SULLIVAN JAMES

SEC source: 0001254117-26-000002 · form4-10072026_121031.xml · derivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · SVP Finance and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,502

Underlying: Common Stock · 51,502 shares

Expires not disclosed

F1 · security: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: These Restricted Stock Units ("RSU") were awarded as an inducement award outside of the QuickLogic 2019 Stock Plan in accordance with NASDAQ Listing Rule 5635(c)(4). The RSU grant vests over a three-year period, with one-third vesting on the one-year anniversary of the grant date and 1/6th vesting each six months thereafter, subject to Mr. Sullivan's continued employment with the Company.

F2 · derivative.expiration_date: These Restricted Stock Units ("RSU") were awarded as an inducement award outside of the QuickLogic 2019 Stock Plan in accordance with NASDAQ Listing Rule 5635(c)(4). The RSU grant vests over a three-year period, with one-third vesting on the one-year anniversary of the grant date and 1/6th vesting each six months thereafter, subject to Mr. Sullivan's continued employment with the Company.

SEC source: 0001213900-26-014356 · ownership.xml · derivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2036-02-09

F1 · derivative.exercise_date: The option will vest as to 1/36th of the shares subject to the option on each monthly anniversary following February 9, 2026.

F2 · balance_after: In accordance with Instruction 4 to this Form, column 9 reports only total beneficial ownership of the "class" of derivative security reported in column 1. Options that have different exercise prices or vesting terms are not considered to be of the same "class."

SEC source: 0001213900-25-074528 · ownership.xml · derivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-08-07

F1 · derivative.exercise_date: The option will vest as to 1/36th of the shares subject to the option on each monthly anniversary following August 7, 2025.

F2 · balance_after: In accordance with Instruction 4 to this Form, column 9 reports only total beneficial ownership of the "class" of derivative security reported in column 1. Options that have different exercise prices or vesting terms are not considered to be of the same "class."

SEC source: 0001213900-25-013701 · ownership.xml · derivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-02-11

F1 · derivative.exercise_date: The option will vest as to 1/36th of the shares subject to the option on each monthly anniversary following February 11, 2025.

F2 · balance_after: In accordance with Instruction 4 to this Form, column 9 reports only total beneficial ownership of the "class" of derivative security reported in column 1. Options that have different exercise prices or vesting terms are not considered to be of the same "class."

SEC source: 0001213900-24-110706 · ownership.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,893

F1 · shares: Represents the number of shares of the Issuer's common stock withheld to satisfy the reporting person's tax obligation in connection with the settlement of shares of common stock underlying the portion of restricted stock units that vested on December 17, 2024 based on the closing price of the Issuer's common stock as reported on the Nasdaq Capital Market on December 17, 2024 of $1.10.

SEC source: 0001213900-24-054396 · ownership.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,042

F1 · security: Includes restricted stock units ("RSUs") granted to the reporting person on April 15, 2022, reflecting the impact of a 1-for-40 reverse stock split of the Issuer's common stock effected on January 2, 2024, that vest as to one-sixth of the shares of common stock subject to the RSUs on each semi-annual anniversary of December 17, 2021. Each RSU represents a contingent right to receive one share of the Issuer's common stock once vested.

F2 · shares: Represents the number of shares of the Issuer's common stock withheld to satisfy the reporting person's tax obligation in connection with the settlement of shares of common stock underlying the portion of the RSUs that vested on June 17, 2024 based on the closing price of the Issuer's common stock as reported on the Nasdaq Capital Market on June 17, 2024 of $1.51.

SEC source: 0001213900-23-096943 · ownership.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,457

F1 · security: Includes restricted stock units ("RSUs"), which vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of December 17, 2021. Each RSU represents a contingent right to receive one share of the Issuer's common stock once vested.

F2 · shares: Represents the number of shares of the Issuer's common stock withheld to satisfy the reporting person's tax obligation in connection with the settlement of shares of common stock underlying the portion of the RSUs that vested on December 15, 2023.

SEC source: 0001213900-23-050210 · ownership.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,221

F1 · security: Includes restricted stock units ("RSUs"), which vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of December 17, 2021. Each RSU represents a contingent right to receive one share of the Issuer's common stock once vested.

F2 · shares: Represents the number of shares of the Issuer's common stock withheld to satisfy the reporting person's tax obligation in connection with the settlement of shares of common stock underlying the portion of the RSUs that vested on June 16, 2023.

