Waltz Todd

SEC source: 0000738214-26-000032 · primary_doc.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,305,701

Underlying: Common Stock · 200,000 shares

Expires 2036-03-19

F1 · derivative.exercise_date: 1/12th of the option shares vest every three months from the grant date

SEC source: 0001593968-25-000454 · primary_01.xml · derivative · entry 16

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,105,701

Underlying: Common Stock · 7,535 shares

Expires 2030-01-09

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: 0001593968-25-000454 · primary_01.xml · derivative · entry 15

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,113,236

Underlying: Common Stock · 36,762 shares

Expires 2029-01-07

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: 0001593968-25-000454 · primary_01.xml · derivative · entry 14

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,149,998

Underlying: Common Stock · 70,000 shares

Expires 2028-01-18

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: 0001593968-25-000454 · primary_01.xml · derivative · entry 13

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,219,998

Underlying: Common Stock · 30,000 shares

Expires 2027-11-16

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: 0001593968-25-000454 · primary_01.xml · derivative · entry 12

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,249,998

Underlying: Common Stock · 62,500 shares

Expires 2030-03-28

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: 0001593968-25-000454 · primary_01.xml · derivative · entry 11

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,312,498

Underlying: Common Stock · 27,084 shares

Expires 2029-06-05

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: 0001593968-25-000454 · primary_01.xml · derivative · entry 10

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,339,582

Underlying: Common Stock · 5,000 shares

Expires 2028-05-17

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.

SEC source: 0001593968-25-000454 · primary_01.xml · derivative · entry 9

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,344,582

Underlying: Common Stock · 50,000 shares

Expires 2028-01-18

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: 0001593968-25-000454 · primary_01.xml · nonDerivative · entry 8

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 456,821

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: 0001593968-25-000454 · primary_01.xml · nonDerivative · entry 7

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 449,286

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: 0001593968-25-000454 · primary_01.xml · nonDerivative · entry 6

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 412,524

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: 0001593968-25-000454 · primary_01.xml · nonDerivative · entry 5

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 342,524

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: 0001593968-25-000454 · primary_01.xml · nonDerivative · entry 4

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 312,524

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: 0001593968-25-000454 · primary_01.xml · nonDerivative · entry 3

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,024

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: 0001593968-25-000454 · primary_01.xml · nonDerivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 222,940

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: 0001593968-25-000454 · primary_01.xml · nonDerivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 217,940

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: 0001593968-25-000103 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,394,582

Underlying: Common Stock · 165,568 shares

Expires 2035-01-16

SEC source: 0001593968-25-000103 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,229,014

Underlying: Common Stock · 34,432 shares

Expires 2035-01-16

F1 · derivative.exercise_date: 1/12th of the option shares vest every three months from the grant date

SEC source: 0001593968-24-000130 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,194,582

Underlying: Common stock and Series B Preferred · 200,000 shares

Expires 2034-01-18

F1 · derivative.exercise_date: 1/12th of the option shares vest every three months from the grant date

F2 · derivative.underlying: Option is exercisable for common stock

SEC source: 0001593968-23-000104 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common stock and Series B Preferred · 137,500 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

SEC source: 0001593968-23-000104 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common stock and Series B Preferred · 12,500 shares

Expires 2033-01-05

F1 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

F2 · derivative.underlying_shares: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

F2 · balance_after: Grant of Incentive Stock Option under the Aemetis, Inc. 2019 Stock Plan to purchase 150,000 shares of the Company's Common Stock ("Option Shares") at an exercise price of $3.75 per share, and subject to the terms of the Stock Option Agreement between the Reporting Person and the Company. The grant was split into 137,500 non-qualified Incentive stock options (NQSO) and 12,500 as Incentive Stock Options (ISO) under the IRC 422(d) adjustment.

SEC source: 0001593968-22-001372 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common stock and Series B Preferred · 50,000 shares

Expires 2032-08-18

F1 · shares: The Reporting person was granted 50,000 options on 8/18/2022 with three year vesting period.

