Harvey Brian Nicholas

SEC source: 0001519432-26-000002 · ownership.xml · derivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,361

Underlying: Common Stock · 43,361 shares

Expires 2036-03-24

F1 · derivative.exercise_date: (1) 1/48th of the shares shall vest on each of the next forty-eight (48) monthly anniversaries of the grant date, provided that the Reporting Person maintains a service relationship with the Issuer as of the applicable vesting dates.

SEC source: 0001193125-26-024746 · ownership.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,145

F1 · kind: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units and does not represent a sale by the Reporting Person.

F2 · balance_after: Reflects a 1-for-16 reverse stock split effected by the Issuer on December 30, 2025.

SEC source: 0000950170-25-013591 · ownership.xml · derivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 324,040

Underlying: Common Stock · 324,040 shares

Expires 2035-01-30

F1 · derivative.exercise_date: 1/48th of the shares shall vest on each of the next forty-eight (48) monthly anniversaries of the grant date, provided that the Reporting Person maintains a service relationship with the Issuer as of the applicable vesting dates.

SEC source: 0000950170-25-009827 · ownership.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,048

F1 · kind: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units and does not represent a sale by the Reporting Person.

SEC source: 0000950170-24-070628 · ownership.xml · derivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,829

Underlying: Common Stock · 374,829 shares

Expires 2034-01-25

F1 · derivative.exercise_date: 1/48th of the shares shall vest in forty-eight (48) equal monthly installaments following January 26, 2024, provided that the Reporting Person maintains a service relationship with the Issuer as of the applicable vesting dates.

SEC source: 0000950170-24-008048 · ownership.xml · derivative · entry 3

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 288,022

Underlying: Common Stock · 288,022 shares

Expires 2034-01-23

F3 · derivative.exercise_date: 1/48th of the shares shall vest on each of the next forty-eight (48) monthly anniversaries of the grant date, provided that the Reporting Person maintains a service relationship with the Issuer as of the applicable vesting dates.

SEC source: 0000950170-24-008048 · ownership.xml · nonDerivative · entry 2

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,800

F2 · shares: The Reporting Person was issued RSUs. Each RSU represents a contingent right to receive one share of Common Stock. The RSUs shall vest in three (3) annual installments, with the first tranche vesting on January 24, 2025. The RSUs may be settled only by delivering shares of Common Stock, and thus, the grant is being reported in Table I as allowed per SEC guidance.

SEC source: 0000950170-24-008048 · ownership.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,500

F1 · kind: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units and does not represent a sale by the Reporting Person.

SEC source: 0001209191-23-051468 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,820

F1 · kind: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units and does not represent a sale by the Reporting Person.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 9

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 176,308

Underlying: Common Stock · 176,308 shares

Expires 2033-08-13

F7 · derivative.exercise_date: Prior to August 14, 2024, no shares shall be vested or exercisable under this option. Effective as of August 14, 2024, the following vesting schedule shall apply: 25% of the shares shall have vested and become exercisable on September 17, 2021, with the remaining 75% vesting in thirty-six (36) equal installments on each monthly anniversary following September 17, 2021, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date. This option was issued to the Reporting Person because his previously awarded option granted under Nasdaq Listing Rule 5635(c)(4) is not eligible for repricing.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 8

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,200

Underlying: Common Stock · 117,200 shares

Expires 2033-01-23

F3 · derivative.exercise_price: The exercise price of the option is $2.14 per share, representing the fair market value per share of the Issuer's Common Stock on the Effective Date; provided that the repriced option will revert to its original exercise price if, prior to the first anniversary of the Effective Date, (a) the Reporting Person's employment is terminated by the Issuer with cause or by the Reporting Person or (b) the option is exercised.

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F6 · derivative.exercise_date: The shares subject to this option shall vest in forty-eight (48) equal installments on each monthly anniversary following January 24, 2023, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 7

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 117,200 shares

Expires 2033-01-23

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F6 · derivative.exercise_date: The shares subject to this option shall vest in forty-eight (48) equal installments on each monthly anniversary following January 24, 2023, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 6

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-01-06

F3 · derivative.exercise_price: The exercise price of the option is $2.14 per share, representing the fair market value per share of the Issuer's Common Stock on the Effective Date; provided that the repriced option will revert to its original exercise price if, prior to the first anniversary of the Effective Date, (a) the Reporting Person's employment is terminated by the Issuer with cause or by the Reporting Person or (b) the option is exercised.

