PETERSON MICHAEL L

SEC source: 0001641172-25-018239 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

F1 · shares: The shares shall fully vest solely on the basis of the passage of time, with 66,000 shares vesting immediately, 67,000 shares vesting on July 2, 2026, and 67,000 shares vesting on July 2, 2027.

SEC source: 0001493152-23-038667 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,185,000

F1 · kind: Mr. Peterson was awarded 1,000,000 shares of restricted stock (the "Stock Grant"), pursuant to the Issuer's 2022 Equity Incentive Plan (the "2022 Plan"), under the terms of an employment agreement entered into between the Issuer and Mr. Peterson, who became the Issuer's Chief Executive Officer, effective as of October 23, 2023. The Stock Grant has a vesting schedule in which the first 250,000 shares of restricted stock will vest on April 23, 2024, and the remainder shall vest in equal tranches of 250,000 shares each on October 23, 2024, April 23, 2025 and October 23, 2025, subject to Mr. Peterson's remaining in Continuous Service (as such term is defined under the 2022 Plan) with the Company as of each of those dates.

F2 · price: The shares of restricted stock were awarded as a bonus under Mr. Peterson's employment agreement in connection with his services as the Chief Executive Officer of the Issuer.

SEC source: 0001493152-23-031821 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,000

F1 · kind: Mr. Peterson was awarded 125,000 shares of restricted stock, pursuant to the Issuer's 2022 Equity Incentive Plan. All of the shares of restricted stock vest on February 29, 2024, subject to Mr. Peterson continuing to be a director to the Company on such date.

F2 · price: The shares of restricted stock were awarded as a bonus in connection with Mr. Peterson's services as an independent director of the Issuer.

SEC source: 0001493152-23-006621 · ownership.xml · derivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-02-14

F5 · security: Simultaneously with the closing of the AHAC's initial public offering on September 17, 2021, the Sponsor purchased 5,411,000 warrants (the "Private Placement Warrants") from AHAC in a private placement at a price of $1.00 per warrant, pursuant to the terms of the Private Placement Warrants Purchase Agreement between AHAC and the Sponsor dated September 14, 2021 (the "Private Placement Agreement"). Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock.

F6 · derivative.exercise_price: According to the original terms of the Private Placement Agreement, each Private Placement Warrant was exercisable to purchase one share of the Issuer's Class A Common Stock at an exercise price of $11.50 per share. The terms of the Private Placement Warrant were set forth in the Warrant Agreement, dated September 14, 2021, between AHAC and Continental Stock Transfer & Trust Company, LLC (the "Warrant Agreement"). The Private Placement Warrants become exercisable 30 days after the Closing of the Business Combination.

F7 · date: On February 28, 2023, in accordance with the Instruction Letter, the Sponsor instructed its transfer agent to distribute these Private Placement Warrants to the Reporting Person.

F7 · kind: On February 28, 2023, in accordance with the Instruction Letter, the Sponsor instructed its transfer agent to distribute these Private Placement Warrants to the Reporting Person.

F5 · price: Simultaneously with the closing of the AHAC's initial public offering on September 17, 2021, the Sponsor purchased 5,411,000 warrants (the "Private Placement Warrants") from AHAC in a private placement at a price of $1.00 per warrant, pursuant to the terms of the Private Placement Warrants Purchase Agreement between AHAC and the Sponsor dated September 14, 2021 (the "Private Placement Agreement"). Upon the Reclassification that was effected in connection with the Closing of the Business Combination, each share of Class A Common Stock underlying the Private Placement Warrants was reclassified into a share of the Issuer's Common Stock.

F7 · price: On February 28, 2023, in accordance with the Instruction Letter, the Sponsor instructed its transfer agent to distribute these Private Placement Warrants to the Reporting Person.

F6 · derivative.exercise_date: According to the original terms of the Private Placement Agreement, each Private Placement Warrant was exercisable to purchase one share of the Issuer's Class A Common Stock at an exercise price of $11.50 per share. The terms of the Private Placement Warrant were set forth in the Warrant Agreement, dated September 14, 2021, between AHAC and Continental Stock Transfer & Trust Company, LLC (the "Warrant Agreement"). The Private Placement Warrants become exercisable 30 days after the Closing of the Business Combination.

F8 · derivative.expiration_date: The Private Placement Warrants expire on the earlier to occur of (i) February 14, 2028, the date that is five years after the Closing of the Business Combination, (ii) at 5:00 p.m., New York City time on the Redemption Date (as defined in the Warrant Agreement), and (iii) the liquidation of the Trust Account (as defined in the Warrant Agreement).