SEC source: 0001213900-22-081554 · ownership.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,018

F1 · security: Includes restricted stock units ("RSUs"), which vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of December 17, 2021. Each RSU represents a contingent right to receive one share of the Issuer's common stock once vested.

F2 · shares: Represents the number of shares of the Issuer's common stock withheld to satisfy the reporting person's tax obligation in connection with the settlement of shares of common stock underlying the portion of the RSUs that vested on December 16, 2022.

SEC source: 0001209191-22-024847 · doc4.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,782

F1 · shares: Restricted Stock Unit ("RSU") award granted on April 15, 2022. Each RSU represents a contingent right to receive one share of the Company's common stock once vested. The RSUs vest as to one-sixth of the shares on each semi-annual anniversary of December 17, 2021.

SEC source: 0001209191-22-007890 · doc4.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,631

F1 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of Peraso Inc. common stock effected in August 2019. The RSUs vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0001209191-22-007890 · doc4.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,194

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 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of Peraso Inc. common stock effected in August 2019. The RSUs vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F1 · price: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of Peraso Inc. common stock effected in August 2019. The RSUs vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0001209191-21-050327 · doc4.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,819

F1 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of Mosys, Inc. common stock effected in August 2019. The RSUs (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0001209191-21-050327 · doc4.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,295

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 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of Mosys, Inc. common stock effected in August 2019. The RSUs (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F1 · price: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of Mosys, Inc. common stock effected in August 2019. The RSUs (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0001209191-21-008614 · doc4.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,920

F1 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of MoSys, Inc. common stock effected in August 2019. The RSUs vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0001209191-21-008614 · doc4.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,485

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 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of MoSys, Inc. common stock effected in August 2019. The RSUs vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F1 · price: On February 6, 2019, the reporting person was granted 8,250 restricted stock units ("RSUs"), which reflect the impact of a 1-for-20 reverse stock split of MoSys, Inc. common stock effected in August 2019. The RSUs vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0001209191-20-045812 · doc4.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,110

F1 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units, which reflect the impact of a 1-for-20 reverse stock split of Mosys, Inc. common stock effected in August 2019. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F2 · balance_after: In accordance with Instruction 4 to this Form, Column 5 reports only the total beneficial ownership of the "class" of derivative security reported in Column 1.

SEC source: 0001209191-20-045812 · doc4.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,574

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 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units, which reflect the impact of a 1-for-20 reverse stock split of Mosys, Inc. common stock effected in August 2019. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F1 · price: On February 6, 2019, the reporting person was granted 8,250 restricted stock units, which reflect the impact of a 1-for-20 reverse stock split of Mosys, Inc. common stock effected in August 2019. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F2 · balance_after: In accordance with Instruction 4 to this Form, Column 5 reports only the total beneficial ownership of the "class" of derivative security reported in Column 1.

SEC source: 0001209191-20-008140 · doc4.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,199

F1 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units, which reflect the impact of a 1-for-20 reverse stock split of the Issuer's common stock effected in August 2019. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F2 · balance_after: In accordance with Instruction 4 to this Form, Column 5 reports only the total beneficial ownership of the "class" of derivative security reported in Column 1.

SEC source: 0001209191-20-008140 · doc4.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,823

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 · security: On February 6, 2019, the reporting person was granted 8,250 restricted stock units, which reflect the impact of a 1-for-20 reverse stock split of the Issuer's common stock effected in August 2019. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F1 · price: On February 6, 2019, the reporting person was granted 8,250 restricted stock units, which reflect the impact of a 1-for-20 reverse stock split of the Issuer's common stock effected in August 2019. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F2 · balance_after: In accordance with Instruction 4 to this Form, Column 5 reports only the total beneficial ownership of the "class" of derivative security reported in Column 1.

SEC source: 0000899243-19-027917 · doc4.xml · derivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,589

Underlying: Common Stock · 20,000 shares

Expires 2029-11-20

F1 · security: On November 20, 2019, the reporting person was granted 20,000 options. The options vest monthly over thirty-six months.

