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 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP. The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020 and March 2021.

F3 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP. The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020 and March 2021.

F3 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP. The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020 and March 2021.

SEC source: 0000899243-19-008815 · doc4.xml · derivative · entry 6

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,334

Underlying: Common Stock · 8,333 shares

Expires 2020-03-19

F2 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 Performance RSUs granted to the Reporting Person on February 6, 2017 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

F2 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 Performance RSUs granted to the Reporting Person on February 6, 2017 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

F2 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 Performance RSUs granted to the Reporting Person on February 6, 2017 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

SEC source: 0000899243-19-008815 · doc4.xml · derivative · entry 5

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,334

Underlying: Common Stock · 8,333 shares

Expires 2020-03-19

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 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 of Restricted Stock Units (RSUs) granted to the Reporting Person on February 6, 2017 under the Issuer's 2011 Equity Incentive Plan, as amended (the EIP). The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020.

F1 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 of Restricted Stock Units (RSUs) granted to the Reporting Person on February 6, 2017 under the Issuer's 2011 Equity Incentive Plan, as amended (the EIP). The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020.

F1 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 of Restricted Stock Units (RSUs) granted to the Reporting Person on February 6, 2017 under the Issuer's 2011 Equity Incentive Plan, as amended (the EIP). The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020.

SEC source: 0000899243-19-008815 · doc4.xml · nonDerivative · entry 4

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,833

F4 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 Performance RSUs granted to the Reporting Person on February 18, 2018 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

F4 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 Performance RSUs granted to the Reporting Person on February 18, 2018 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

SEC source: 0000899243-19-008815 · doc4.xml · nonDerivative · entry 3

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,503

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 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP. The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020 and March 2021.

F3 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 20,833 of RSUs granted to the Reporting Person on February 18, 2018 under the EIP. The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020 and March 2021.

SEC source: 0000899243-19-008815 · doc4.xml · nonDerivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,670

F2 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 Performance RSUs granted to the Reporting Person on February 6, 2017 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

F2 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 Performance RSUs granted to the Reporting Person on February 6, 2017 under the EIP, subject to certain performance measures. The remainder of the PRSUs under this grant will vest after the first open window upon the filing of the Company's Annual Report in March 2020 subject to certain performance measures.

SEC source: 0000899243-19-008815 · doc4.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,337

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 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 of Restricted Stock Units (RSUs) granted to the Reporting Person on February 6, 2017 under the Issuer's 2011 Equity Incentive Plan, as amended (the EIP). The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020.

F1 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 8,333 of Restricted Stock Units (RSUs) granted to the Reporting Person on February 6, 2017 under the Issuer's 2011 Equity Incentive Plan, as amended (the EIP). The remainder of the RSUs under this grant will vest in the first open window upon the filing of the Company's Annual Report in March 2020.

SEC source: 0000899243-19-005536 · doc4.xml · derivative · entry 2

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,666 shares

Expires 2019-03-01

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 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 11,666 of Restricted Stock Units granted to the Reporting Person on February 29, 2016 under the Issuer's 2011 Equity Incentive Plan, as amended.

F1 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 11,666 of Restricted Stock Units granted to the Reporting Person on February 29, 2016 under the Issuer's 2011 Equity Incentive Plan, as amended.

F1 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 11,666 of Restricted Stock Units granted to the Reporting Person on February 29, 2016 under the Issuer's 2011 Equity Incentive Plan, as amended.

SEC source: 0000899243-19-005536 · doc4.xml · nonDerivative · entry 1

Plesha Scott M. · CIK 0001726687 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,004

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 · kind: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 11,666 of Restricted Stock Units granted to the Reporting Person on February 29, 2016 under the Issuer's 2011 Equity Incentive Plan, as amended.

F1 · price: The shares of common stock were acquired by the Reporting Person as a result of the vesting of 11,666 of Restricted Stock Units granted to the Reporting Person on February 29, 2016 under the Issuer's 2011 Equity Incentive Plan, as amended.