Ingriselli Frank C

SEC source: 0001493152-24-026533 · ownership.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Former Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 47,000

F1 · shares: These shares of common stock were sold pursuant to a 10b5-1 plan, that the reporting person and Brightening Lives Foundation Inc. ("BLF") entered into on March 20, 2024 . Mr. Ingriselli is the Chief Executive Officer of BLF and holds investment and voting control over such shares. The address of BLF is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Prior to these sales, BLF held 257,000 shares of common stock of the issuer. Mr. Ingriselli may be deemed to have beneficial ownership of the shares of common stock held by BLF. Mr. Ingriselli disclaims beneficial ownership of the shares of common stock held by BLF reported herein, except to the extent of his pecuniary interest therein.

F1 · ownership.nature: These shares of common stock were sold pursuant to a 10b5-1 plan, that the reporting person and Brightening Lives Foundation Inc. ("BLF") entered into on March 20, 2024 . Mr. Ingriselli is the Chief Executive Officer of BLF and holds investment and voting control over such shares. The address of BLF is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Prior to these sales, BLF held 257,000 shares of common stock of the issuer. Mr. Ingriselli may be deemed to have beneficial ownership of the shares of common stock held by BLF. Mr. Ingriselli disclaims beneficial ownership of the shares of common stock held by BLF reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-026533 · ownership.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Former Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001493152-24-025801 · ownership.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Former Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · shares: These shares of common stock were sold pursuant to a 10b5-1 plan that the reporting person and Global Venture Investments LLC ("GVI") entered into on March 20, 2024. Mr. Ingriselli holds 100% of the membership interests of GVI and, as a result, is deemed to hold investment and voting control over those shares. On June 27, 2024 GVI sold 280,000 shares of common stock. Prior to these sales GVI held 280,000 shares of common stock of the issuer. The address of GVI is 4115 Blackhawk Plaza Circle, Suite 100, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares of common stock held by GVI. Mr. Ingriselli disclaims beneficial ownership of the shares of common stock held by GVI reported herein, except to the extent of his pecuniary interest therein.

F1 · ownership.nature: These shares of common stock were sold pursuant to a 10b5-1 plan that the reporting person and Global Venture Investments LLC ("GVI") entered into on March 20, 2024. Mr. Ingriselli holds 100% of the membership interests of GVI and, as a result, is deemed to hold investment and voting control over those shares. On June 27, 2024 GVI sold 280,000 shares of common stock. Prior to these sales GVI held 280,000 shares of common stock of the issuer. The address of GVI is 4115 Blackhawk Plaza Circle, Suite 100, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares of common stock held by GVI. Mr. Ingriselli disclaims beneficial ownership of the shares of common stock held by GVI reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-004809 · ownership.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · see footnote

Disclosed balance after: 100,000

F1 · shares: These shares of common stock were sold pursuant to a 10b5-1 plan that the reporting person and Global Venture Investments LLC ("GVI") entered into on October 25, 2023. Mr. Ingriselli holds 100% of the membership interests of GVI and, as a result, is deemed to hold investment and voting control over those shares. On January 31, 2024 GVI sold 362,704 shares of common stock and then sold an additional 137,296 shares of common stock on February 1, 2024. Prior to these sales GVI held 600,000 shares of common stock of the issuer. The address of GVI is 4115 Blackhawk Plaza Circle, Suite 100, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares of common stock held by GVI. Mr. Ingriselli disclaims beneficial ownership of the shares of common stock held by GVI reported herein, except to the extent of his pecuniary interest therein.

F1 · ownership.nature: These shares of common stock were sold pursuant to a 10b5-1 plan that the reporting person and Global Venture Investments LLC ("GVI") entered into on October 25, 2023. Mr. Ingriselli holds 100% of the membership interests of GVI and, as a result, is deemed to hold investment and voting control over those shares. On January 31, 2024 GVI sold 362,704 shares of common stock and then sold an additional 137,296 shares of common stock on February 1, 2024. Prior to these sales GVI held 600,000 shares of common stock of the issuer. The address of GVI is 4115 Blackhawk Plaza Circle, Suite 100, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares of common stock held by GVI. Mr. Ingriselli disclaims beneficial ownership of the shares of common stock held by GVI reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-004809 · ownership.xml · nonDerivative · entry 3

Ingriselli Frank C · CIK 0001415554 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · see footnote

Disclosed balance after: 0

F2 · shares: These shares of common stock were sold pursuant to a 10b5-1 plan that the reporting person and his wife, Sung Jin Ingriselli, entered into on October 25, 2023. Ms. Ingriselli sold 150,000 shares of common stock of the issuer. After this sale, Ms. Ingriselli no longer holds any shares of common stock of the issuer. The address of Ms. Ingriselli is 34 Magnolia Place, Danville, CA 94506. Mr. Ingriselli may be deemed to have had beneficial ownership of these shares of common stock.