SEC source: 0001493152-23-006621 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

F1 · security: In connection with the closing on February 14, 2023 (the "Closing") of the business combination (the "Business Combination") between Aesther Healthcare Acquisition Corp. ("AHAC") and Ocean Biomedical Holdings, Inc., formerly known as Ocean Biomedical, Inc. ("Legacy Ocean"), pursuant to that certain Agreement and Plan of Merger, dated August 31, 2022 and amended on December 5, 2022, between AHAC, Aesther Healthcare Sponsor, LLC (the "Sponsor"), AHAC Merger Sub, Inc. ("Merger Sub"), Legacy Ocean, and Dr. Chirinjeev Kathuria, AHAC changed its name to Ocean Biomedical, Inc. (such post-Business Combination entity, the "Issuer").

F2 · security: Pursuant to the Issuer's Third Amended and Restated Certificate of Incorporation filed in connection with the Closing of the Business Combination, the Issuer completed a reclassification exempt under Rule 16b-7 (the "Reclassification"). In accordance with the Reclassification, each share of the Issuer's Class A Common Stock, par value $0.0001 per share (the "Class A Common Stock"), was reclassified on a one-for-one basis into a share of the Issuer's common stock, par value $0.0001 (the "Common Stock").

F3 · security: These shares were originally among the 2,625,000 shares of AHAC's Class B Common Stock, par value $0.0001 per share (the "Class B Founder Shares"), that the Sponsor owned prior to the Business Combination. In connection with the Closing of the Business Combination, the Class B Founder Shares automatically converted into shares of the Issuer's Class A Common Stock on a one-for-one basis, and the Class A Common Stock was then reclassified on a one-for-one basis into Common Stock in accordance with the Reclassification.

F4 · kind: In accordance with an instruction letter to the Sponsor's transfer agent (the "Instruction Letter"), the Sponsor instructed the transfer agent to transfer 2,625,000 shares of Common Stock to certain of the Sponsor's members for no consideration (such transaction, the "Transfer"). As part of the Transfer, the Reporting Person acquired 80,000 shares of Common Stock from the Sponsor.

F4 · shares: In accordance with an instruction letter to the Sponsor's transfer agent (the "Instruction Letter"), the Sponsor instructed the transfer agent to transfer 2,625,000 shares of Common Stock to certain of the Sponsor's members for no consideration (such transaction, the "Transfer"). As part of the Transfer, the Reporting Person acquired 80,000 shares of Common Stock from the Sponsor.

F3 · price: These shares were originally among the 2,625,000 shares of AHAC's Class B Common Stock, par value $0.0001 per share (the "Class B Founder Shares"), that the Sponsor owned prior to the Business Combination. In connection with the Closing of the Business Combination, the Class B Founder Shares automatically converted into shares of the Issuer's Class A Common Stock on a one-for-one basis, and the Class A Common Stock was then reclassified on a one-for-one basis into Common Stock in accordance with the Reclassification.

F4 · price: In accordance with an instruction letter to the Sponsor's transfer agent (the "Instruction Letter"), the Sponsor instructed the transfer agent to transfer 2,625,000 shares of Common Stock to certain of the Sponsor's members for no consideration (such transaction, the "Transfer"). As part of the Transfer, the Reporting Person acquired 80,000 shares of Common Stock from the Sponsor.

SEC source: 0001493152-23-005543 · ownership.xml · derivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-02-15

F1 · derivative.exercise_date: Represents a right to purchase 75,000 shares of the common stock, par value $0.0001 per share (collectively, the "Option Shares"), of Ocean Biomedical, Inc. (the "Issuer") upon the exercise of a ten-year option granted to the Reporting Person as a non-employee director of the Issuer on February 15, 2023 under the Issuer's 2022 Stock Option and Incentive Plan. This option becomes exercisable in 36 monthly installments beginning on March 15, 2023, with 2,083 Option Shares becoming exercisable on each of the first 35 installments and the remaining 2,095 Option Shares becoming exercisable on the final installment, subject to the Reporting Person remaining in service as a member of the Issuer's board of directors on each installment date. This option is exercisable at an exercise price per Option Share equal to the greater of (i) $10, or (ii) the closing trading price of the Issuer's common stock on February 15, 2023, which was $6.06.

SEC source: 0001493152-23-002029 · ownership.xml · derivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,802

Underlying: Common Stock · 135,802 shares

Expires 2033-01-16

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors of the Issuer and Chairperson of the Audit Committee. Issued under the Issuer's Amended and Restated 2019 Equity Incentive Plan.

