CANO FRANCIS

SEC source: 0001286710-26-000002 · form4-02102026_040203.xml · derivative · entry 7

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,500 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities transacted pursuant to the Agreement and Plan of Merger (the "Merger Agreement") by and among the Issuer, SANOFI, a French societe anonyme ("Parent"), and Samba Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Purchaser").

F2 · kind: Pursuant to the Merger Agreement, Purchaser completed a tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 per share (the "Common Stock"), for $15.50 per share (the "Offer Price"), in cash, without interest and subject to any applicable withholding of taxes. On February 10, 2026, Purchaser merged with and into the Issuer, with the Issuer surviving as an indirect wholly owned subsidiary of Parent (the effective time of such merger, the "Effective Time").

F4 · price: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

SEC source: 0001286710-26-000002 · form4-02102026_040203.xml · derivative · entry 6

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities transacted pursuant to the Agreement and Plan of Merger (the "Merger Agreement") by and among the Issuer, SANOFI, a French societe anonyme ("Parent"), and Samba Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Purchaser").

F2 · kind: Pursuant to the Merger Agreement, Purchaser completed a tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 per share (the "Common Stock"), for $15.50 per share (the "Offer Price"), in cash, without interest and subject to any applicable withholding of taxes. On February 10, 2026, Purchaser merged with and into the Issuer, with the Issuer surviving as an indirect wholly owned subsidiary of Parent (the effective time of such merger, the "Effective Time").

F4 · price: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

SEC source: 0001286710-26-000002 · form4-02102026_040203.xml · derivative · entry 5

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities transacted pursuant to the Agreement and Plan of Merger (the "Merger Agreement") by and among the Issuer, SANOFI, a French societe anonyme ("Parent"), and Samba Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Purchaser").

F2 · kind: Pursuant to the Merger Agreement, Purchaser completed a tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 per share (the "Common Stock"), for $15.50 per share (the "Offer Price"), in cash, without interest and subject to any applicable withholding of taxes. On February 10, 2026, Purchaser merged with and into the Issuer, with the Issuer surviving as an indirect wholly owned subsidiary of Parent (the effective time of such merger, the "Effective Time").

F4 · price: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

SEC source: 0001286710-26-000002 · form4-02102026_040203.xml · derivative · entry 4

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,500 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities transacted pursuant to the Agreement and Plan of Merger (the "Merger Agreement") by and among the Issuer, SANOFI, a French societe anonyme ("Parent"), and Samba Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Purchaser").

F2 · kind: Pursuant to the Merger Agreement, Purchaser completed a tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 per share (the "Common Stock"), for $15.50 per share (the "Offer Price"), in cash, without interest and subject to any applicable withholding of taxes. On February 10, 2026, Purchaser merged with and into the Issuer, with the Issuer surviving as an indirect wholly owned subsidiary of Parent (the effective time of such merger, the "Effective Time").

F4 · price: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

SEC source: 0001286710-26-000002 · form4-02102026_040203.xml · derivative · entry 3

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities transacted pursuant to the Agreement and Plan of Merger (the "Merger Agreement") by and among the Issuer, SANOFI, a French societe anonyme ("Parent"), and Samba Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Purchaser").

F2 · kind: Pursuant to the Merger Agreement, Purchaser completed a tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 per share (the "Common Stock"), for $15.50 per share (the "Offer Price"), in cash, without interest and subject to any applicable withholding of taxes. On February 10, 2026, Purchaser merged with and into the Issuer, with the Issuer surviving as an indirect wholly owned subsidiary of Parent (the effective time of such merger, the "Effective Time").

F4 · price: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

SEC source: 0001286710-26-000002 · form4-02102026_040203.xml · derivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities transacted pursuant to the Agreement and Plan of Merger (the "Merger Agreement") by and among the Issuer, SANOFI, a French societe anonyme ("Parent"), and Samba Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Purchaser").

F2 · kind: Pursuant to the Merger Agreement, Purchaser completed a tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 per share (the "Common Stock"), for $15.50 per share (the "Offer Price"), in cash, without interest and subject to any applicable withholding of taxes. On February 10, 2026, Purchaser merged with and into the Issuer, with the Issuer surviving as an indirect wholly owned subsidiary of Parent (the effective time of such merger, the "Effective Time").

F4 · price: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, (i) each stock option that was outstanding as of immediately prior to the Effective Time held by the Reporting Person became fully vested immediately prior to the Effective Time, and (ii) at the Effective Time, each stock option that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares subject to such stock option immediately prior to the Effective Time, without regard to vesting, multiplied by (ii) the excess of the Offer Price over the exercise price per share of such stock option.