F2 · ownership.nature: These shares of common stock were sold pursuant to a 10b5-1 plan that the reporting person and his wife, Sung Jin Ingriselli, entered into on October 25, 2023. Ms. Ingriselli sold 150,000 shares of common stock of the issuer. After this sale, Ms. Ingriselli no longer holds any shares of common stock of the issuer. The address of Ms. Ingriselli is 34 Magnolia Place, Danville, CA 94506. Mr. Ingriselli may be deemed to have had beneficial ownership of these shares of common stock.

SEC source: 0001493152-24-004809 · ownership.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · see footnote

Disclosed balance after: 237,296

F1 · shares: These shares of common stock were sold pursuant to a 10b5-1 plan that the reporting person and Global Venture Investments LLC ("GVI") entered into on October 25, 2023. Mr. Ingriselli holds 100% of the membership interests of GVI and, as a result, is deemed to hold investment and voting control over those shares. On January 31, 2024 GVI sold 362,704 shares of common stock and then sold an additional 137,296 shares of common stock on February 1, 2024. Prior to these sales GVI held 600,000 shares of common stock of the issuer. The address of GVI is 4115 Blackhawk Plaza Circle, Suite 100, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares of common stock held by GVI. Mr. Ingriselli disclaims beneficial ownership of the shares of common stock held by GVI reported herein, except to the extent of his pecuniary interest therein.

F1 · ownership.nature: These shares of common stock were sold pursuant to a 10b5-1 plan that the reporting person and Global Venture Investments LLC ("GVI") entered into on October 25, 2023. Mr. Ingriselli holds 100% of the membership interests of GVI and, as a result, is deemed to hold investment and voting control over those shares. On January 31, 2024 GVI sold 362,704 shares of common stock and then sold an additional 137,296 shares of common stock on February 1, 2024. Prior to these sales GVI held 600,000 shares of common stock of the issuer. The address of GVI is 4115 Blackhawk Plaza Circle, Suite 100, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares of common stock held by GVI. Mr. Ingriselli disclaims beneficial ownership of the shares of common stock held by GVI reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-003176 · ownership.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 407,000

F1 · shares: Mr. Ingriselli made a contribution of 210,000 shares of common stock to Brightening Lives Foundation Inc., which prior to such contribution owned 197,000 shares of common stock of the issuer. Mr. Ingriselli is the Chief Executive Officer and holds investment and voting control; the address of the Brightening Lives Foundation Inc is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares held by the aforementioned entity. Mr. Ingriselli disclaims beneficial ownership of the shares held by Brightening Lives Foundation Inc reported herein, except to the extent of his pecuniary interest therein.

F1 · price: Mr. Ingriselli made a contribution of 210,000 shares of common stock to Brightening Lives Foundation Inc., which prior to such contribution owned 197,000 shares of common stock of the issuer. Mr. Ingriselli is the Chief Executive Officer and holds investment and voting control; the address of the Brightening Lives Foundation Inc is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares held by the aforementioned entity. Mr. Ingriselli disclaims beneficial ownership of the shares held by Brightening Lives Foundation Inc reported herein, except to the extent of his pecuniary interest therein.

F1 · ownership.nature: Mr. Ingriselli made a contribution of 210,000 shares of common stock to Brightening Lives Foundation Inc., which prior to such contribution owned 197,000 shares of common stock of the issuer. Mr. Ingriselli is the Chief Executive Officer and holds investment and voting control; the address of the Brightening Lives Foundation Inc is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares held by the aforementioned entity. Mr. Ingriselli disclaims beneficial ownership of the shares held by Brightening Lives Foundation Inc reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-025371 · ownership.xml · nonDerivative · entry 4

Ingriselli Frank C · CIK 0001415554 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 380,000

F4 · kind: Mr. Ingriselli made a gift of 150,000 shares of common stock to his wife, Sung Jin Ingriselli. The address of Ms. Ingriselli is 34 Magnolia Place, Danville CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of these shares.