SEC source: 0001593968-22-000520 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock and Series B Preferred · 100,000 shares

Expires 2032-01-06

F1 · shares: The Reporting person was granted 100,000 ISO options on 1/6/2022 with three year vesting period.

SEC source: 0001593968-21-002437 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,312

Underlying: Common stock and Series B Preferred · 3,312 shares

Expires 2031-11-18

F3 · shares: The Reporting person was granted 3312 ISO options on 11/18/2021 with three year vesting period.

SEC source: 0001593968-21-002437 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,188

Underlying: Common stock and Series B Preferred · 9,188 shares

Expires 2031-11-18

F1 · shares: The Reporting person was granted 9,188 NQSO options on 11/18/2021 with three year vesting period.

F2 · derivative.exercise_date: 1/12th of the Option Shares vest every three(3)months from the date of the grant.

SEC source: 0001593968-21-001164 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,810

Underlying: Common stock and Series B Preferred · 24,911 shares

Expires 2030-01-09

F1 · price: The 1-9-2020 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 25

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,940

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-001141 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,909

Underlying: Common stock and Series B Preferred · 40,002 shares

Expires 2030-01-09

F2 · price: The 1-9-2020 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-001141 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,921

Underlying: Common stock and Series B Preferred · 37,916 shares

Expires 2029-06-05

F1 · price: The 6-06-2019 option grant was exercised and sold through 10b5-1 plan.

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 24

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,039

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 23

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,209

F4 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-000982 · primary_01.xml · derivative · entry 3

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,645

Underlying: Common stock and Series B Preferred · 49,439 shares

Expires 2023-05-17

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 29

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,940

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 22

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,295

F4 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 21

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,840

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-000982 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,545

Underlying: Common stock and Series B Preferred · 49,894 shares

Expires 2023-05-17

SEC source: 0001593968-21-000982 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,955

Underlying: Common stock and Series B Preferred · 29,045 shares

Expires 2027-01-19

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 28

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,401

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-000959 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

Underlying: Common stock and Series B Preferred · 60,000 shares

Expires 2027-01-19

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 20

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,446

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 19

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,446

F4 · kind: These shares were withheld by the Issuer in connection with the Reporting Persons exercise of stock options.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-000573 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common stock and Series B Preferred · 10,000 shares

Expires 2027-01-19

F1 · price: The 1-19-2017 option grant was exercised and sold through 10b5-1 plan sold as below

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 18

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,401

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-000536 · primary_01.xml · derivative · entry 3

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common stock and Series B Preferred · 10,000 shares

Expires 2027-01-19

F1 · price: The 1-19-2017 option grant was exercised and sold through 10b5-1 plan sold as below

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 17

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,401

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-000536 · primary_01.xml · derivative · entry 2

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common stock and Series B Preferred · 10,000 shares

Expires 2027-01-19

F1 · price: The 1-19-2017 option grant was exercised and sold through 10b5-1 plan sold as below

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 16

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,401

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.

SEC source: 0001593968-21-000536 · primary_01.xml · derivative · entry 1

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common stock and Series B Preferred · 10,000 shares

Expires 2027-01-19

F1 · price: The 1-19-2017 option grant was exercised and sold through 10b5-1 plan sold as below

SEC source: 0001593968-21-002312 · primary_01.xml · nonDerivative · entry 15

Waltz Todd · CIK 0001383895 · Executive Vice President, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,401

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 plan.

F1 · kind: These transactions were incorrectly reported in Table II on prior Form 4s filed by the Reporting Person in connection with the Reporting Persons exercise of stock options and sale of common stock from those issuances.

F3 · balance_after: As of the date of the first reported transaction on this Form 4, the Reporting Person beneficially owned 165,401 shares of the Issuers common stock. Each of the sale and withholding transactions reported herein was with respect to shares received from the exercise of stock options previously described on prior Form 4s. Except in connection with the March 17, 2021 option exercise in which the Reporting Person sold all but 2,539 shares received upon exercise, the transactions reported herein did not result in a net change in the number of shares beneficially owned by the Reporting Person. As of the date of this filing, the Reporting Person beneficially owned 167,940 shares of the Issuers common stock.