SEC source: 0001286710-26-000002 · form4-02102026_040203.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities transacted pursuant to the Agreement and Plan of Merger (the "Merger Agreement") by and among the Issuer, SANOFI, a French societe anonyme ("Parent"), and Samba Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Purchaser").

F2 · kind: Pursuant to the Merger Agreement, Purchaser completed a tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 per share (the "Common Stock"), for $15.50 per share (the "Offer Price"), in cash, without interest and subject to any applicable withholding of taxes. On February 10, 2026, Purchaser merged with and into the Issuer, with the Issuer surviving as an indirect wholly owned subsidiary of Parent (the effective time of such merger, the "Effective Time").

F3 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each restricted stock unit ("RSU") award that was outstanding as of immediately prior to the Effective Time held by the Reporting Person, whether vested or unvested, was cancelled and converted into the right to receive cash in an amount equal to (i) the number of shares issuable in settlement of such RSU award immediately prior to the Effective Time without regard to vesting, multiplied by (ii) the Offer Price.

SEC source: 0001029142-25-000091 · wk-form4_1749850783.xml · derivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,500

Underlying: Commont Stock · 28,500 shares

Expires 2032-06-10

F2 · derivative.exercise_date: This option grant fully vests and becomes exercisable one year from date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date.

SEC source: 0001029142-25-000091 · wk-form4_1749850783.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,663

F1 · security: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of DVAX Common Stock. The RSU will fully vest one year from the date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date. The release of RSU shares shall be mandatorily deferred six months and one day after the Reporting Person no longer provides services to the Company.

SEC source: 0000950170-24-068141 · ownership.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,905

SEC source: 0000950170-24-065571 · ownership.xml · derivative · entry 5

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires 2024-06-01

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

F3 · derivative.exercise_date: This option grant fully vests and becomes exercisable one year from date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date.

SEC source: 0000950170-24-065571 · ownership.xml · nonDerivative · entry 3

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,520

F2 · shares: Represents the number of shares withheld to cover option exercise cost.

SEC source: 0000950170-24-065571 · ownership.xml · nonDerivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,405

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: 0000950170-24-065571 · ownership.xml · derivative · entry 4

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2031-05-22

F3 · derivative.exercise_date: This option grant fully vests and becomes exercisable one year from date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date.

SEC source: 0000950170-24-065571 · ownership.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,905

F1 · security: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of DVAX Common Stock. The RSU will fully vest one year from the date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date. The release of RSU shares shall be mandatorily deferred six months and one day after the Reporting Person no longer provides services to the Company.

SEC source: 0001209191-23-033154 · doc4.xml · derivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2030-05-25

F2 · derivative.exercise_date: This option grant fully vests and becomes exercisable one year from date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date.

SEC source: 0001209191-23-033154 · doc4.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,548

F1 · security: These securities are restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of DVAX Common Stock. The RSU will fully vest one year from the date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date. The release of RSU shares shall be mandatorily deferred six months and one day after the Reporting Person no longer provides services to the Company. The reporting person has reported prior awards of restricted stock units in Table II on Form 4. The total reported in Column 5 includes 5,357 newly awarded restricted stock units, 5,357 restricted stock units previously reported in Table II, and 20,834 shares of common stock.

SEC source: 0001209191-22-045321 · doc4.xml · derivative · entry 3

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2026-05-29

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

F3 · price: Not applicable.

F2 · derivative.exercise_date: These options fully-vested on May 30, 2020, upon the one-year anniversary of the grant date.

SEC source: 0001209191-22-045321 · doc4.xml · nonDerivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,834

F1 · price: This transaction was executed in multiple trades at prices ranging from $17.16 to $17.20; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, Dynavax, or a security holder of Dynavax.

SEC source: 0001209191-22-045321 · doc4.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,834

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

SEC source: 0001209191-22-032611 · doc4.xml · derivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2029-05-25

F3 · price: Not applicable.

F2 · derivative.exercise_date: This option grant fully vests and becomes exercisable one year from date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date.