F4 · price: Mr. Ingriselli made a gift of 150,000 shares of common stock to his wife, Sung Jin Ingriselli. The address of Ms. Ingriselli is 34 Magnolia Place, Danville CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of these shares.

SEC source: 0001493152-23-025371 · ownership.xml · nonDerivative · entry 3

Ingriselli Frank C · CIK 0001415554 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 530,000

F3 · kind: Mr. Ingriselli made a contribution of 150,000 shares of common stock to Brightening Lives Foundation Inc. for which Mr. Ingriselli is the Chief Executive Officer and holds investment and voting control; the address of the Brightening Lives Foundation Inc is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares held by the aforementioned entity. Mr. Ingriselli disclaims beneficial ownership of the shares held by Brightening Lives Foundation Inc reported herein, except to the extent of his pecuniary interest therein.

F3 · price: Mr. Ingriselli made a contribution of 150,000 shares of common stock to Brightening Lives Foundation Inc. for which Mr. Ingriselli is the Chief Executive Officer and holds investment and voting control; the address of the Brightening Lives Foundation Inc is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares held by the aforementioned entity. Mr. Ingriselli disclaims beneficial ownership of the shares held by Brightening Lives Foundation Inc reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-025371 · ownership.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 680,000

F2 · kind: Mr. Ingriselli made gifts of shares of common stock of 80,000 shares each to his four children for a total of 320,000 shares of common stock.

F2 · price: Mr. Ingriselli made gifts of shares of common stock of 80,000 shares each to his four children for a total of 320,000 shares of common stock.

SEC source: 0001493152-23-025506 · ownership.xml · nonDerivative · entry 4

Ingriselli Frank C · CIK 0001415554 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 580,000

F4 · kind: Mr. Ingriselli made a gift of 150,000 shares of common stock to his wife, Sung Jin Ingriselli. The address of Ms. Ingriselli is 34 Magnolia Place, Danville CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of these shares.

F4 · price: Mr. Ingriselli made a gift of 150,000 shares of common stock to his wife, Sung Jin Ingriselli. The address of Ms. Ingriselli is 34 Magnolia Place, Danville CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of these shares.

SEC source: 0001493152-23-025506 · ownership.xml · nonDerivative · entry 3

Ingriselli Frank C · CIK 0001415554 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 730,000

F3 · kind: Mr. Ingriselli made a contribution of 150,000 shares of common stock to Brightening Lives Foundation Inc. for which Mr. Ingriselli is the Chief Executive Officer and holds investment and voting control; the address of the Brightening Lives Foundation Inc is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares held by the aforementioned entity. Mr. Ingriselli disclaims beneficial ownership of the shares held by Brightening Lives Foundation Inc reported herein, except to the extent of his pecuniary interest therein.

F3 · price: Mr. Ingriselli made a contribution of 150,000 shares of common stock to Brightening Lives Foundation Inc. for which Mr. Ingriselli is the Chief Executive Officer and holds investment and voting control; the address of the Brightening Lives Foundation Inc is 9000 Crow Canyon Road, Suite 362, Danville, CA 94506. Mr. Ingriselli may be deemed to have beneficial ownership of the shares held by the aforementioned entity. Mr. Ingriselli disclaims beneficial ownership of the shares held by Brightening Lives Foundation Inc reported herein, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-23-025506 · ownership.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 880,000

F2 · kind: Mr. Ingriselli made gifts of shares of common stock of 80,000 shares each to his four children for a total of 320,000 shares of common stock.

F2 · price: Mr. Ingriselli made gifts of shares of common stock of 80,000 shares each to his four children for a total of 320,000 shares of common stock.

SEC source: 0001493152-23-025371 · ownership.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,200,000

F1 · kind: Pursuant to the terms of the Issuer's 2022 Equity Incentive Plan, Mr. Ingriselli was granted 200,000 restricted shares of common stock as a bonus pursuant to the terms of his employment agreement on July 20, 2023. All of the shares vested on July 24, 2023.

F1 · price: Pursuant to the terms of the Issuer's 2022 Equity Incentive Plan, Mr. Ingriselli was granted 200,000 restricted shares of common stock as a bonus pursuant to the terms of his employment agreement on July 20, 2023. All of the shares vested on July 24, 2023.

