SIMS JAMES K

SEC source: 0001209191-20-014820 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,227

F1 · balance_after: Includes 19,654 restricted stock units previously issued to the Reporting Person by the Issuer.

SEC source: 0001209191-20-007084 · doc4.xml · derivative · entry 3

SIMS JAMES K · CIK 0001208317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,682

Underlying: Common Stock · 11,682 shares

Expires 2030-02-02

F5 · shares: The option is exercisable as it vests. 100% of the shares subject to the option vest on February 3, 2021, subject to the Reporting Person's continued service with the Issuer through such vesting date.

F5 · derivative.exercise_date: The option is exercisable as it vests. 100% of the shares subject to the option vest on February 3, 2021, subject to the Reporting Person's continued service with the Issuer through such vesting date.

SEC source: 0001209191-20-007084 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,227

F1 · security: Each restricted stock unit (RSU) represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest on February 3, 2021, subject to the Reporting Person's continued service with the Issuer through such vesting date.

F2 · balance_after: Includes (A) the 4,409 restricted stock units reported above and (B) an additional 20,326 restricted stock units previously issued to the Reporting Person by the Issuer, which vest in substantially equal installments on each of the March 1, 2020, March 1, 2021, March 1, 2022 and March 1, 2023, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

SEC source: 0001209191-20-009624 · doc5.xml · nonDerivative · entry 2

SIMS JAMES K · CIK 0001208317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,227

F1 · kind: Bona fide gift to child.

F2 · balance_after: Includes 24,735 restricted stock units previously issued to the Reporting Person by the Issuer.

SEC source: 0001209191-19-058221 · doc4.xml · derivative · entry 3

SIMS JAMES K · CIK 0001208317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2019-12-03

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_date: The option is fully vested.

SEC source: 0001209191-19-058221 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,818

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: 0001209191-19-042524 · doc4.xml · nonDerivative · entry 3

SIMS JAMES K · CIK 0001208317 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,818

F4 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F5 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $14.28 to $14.54. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F6 · balance_after: Includes 20,326 restricted stock units.

SEC source: 0001209191-19-042524 · doc4.xml · nonDerivative · entry 2

SIMS JAMES K · CIK 0001208317 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 7,529

F2 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

F3 · ownership.nature: Represents 7,529 shares of common stock held by GEN3 Capital.

SEC source: 0001209191-19-042524 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 13,017

F1 · ownership.nature: Represents 10,291 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 2,726 shares of common stock held by Gen 3 Partners, Inc. ("Gen 3 Partners").

F2 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

SEC source: 0001209191-20-009624 · doc5.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,227

F1 · kind: Bona fide gift to child.

F2 · balance_after: Includes 24,735 restricted stock units previously issued to the Reporting Person by the Issuer.

SEC source: 0001209191-19-019861 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 17,493

F1 · kind: Represents a pro rata distribution in-kind to the limited partners of GEN3 Capital I, LP ("GEN3 Capital") for no value.

F2 · ownership.nature: Represents 12,529 shares of common stock held by GEN3 Capital and 4,964 shares of common stock held by Gen 3 Partners, Inc. ("Gen 3 Partners").

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

SEC source: 0001209191-19-017546 · doc4.xml · derivative · entry 3

SIMS JAMES K · CIK 0001208317 · Director · Interim CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2019-03-17

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.

F5 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-19-017546 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · Interim CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,920

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

F1 · security: Each restricted stock unit (RSU) represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in substantially equal installments on each of March 1, 2020, March 1, 2021, March 1, 2022 and March 1, 2023, subject to the Reporting Person's continued employment or service with the Issuer through each such vesting date.

F2 · balance_after: Includes 20,326 restricted stock units.

SEC source: 0001209191-19-004656 · doc4.xml · derivative · entry 3

SIMS JAMES K · CIK 0001208317 · Director · Interim CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-01-15

F5 · derivative.exercise_date: The option is exercisable as it vests. 25% of the shares subject to the option vest on January 1, 2020, and 1/48th of the total number of shares subject to the option vest monthly thereafter, subject to the Reporting Person's continued employment or service with the Issuer through each such vesting date.