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F5 · derivative.exercise_date: The shares subject to this option shall vest in forty-eight (48) equal installments on each monthly anniversary following January 7, 2022, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 5

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires 2032-01-06

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F5 · derivative.exercise_date: The shares subject to this option shall vest in forty-eight (48) equal installments on each monthly anniversary following January 7, 2022, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 4

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,200

Underlying: Common Stock · 28,200 shares

Expires 2031-02-11

F3 · derivative.exercise_price: The exercise price of the option is $2.14 per share, representing the fair market value per share of the Issuer's Common Stock on the Effective Date; provided that the repriced option will revert to its original exercise price if, prior to the first anniversary of the Effective Date, (a) the Reporting Person's employment is terminated by the Issuer with cause or by the Reporting Person or (b) the option is exercised.

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F4 · derivative.exercise_date: 25% of the shares subject to this option vested and became exercisable on February 12, 2022, with the remaining 75% vesting in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 3

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,200 shares

Expires 2031-02-11

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F4 · derivative.exercise_date: 25% of the shares subject to this option vested and became exercisable on February 12, 2022, with the remaining 75% vesting in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 2

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2031-01-12

F3 · derivative.exercise_price: The exercise price of the option is $2.14 per share, representing the fair market value per share of the Issuer's Common Stock on the Effective Date; provided that the repriced option will revert to its original exercise price if, prior to the first anniversary of the Effective Date, (a) the Reporting Person's employment is terminated by the Issuer with cause or by the Reporting Person or (b) the option is exercised.

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2 · derivative.exercise_date: 25% of the shares subject to this option vested and became exercisable on January 13, 2022, with the remaining 75% vesting in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001209191-23-046100 · doc4.xml · derivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2031-01-12

F1 · kind: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F1 · price: On August 8, 2023, the Issuer's Board of Directors approved an option repricing (the "Repricing"), effective as of August 14, 2023 (the "Effective Date"). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F2 · derivative.exercise_date: 25% of the shares subject to this option vested and became exercisable on January 13, 2022, with the remaining 75% vesting in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001209191-23-005043 · doc4.xml · derivative · entry 2

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,200

Underlying: Common Stock · 117,200 shares

Expires 2033-01-23

F2 · derivative.exercise_date: 1/48th of the shares shall vest on each of the next forty-eight (48) monthly anniversaries of the grant date, provided that the Reporting Person maintains a service relationship with the Company as of the applicable vesting dates.

SEC source: 0001209191-23-005043 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,916

F1 · shares: The Reporting Person was issued Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock. The RSUs shall vest in three (3) annual installments, with the first tranche vesting on January 24, 2024. The RSUs may be settled only by delivering shares of Common Stock, and thus, the grant is being reported in Table I as allowed per SEC guidance.

SEC source: 0001209191-22-052380 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,816

F1 · kind: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units and does not represent a sale by the Reporting Person.

SEC source: 0001209191-22-044902 · doc4.xml · nonDerivative · entry 2

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,912

SEC source: 0001209191-22-044902 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,608

F1 · balance_after: The Reporting Person was issued 80,000 Restricted Stock Units ("RSUs") on October 1, 2021, as previously reported on a Form 4 filed by the Reporting Person on October 5, 2021. Each RSU represents a contingent right to receive one share of common stock. A total of 32,000 of the RSUs shall vest in two (2) annual installments of 20% of the shares vesting, with the first tranche vesting on October 1, 2022 and the second tranche vesting on October 1, 2023. A total of 48,000 of the RSUs shall vest upon achievements of specific milestones outlined in the Reporting Person's Restricted Stock Unit Agreement. On August 4, 2022, upon the occurrence of the third performance milestone, 16,000 of the RSUs vested. The RSUs may be settled only by delivering shares of common stock, and thus, the grant is being reported in Table I as allowed per SEC guidance.

SEC source: 0001209191-22-010479 · doc4.xml · nonDerivative · entry 2

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,608

SEC source: 0001209191-22-010479 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,304

F1 · balance_after: The Reporting Person was issued 80,000 Restricted Stock Units ("RSUs") on October 1, 2021, as previously reported on a Form 4 filed by the Reporting Person on October 5, 2021. Each RSU represents a contingent right to receive one share of common stock. A total of 32,000 of the RSUs shall vest in two (2) annual installments of 20% of the shares vesting, with the first tranche vesting on October 1, 2022 and the second tranche vesting on October 1, 2023. A total of 48,000 of the RSUs shall vest upon achievements of specific milestones outlined in the Reporting Persons Restricted Stock Unit Agreement. On February 14, 2022, upon the occurrence of the second performance milestone, 16,000 of the RSUs vested. The RSUs may be settled only by delivering shares of common stock, and thus, the grant is being reported in Table I as allowed per SEC guidance.