SEC source: 0001493152-23-025506 · ownership.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,200,000

F1 · kind: Pursuant to the terms of the Issuer's 2022 Equity Incentive Plan, Mr. Ingriselli was granted 200,000 restricted shares of common stock as a bonus pursuant to the terms of his employment agreement on July 20, 2023. All of the shares vested on July 24, 2023.

F1 · price: Pursuant to the terms of the Issuer's 2022 Equity Incentive Plan, Mr. Ingriselli was granted 200,000 restricted shares of common stock as a bonus pursuant to the terms of his employment agreement on July 20, 2023. All of the shares vested on July 24, 2023.

SEC source: 0001654954-18-007543 · section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,460

F1 · shares: Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and subject to forfeiture as follows: (i) 100% of the shares are vested on January 11, 2019, subject to the Recipient being an employee of, or consultant to the Company on such vesting date, and subject to the terms and conditions of a Restricted Stock Agreement.

F2 · balance_after: Reporting Person's holdings include:13,371 held by spouse; 36,893 held directly; 80,000, 14,546, 80,000 and 60,000 pursuant to restricted stock grants and 89,650 vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001654954-18-005957 · section16.xml · nonDerivative · entry 5

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,460

F1 · shares: Shares were sold for tax purposes in connection with their vesting on May 1, 2018. The shares were granted under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16(b) pursuant to Rule 16b-13(d).

F2 · balance_after: Reporting Person's holdings include: 13,371 held by spouse, 36,893 held directly, 80,000,14,546 and 80,000 pursuant to restricted stock grants and 89,650 vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001654954-18-005957 · section16.xml · nonDerivative · entry 4

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,460

F1 · shares: Shares were sold for tax purposes in connection with their vesting on May 1, 2018. The shares were granted under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16(b) pursuant to Rule 16b-13(d).

SEC source: 0001654954-18-005957 · section16.xml · nonDerivative · entry 3

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,460

F1 · shares: Shares were sold for tax purposes in connection with their vesting on May 1, 2018. The shares were granted under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16(b) pursuant to Rule 16b-13(d).

SEC source: 0001654954-18-005957 · section16.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,460

F1 · shares: Shares were sold for tax purposes in connection with their vesting on May 1, 2018. The shares were granted under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16(b) pursuant to Rule 16b-13(d).

SEC source: 0001654954-18-005957 · section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,460

F1 · shares: Shares were sold for tax purposes in connection with their vesting on May 1, 2018. The shares were granted under the Company's 2012 Equity Incentive Plan, which grant was exempt from Section 16(b) pursuant to Rule 16b-13(d).

SEC source: 0001654954-18-005065 · section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,460

F1 · shares: Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan. 75% of the shares will become vested and nonforfeitable on the six (6) month anniversary of June 1, 2018, and the balance 25% of the shares will become vested and nonforfeitable on the nine (9) month anniversary of June 1, 2018, in each case so long as Reporting Person remains a director, an employee of, or consultant to Issuer and subject to the terms and conditions of a Restricted Shares Grant Agreement.

F2 · balance_after: Reporting Person's holdings include: 13,371 held by spouse, 36,893 held directly, 80,000,14,546 and 150,000 pursuant to restricted stock grants and 89,650 vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001654954-17-011946 · section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,460

F1 · shares: Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and Issuer's Board of Directors Compensation Plan as Reporting Person's annual equity compensation grant. 100% of the shares will become vested and nonforfeitable on May 1, 2018 (Reporting Person's anniversary date as a non-employee Director of Issuer), for so long as Reporting Person remains a Director, an employee of, or consultant to Issuer and subject to the terms and conditions of a Restricted Shares Grant Agreement.

F2 · balance_after: Reporting Person's holdings include: 13,371 held by spouse, 36,893 held directly, 14,546 and 150,000 pursuant to restricted stock grants and 89,650 vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001654954-17-011342 · section16.xml · nonDerivative · entry 4

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,460

F2 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of vested shares which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).

F3 · balance_after: Reporting Person's holdings include: 13,371 held by spouse, 36,893 held directly, 14,546 shares issued pursuant to a restricted stock grant and 89,650 vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001654954-17-011342 · section16.xml · nonDerivative · entry 3

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,460

F2 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of vested shares which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).

SEC source: 0001654954-17-011342 · section16.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,460

F2 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of vested shares which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).

SEC source: 0001402281-17-000064 · wf-form4_149626295861608.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,444

F1 · price: The Price per share is $0. The grant was valued at $1.80 per share.