F3 · derivative.exercise_date: The options vest at the rate of 1/2 of such options per year, on January 4, 2024 and 2025, subject to the recipient's continued service to the Issuer. Exempt pursuant to Rule 16b-3.

SEC source: 0001493152-23-002029 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,940

F1 · kind: Represents restricted stock shares subject to time-based vesting, which vest at the rate of 1/8th of such shares per quarter (on the first day of each calendar quarter), with the first vesting beginning on April 1, 2023, subject to the recipient's continued service to the Issuer. Exempt pursuant to Rule 16b-3.

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors of the Issuer and Chairperson of the Audit Committee. Issued under the Issuer's Amended and Restated 2019 Equity Incentive Plan.

SEC source: 0001493152-21-015010 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,387

F1 · kind: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the April 2021 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001493152-21-013437 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,287

F1 · kind: The shares were forfeited back to the Issuer as the reporting person's services to the Issuer ended on May 27, 2021, due to the vesting conditions pertaining to the award not having been achieved. Exempt under Rule 16b-3(e).

SEC source: 0001493152-21-009257 · ownership.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,008

F3 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's Amended and Restated 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2021 and January 1 and April 1, 2022, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F4 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001493152-21-009257 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,287

F1 · kind: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the April 2021 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: This transaction was executed in multiple trades at prices ranging from $4.63 to $4.77, with the price reported above reflecting the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was affected.

SEC source: 0001493152-20-023703 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,187

F1 · shares: The shares were sold pursuant to a 10b5-1 trading plan previously adopted by the Reporting Person, to satisfy the Reporting Person's tax liability in connection with the December 2020 vesting of certain restricted stock shares which were granted under the Company's 2019 Equity Incentive Plan, which award was exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: Represents the weighted sales price for all sales made on December 14, 2020, which were made in a range of between $5.22 and $5.30 per share. The Reporting Person will provide to the Commission, the Issuer or any stockholder, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0001493152-20-006499 · ownership.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,987

F1 · shares: Shares of Restricted Common Stock were issued to the Reporting Person pursuant to the Issuer's 2019 Equity Incentive Plan and are subject to forfeiture. The shares vest at the rate of 1/4 of the shares on July 1 and October 1, 2020 and January 1 and April 1, 2021, subject to the Reporting Person's continued service to the Company on such vesting dates, and subject to the terms and conditions of a Restricted Shares Grant Agreement entered into by and between the Issuer and the Reporting Person. Exempt under Rule 16b-3(d).

F2 · price: Issued to the Reporting Person in consideration for services rendered and agreed to be rendered to the Issuer as a member of the Board of Directors.

SEC source: 0001078782-19-000428 · primary_doc.xml · derivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,923

Underlying: Common Stock · 50,000 shares

Expires 2019-05-13

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

SEC source: 0001654954-18-007178 · section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Contractor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 442,081

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 the June 28, 2018 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: 0001078782-18-000490 · primary_doc.xml · derivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,423

Underlying: Common Stock · 50,000 shares

Expires 2028-04-01

F1 · derivative.exercise_date: Option vests and becomes exercisable quarterly over four years.

SEC source: 0001654954-17-011944 · section16.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 561,081

F2 · 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 the December 28, 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).

F3 · balance_after: Reporting Person's holdings include: 4,500; 18,875; 8,700; 8,500; 7,725; 3,021; 99,000 and 410,000 shares all issued pursuant to restricted stock grants; 745 issued pursuant to debt conversion and 15 pursuant to a 2008 Blast Stock Grant.

SEC source: 0001654954-17-011944 · section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 585,831

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) 50% of the shares on the six (6) month anniversary of the Grant Date; (ii) 30% on the twelve (12) month anniversary of the Grant Date and (iii) 20% on the eighteen (18) month anniversary of the Grant Date, in each case 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.

SEC source: 0001654954-17-009330 · section16.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,831

F2 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested on October 8, 2017 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: 4,500; 18,875; 8,700; 8,500; 7725; 3,021 and 123,750 shares all issued pursuant to restricted stock grants; 745 issued pursuant to debt conversion and 15 pursuant to a 2008 Blast stock grant.

SEC source: 0001654954-17-009330 · section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,331

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

SEC source: 0001654954-17-006277 · section16.xml · nonDerivative · entry 3

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,331

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested on July 1, 2017 and July 7, 2017 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: 4,500; 18,875; 8,700; 10,000; 7,725; 23,021 and 123,750 shares all issued pursuant to restricted stock grants; 745 issued pursuant to debt conversion and 15 pursuant to a 2008 Blast stock grant.