SEC source: 0001209191-22-032611 · doc4.xml · derivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,357

Underlying: Common Stock · 5,357 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. The RSU will fully vest one year from the date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date. The release of RSU shares shall be mandatorily deferred until the Reporting Person no longer provides services to the Company.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. The RSU will fully vest one year from the date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date. The release of RSU shares shall be mandatorily deferred until the Reporting Person no longer provides services to the Company.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. The RSU will fully vest one year from the date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date. The release of RSU shares shall be mandatorily deferred until the Reporting Person no longer provides services to the Company.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of common stock. The RSU will fully vest one year from the date of grant, provided that Reporting Person continues to provide services to the Company through such vesting date. The release of RSU shares shall be mandatorily deferred until the Reporting Person no longer provides services to the Company.

SEC source: 0001209191-21-053376 · doc4.xml · derivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,167 shares

Expires 2022-02-12

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.

F2 · price: Not applicable

F1 · derivative.exercise_date: Warrants were issued in connection with a financing transaction dated August 12, 2019 and were immediately exercisable upon issuance and have an expiration date of February 12, 2022.

SEC source: 0001209191-21-053376 · doc4.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,834

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

SEC source: 0001209191-21-037418 · doc4.xml · derivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-05-27

F2 · price: Not applicable.

F1 · derivative.exercise_date: This option vests fully on May 28, 2022, on the one year anniversary of the grant date.

SEC source: 0001513162-20-000240 · primary_doc.xml · derivative · entry 3

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 20,000 shares

Expires 2030-12-10

F2 · price: Not applicable

SEC source: 0001513162-20-000240 · primary_doc.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,736

F1 · price: Transaction was a gift, no monetary price assigned

SEC source: 0001209191-20-032949 · doc4.xml · derivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-05-27

F2 · price: Not applicable.

F1 · derivative.exercise_date: This option vests fully on May 28, 2021, on the one year anniversary of the grant date.

SEC source: 0001513162-19-000258 · primary_doc.xml · derivative · entry 3

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 30,000 shares

Expires 2029-12-20

F1 · price: Not applicable.

SEC source: 0001209191-19-045638 · doc4.xml · derivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,167

Underlying: Common Stock · 4,167 shares

Expires 2022-02-12

F1 · derivative.exercise_date: Immediate

SEC source: 0001209191-19-045638 · doc4.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

SEC source: 0001209191-19-033720 · doc4.xml · derivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2026-05-29

F2 · price: Not applicable.

F1 · derivative.exercise_date: This option vests fully on May 30, 2020, on the one year anniversary of the grant date.

SEC source: 0001513162-18-000322 · primary_doc.xml · derivative · entry 3

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 35,000 shares

Expires 2028-12-20

F1 · price: Not applicable

SEC source: 0001209191-18-061656 · doc4.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The shares were sold at prices ranging from $10.47 to $10.48. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001513162-18-000271 · primary_doc.xml · derivative · entry 3

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 25,000 shares

Expires 2018-10-30

F1 · shares: To report exercise of stock option.

F2 · price: Consists of various options reported previously with varying dates and prices both expiring and excercisable.

SEC source: 0001513162-18-000271 · primary_doc.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,736

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

F1 · kind: To report exercise of stock option.

SEC source: 0001209191-18-034758 · doc4.xml · derivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2025-05-30

F2 · price: Not applicable.

F1 · derivative.exercise_date: This option vests fully on May 31, 2019, on the one year anniversary of the grant date.

SEC source: 0001513162-18-000140 · primary_doc.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,736

F1 · kind: Purchased through an S-3 registration statement filed 06/30/2017, file #333-219130. (Prospectus filed 12/04/2017)

SEC source: 0001513162-18-000033 · primary_doc.xml · nonDerivative · entry 4

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 5,900

SEC source: 0001513162-18-000033 · primary_doc.xml · nonDerivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,736

SEC source: 0001513162-18-000033 · primary_doc.xml · nonDerivative · entry 3

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 3,400

SEC source: 0001513162-18-000033 · primary_doc.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,036

SEC source: 0001513162-18-000028 · primary_doc.xml · derivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 25,000 shares

Expires 2028-01-22

F2 · price: Not applicable.

F1 · derivative.exercise_date: Exercisable 01/22/2019.

SEC source: 0001209191-17-037412 · doc4.xml · derivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2024-06-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: This option vests fully on June 2, 2018, on the one year anniversary of the grant date.

SEC source: 0001513162-16-001083 · primary_doc.xml · derivative · entry 2

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 25,000 shares

Expires 2017-01-05

F1 · price: Consists of various options previously reported with varying dates expiring and prices exercisable

SEC source: 0001513162-16-001083 · primary_doc.xml · nonDerivative · entry 1

CANO FRANCIS · CIK 0001286710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,836

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.