SEC source: 0001209191-19-004656 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · Interim CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,920

F1 · security: Each restricted stock unit (RSU) represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in substantially equal installments on each of March 1, 2020, March 1, 2021, March 1, 2022 and March 1, 2023, subject to the Reporting Person's continued employment or service with the Issuer through each such vesting date.

F2 · balance_after: Includes 20,326 restricted stock units.

SEC source: 0001209191-18-029367 · doc4.xml · derivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · Interim CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2028-05-07

F1 · derivative.exercise_date: The option is exercisable as it vests. The shares subject to the option shall vest in equal installments on a quarterly basis over a 2-year period following the grant date, subject to the reporting person's continued service to the Issuer through each vesting date. The shares subject to the option will also vest in the event of a change in control of the Issuer.

SEC source: 0001209191-18-017766 · doc4.xml · nonDerivative · entry 2

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,054,748

F2 · ownership.nature: Following the transaction reported herein, includes 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 11,284 shares of common stock held by Gen 3 Partners, Inc. ("Gen 3 Partners").

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

SEC source: 0001209191-18-017766 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,060,317

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $9.25 to $9.2550. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · ownership.nature: Following the transaction reported herein, includes 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 11,284 shares of common stock held by Gen 3 Partners, Inc. ("Gen 3 Partners").

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

SEC source: 0001209191-18-004671 · doc4.xml · derivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2028-01-18

F1 · derivative.exercise_date: This option is exercisable on the first anniversary of the date of grant (1/19/2019).

SEC source: 0000899243-17-029497 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,062,748

F1 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $9.31 to $9.35. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

F2 · ownership.nature: Following the transaction reported herein, includes 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 19,284 shares of common stock held by Gen 3 Partners, Inc. ("Gen 3 Partners").

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in his capacity as a director of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

SEC source: 0000899243-17-026453 · doc4.xml · derivative · entry 3

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2017-12-10

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 option is fully vested.

SEC source: 0000899243-17-026453 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,594

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: 0000899243-17-019083 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,070,771

F1 · kind: Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.

F2 · ownership.nature: Represents 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 27,307 shares of common stock held by Gen 3 Partners.

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims, Francis X. Egan, Arthur M. Toscanini and Michael Treacy may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in their capacity as directors of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

SEC source: 0001209191-17-040975 · doc4.xml · derivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2027-06-14

F1 · derivative.exercise_date: This option is exercisable on the first to occur of the first anniversary of the date of grant (6/15/2018) or the next occurring annual meeting of stockholders.

SEC source: 0000899243-17-016417 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,082,006

F1 · kind: Represents a distribution in-kind to certain shareholders of Gen 3 Partners, Inc. ("Gen 3 Partners") for no value.

F2 · ownership.nature: Represents 1,043,464 shares of common stock held by GEN3 Capital I, LP ("GEN3 Capital") and 38,542 shares of common stock held by Gen 3 Partners.

F3 · ownership.nature: The general partner of GEN3 Capital is GEN3 Capital Partners, LLC ("GEN3 LLC"), and James K. Sims is the Managing Member of GEN3 LLC. As a result, each of GEN3 LLC and Mr. Sims may be deemed to share beneficial ownership of the shares held by GEN3 Capital. Mr. Sims, Francis X. Egan, Arthur M. Toscanini and Michael Treacy may be deemed to share beneficial ownership of the shares held by Gen 3 Partners in their capacity as directors of Gen 3 Partners. Each of the individuals and entities listed herein disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.

SEC source: 0001209191-17-018970 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,147

SEC source: 0001209191-17-004666 · doc4.xml · derivative · entry 2

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2017-01-24

SEC source: 0001209191-17-004666 · doc4.xml · nonDerivative · entry 1

SIMS JAMES K · CIK 0001208317 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,157

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.