SEC source: 0001209191-22-006134 · doc4.xml · nonDerivative · entry 2

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,304

SEC source: 0001209191-22-006134 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

F1 · balance_after: The Reporting Person was issued 80,000 Restricted Stock Units ("RSUs") on October 1, 2021, as previously reported on a Form 4 filed by the Reporting Person on October 5, 2021. Each RSU represents a contingent right to receive one share of common stock. A total of 32,000 of the RSUs shall vest in two (2) annual installments of 20% of the shares vesting, with the first tranche vesting on October 1, 2022 and the second tranche vesting on October 1, 2023. A total of 48,000 of the RSUs shall vest upon achievements of specific milestones outlined in the Reporting Persons Restricted Stock Unit Agreement. On January 28, 2022, upon the occurrence of the first performance milestone, 16,000 of the RSUs vested. The RSUs may be settled only by delivering shares of common stock, and thus, the grant is being reported in Table I as allowed per SEC guidance.

SEC source: 0001209191-22-002900 · doc4.xml · derivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-01-06

F1 · derivative.exercise_date: 1/48th of the shares shall vest on each of the next forty-eight (48) monthly anniversaries of the Grant Date, provided that the Reporting Person maintains a service relationship with the Company as of the applicable vesting dates.

SEC source: 0001209191-21-059569 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

F1 · shares: The Reporting Person was issued Restricted Stock Units ("RSU"). Each RSU represents a contingent right to receive one share of common stock. The RSUs shall vest in two (2) annual installments of 20% of the shares vesting, with the first tranche vesting on October 1, 2022 and the second tranche vesting on October 1, 2023. The remaining shares shall vest upon achievements of specific milestones outlined in the Reporting Persons Restricted Stock Unit Agreement. The RSUs may be settled only by delivering shares of common stock, and thus, the grant is being reported in Table I as allowed per SEC guidance.

SEC source: 0000899243-21-007028 · doc4.xml · derivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,200

Underlying: Common Stock · 28,200 shares

Expires 2031-02-11

F1 · derivative.exercise_date: 25% of the shares shall vest on the first anniversary of the Vesting Start Date and, thereafter, the remainder of the shares shall vest in 36 equal monthly installments, provided that the Reporting Person maintains a service relationship with the Company.

SEC source: 0000899243-21-002189 · doc4.xml · derivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2031-01-12

F1 · derivative.exercise_date: 25% of the shares shall vest on the first anniversary of the Vesting Start Date and, thereafter, the remainder of the shares shall vest in 36 equal monthly installments, provided that the Reporting Person maintains a service relationship with the Company.

SEC source: 0001209191-17-028532 · doc4.xml · derivative · entry 3

Harvey Brian Nicholas · CIK 0001519432 · Sr. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,838 shares

Expires 2018-12-03

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_price: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from December 3, 2008 until April 24, 2014.

F3 · shares: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from December 3, 2008 until April 24, 2014.

F4 · derivative.exercise_date: The shares subject to the option vested in sixteen equal quarterly installments with the first quarterly installment vesting on January 1, 2009.

F3 · derivative.underlying_shares: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from December 3, 2008 until April 24, 2014.

SEC source: 0001209191-17-028532 · doc4.xml · derivative · entry 2

Harvey Brian Nicholas · CIK 0001519432 · Sr. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,778 shares

Expires 2018-05-08

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

F1 · derivative.exercise_price: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from May 8, 2008 until April 24, 2014.

F1 · shares: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from May 8, 2008 until April 24, 2014.

F2 · derivative.exercise_date: 75% of the shares subject to the option vested on May 8, 2008, and the remaining 25% of the shares subject to the option vested in twelve equal quarterly installments with the first quarterly installment vesting on October 1, 2008.

F1 · derivative.underlying_shares: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from May 8, 2008 until April 24, 2014.

SEC source: 0001209191-17-028532 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Sr. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,189

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: 0001209191-17-022322 · doc4.xml · derivative · entry 2

Harvey Brian Nicholas · CIK 0001519432 · Sr. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,416 shares

Expires 2017-07-11

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

F1 · derivative.exercise_price: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from July 12, 2007 until April 24, 2014.

F1 · shares: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from July 12, 2007 until April 24, 2014.

F2 · derivative.exercise_date: Twenty-five percent of the options vested on December 1, 2007, twenty-five percent of the options vested in twelve equal quarterly installments with the first quarterly installment vesting on January 1, 2008, and the remaining 50% vested upon the completion of certain milestones.

F1 · derivative.underlying_shares: The exercise price and number of derivative securities was adjusted to reflect stock splits that occurred from July 12, 2007 until April 24, 2014.

SEC source: 0001209191-17-022322 · doc4.xml · nonDerivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Sr. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,573

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: 0001209191-17-013256 · doc4.xml · derivative · entry 1

Harvey Brian Nicholas · CIK 0001519432 · Sr. VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2027-02-16

F1 · derivative.exercise_date: 25% of the shares subject to the stock option shall vest on February 17, 2018 and the remaining shares shall vest in substantially equal monthly installments over the following three years.