SEC source: 0001654954-17-006277 · section16.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,079

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested on July 1, 2017 and July 7, 2017 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: 0001654954-17-006277 · section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,379

F1 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested on July 1, 2017 and July 7, 2017 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: 0001654954-17-006058 · section16.xml · nonDerivative · entry 4

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,379

F2 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested on June 28, 2017 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: 4,500; 18,875; 10,675; 10,000; 7,725; 29,094 and 123,750 shares all issued pursuant to restricted stock grants; 745 issued pursuant to debt conversion and 15 pursuant to a 2008 Blast stock grant.

SEC source: 0001654954-17-006058 · section16.xml · nonDerivative · entry 3

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,629

F2 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested on June 28, 2017 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: 0001654954-17-006058 · section16.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,129

F2 · shares: Shares were sold pursuant to a 10b5-1 trading plan previously adopted by Reporting Person with respect to the sale of shares which vested on June 28, 2017 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: 0001654954-17-006058 · section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,629

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

SEC source: 0001354488-17-000458 · issuerdirect_section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,629

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 the April 8, 2017 vesting of 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).

F4 · balance_after: Reporting Person's holdings include: 4,500; 19,875; 10,675; 10,000; 7,725; 38,094 and 165,000 shares all issued pursuant to restricted stock grants; 745 issued pursuant to debt conversion and 15 pursuant to a 2008 Blast stock grant.

SEC source: 0001078782-18-000165 · primary_doc.xml · derivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 176,923 shares

Expires 2027-04-01

F1 · derivative.exercise_date: 76,923 of the options vest after one year, the remaining Options vest quarterly over four years.

SEC source: 0001354488-17-000061 · issuerdirect_section16.xml · nonDerivative · entry 3

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,581,278

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 the January 1, 2017 and January 7, 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).

F4 · balance_after: Reporting Person's holdings include: 45,000, 198,750, 106,750, 115,000, 77,245, 380,935 and 1,650,000 shares all issued pursuant to restricted stock grants; 7,449 issued pursuant to debt conversion and 149 issued pursuant to a 2008 Blast stock grant.

SEC source: 0001354488-17-000061 · issuerdirect_section16.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,639,528

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 the January 1, 2017 and January 7, 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: 0001354488-17-000061 · issuerdirect_section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,679,528

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 the January 1, 2017 and January 7, 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: 0001354488-16-008750 · issuerdirect_section16.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,723,528

F2 · shares: Common stock of Issuer granted to Reporting Person and subject to forfeiture as follows: (i) 50% of the shares on the six (6) month anniversary of the Grant Date; (ii) 30% on the twelve (12) month anniversary of the Grant Date; and (iii) 20% on the eighteen (18) month anniversary of the Grant Date, in each case 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.

F3 · balance_after: Reporting Person's holdings include: 45,000, 198,750, 126,500, 115,000, 109,745, 470,935 and 1,650,000 shares all issued pursuant to restricted stock grants; 7,449 issued pursuant to debt conversion and 149 issued pursuant to a 2008 Blast Stock Grant.

SEC source: 0001354488-16-008748 · issuerdirect_section16.xml · nonDerivative · entry 2

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,723,528

F2 · shares: Common stock of Issuer granted to Reporting Person and subject to forfeiture as follows: (i) 50% of the shares on the six (6) month anniversary of the Grant Date; (ii) 30% on the twelve (12) month anniversary of the Grant Date; and (iii) 20% on the eighteen (18) month anniversary of the Grant Date, in each case 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.

F3 · balance_after: Reporting Person's holdings include: 45,000, 198,750, 126,500, 115,000, 109,745, 470,935 and 1,650,000 shares all issued pursuant to restricted stock grants; 7,449 issued pursuant to debt conversion and 149 issued pursuant to a 2008 Blast Stock Grant.

SEC source: 0001354488-16-008750 · issuerdirect_section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,073,528

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

SEC source: 0001354488-16-008748 · issuerdirect_section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,073,528

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

SEC source: 0001354488-16-008381 · issuerdirect_section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,123,528

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 the October 8, 2016 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: 45,000; 198,750; 126,500; 165,000 109,745 and 470,935 shares issued pursuant to restricted stock grants; 7,449 issued pursuant to debt conversion and 149 issued pursuant to a 2008 Blast stock grant.

SEC source: 0001354488-16-008275 · issuerdirect_section16.xml · nonDerivative · entry 1

PETERSON MICHAEL L · CIK 0001293970 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,138,528

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 the September 7, 2016 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: 45,000; 198,750; 126,500; 180,000; 109,745 and 470,935 shares issued pursuant to restricted stock grants; 7,449 issued pursuant to debt conversion and 149 issued pursuant to a 2008 Blast stock grant.