F2 · balance_after: Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2009 Equity Incentive Plan and subject thereto. Grant of restricted stock subject to forfeiture. 100% of the shares become vested and nonforfeitable on the twelve (12)month anniversary of May 18, 2017 (the "Vesting Commencement Date"), subject to recipient's continued service as a member of the Company's Board of Directors and subject to the terms and conditions of a Restricted Stock Purchase Agreement to be entered into by and between the Company and Grantee.

SEC source: 0001354488-17-000524 · issuerdirect_section16.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,460

F2 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of vested shares which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).

F3 · balance_after: Reporting Person's holdings include: 13,371 held by spouse; 36,893 held directly, 54,546 shares issued pursuant to a restricted stock grant and 89,650 vested shares held by Global Venture Investments, Inc., an equity 100% owned and controlled by Reporting Person.

SEC source: 0001654954-17-011342 · section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,460

F1 · shares: Common stock shares were transferred pursuant to a charitable gift in a private transaction.

SEC source: 0001354488-17-000469 · issuerdirect_section16.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,510

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person to satisfy Reporting Person's tax liability in connection with May 1, 2017 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).

F2 · balance_after: Reporting Person's holdings include: 13,371 held by spouse, 42,943 fully vested shares held directly and 54,546 shares issued pursuant to a restricted stock grant; and 119,650 fully vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001354488-17-000469 · issuerdirect_section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,510

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person to satisfy Reporting Person's tax liability in connection with May 1, 2017 vesting of certain shares of restricted stock which were granted under the Company's 2012 Equity Incentive Plan, which grants were exempt from Section 16(b) pursuant to Rule 16b-13(d).

SEC source: 0001354488-17-000524 · issuerdirect_section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,510

F1 · shares: Common shares were transferred pursuant to a gift in a private transaction.

F5 · price: Reporting Person's tax basis in the gifted shares.

SEC source: 0001354488-17-000460 · issuerdirect_section16.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,510

F1 · shares: Reporting Person's spouse sold shares held in her name in open market transactions. Post-split numbers have been provided pursuant to 1:10 reverse split of 4/7/2017.

F2 · balance_after: Reporting Person's holdings include: 13,371 held by spouse, 42,943 fully vested shares held directly and 54,546 shares issued pursuant to a restricted stock grant; and 149,650 fully vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001354488-17-000460 · issuerdirect_section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,460

F1 · shares: Reporting Person's spouse sold shares held in her name in open market transactions. Post-split numbers have been provided pursuant to 1:10 reverse split of 4/7/2017.

SEC source: 0001354488-16-008755 · issuerdirect_section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,705,072

F1 · shares: Common stock of Issuer granted to Reporting Person pursuant to Issuer's 2012 Equity Incentive Plan and Issuer's Board of Director's Compensation Plan as Reporting Person's annual equity compensation grant. 100% of the shares will become vested and nonforfeitable on May 1, 2017 (Reporting Persons' anniversary date as a non-employee Director of Issuer), for so long as Reporting Person remains a Director, an employee of, or consultant to Issuer and subject to the terms and conditions of a Restricted Shares Grant Agreement.

F2 · balance_after: Reporting Person's holdings include: 233,705 held by spouse, 429,412 fully vested shares held directly, and 545,455 shares issued pursuant to a restricted stock grant; and 1,496,500 fully vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001354488-16-008672 · issuerdirect_section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,159,617

F1 · shares: Reporting Person's spouse sold shares held in her name in open market transactions.

F2 · balance_after: Reporting Person's holding includes 233,705 shares held by spouse, 429,412 fully vested shares held directly and 1,496,500 fully vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001354488-16-008522 · issuerdirect_section16.xml · nonDerivative · entry 3

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,259,617

F1 · shares: Reporting Person's spouse sold shares held in her name in open market transactions.

F2 · balance_after: Reporting Person's holding includes 333,705 shares held by spouse, 429,412 fully vested shares held directly and 1,496,500 fully vested shares held by Global Venture Investments, Inc., an entity 100% owned and controlled by Reporting Person.

SEC source: 0001354488-16-008522 · issuerdirect_section16.xml · nonDerivative · entry 2

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,263,025

F1 · shares: Reporting Person's spouse sold shares held in her name in open market transactions.

SEC source: 0001354488-16-008522 · issuerdirect_section16.xml · nonDerivative · entry 1

Ingriselli Frank C · CIK 0001415554 · Director · Non-Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,291,812

F1 · shares: Reporting Person's spouse sold shares held in her name in open market transactions.