SEC source: 0000899243-19-021478 · doc4.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,829

F1 · security: On February 6, 2019, the reporting person was granted 165,000 restricted stock units. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0000899243-19-021478 · doc4.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,429

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 · security: On February 6, 2019, the reporting person was granted 165,000 restricted stock units. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F1 · price: On February 6, 2019, the reporting person was granted 165,000 restricted stock units. The restricted stock units (RSUs) vest as to one-sixth of the shares subject to the RSUs on each semi-annual anniversary of February 6, 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0000899243-19-006005 · doc4.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,566

F1 · security: On July 22, 2016, the reporting person was granted 10,000 restricted stock units, which reflect the impact of a 1-for-10 reverse stock split of MoSys, Inc. common stock effected in February 2017. The restricted stock units (RSUs) vested in 3 equal installments on each of March 1, 2017, 2018 and 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0000899243-19-006005 · doc4.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,929

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 · security: On July 22, 2016, the reporting person was granted 10,000 restricted stock units, which reflect the impact of a 1-for-10 reverse stock split of MoSys, Inc. common stock effected in February 2017. The restricted stock units (RSUs) vested in 3 equal installments on each of March 1, 2017, 2018 and 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

F1 · price: On July 22, 2016, the reporting person was granted 10,000 restricted stock units, which reflect the impact of a 1-for-10 reverse stock split of MoSys, Inc. common stock effected in February 2017. The restricted stock units (RSUs) vested in 3 equal installments on each of March 1, 2017, 2018 and 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting.

SEC source: 0001645383-19-000011 · primary_doc.xml · derivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2029-02-06

F2 · security: Options vest monthly over thirty-six months

SEC source: 0001645383-19-000011 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,146

F1 · price: Restricted stock units vest in 6 equal installments on August 6, 2019, February 6, 2020, August 6, 2020, February 6, 2021, August 6, 2021 and February 6, 2022

SEC source: 0001645383-19-000003 · primary_doc.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,596

SEC source: 0001645383-19-000003 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,366

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 · security: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019.

F1 · price: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019.

SEC source: 0001645383-19-000006 · primary_doc.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,596

SEC source: 0001645383-19-000006 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,366

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 · security: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019.

F1 · price: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019.

SEC source: 0001645383-18-000012 · primary_doc.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,700

F1 · security: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019

SEC source: 0001645383-18-000012 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,629

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 · security: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019

F1 · price: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019

SEC source: 0001645383-18-000011 · primary_doc.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,962

F1 · security: On July 22, 2016, the reporting person was granted 10,000 restricted stock units, which reflect the impact of a 1-for-10 reverse stock split of the Issuers common stock effected in February 2017. The restricted stock units (RSUs) vest in 3 equal installments on each of March 1, 2017, 2018, and 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting

SEC source: 0001645383-18-000011 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,324

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 · security: On July 22, 2016, the reporting person was granted 10,000 restricted stock units, which reflect the impact of a 1-for-10 reverse stock split of the Issuers common stock effected in February 2017. The restricted stock units (RSUs) vest in 3 equal installments on each of March 1, 2017, 2018, and 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting

F1 · price: On July 22, 2016, the reporting person was granted 10,000 restricted stock units, which reflect the impact of a 1-for-10 reverse stock split of the Issuers common stock effected in February 2017. The restricted stock units (RSUs) vest in 3 equal installments on each of March 1, 2017, 2018, and 2019. Amounts shown represent the conversion of the RSUs into common stock on a one-for-one basis upon vesting

SEC source: 0001645383-18-000008 · primary_doc.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,991

F1 · security: On February 18, 2014, the reporting person was granted 3,000 restricted stock units, which reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on February 15, 2017. The restricted stock units vest in 5 equal installments on February 18, 2014, 2015, 2016, 2017, and 2018. Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis

SEC source: 0001645383-18-000008 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,236

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 · security: On February 18, 2014, the reporting person was granted 3,000 restricted stock units, which reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on February 15, 2017. The restricted stock units vest in 5 equal installments on February 18, 2014, 2015, 2016, 2017, and 2018. Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis

F1 · price: On February 18, 2014, the reporting person was granted 3,000 restricted stock units, which reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on February 15, 2017. The restricted stock units vest in 5 equal installments on February 18, 2014, 2015, 2016, 2017, and 2018. Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis

SEC source: 0001645383-18-000006 · primary_doc.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,636

F1 · security: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019

SEC source: 0001645383-18-000006 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,405

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.

F1 · security: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019

F1 · price: On September 26, 2017, the reporting person was granted 35,000 restricted stock units, which vest in 3 equal installments on each of January 31, 2018, July 31, 2018 and January 31, 2019

SEC source: 0001645383-17-000019 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,738

F1 · price: Restricted stock units vest in 3 equal installments on January 31, 2018, July 31, 2018 and January 3, 2019

SEC source: 0001645383-17-000005 · primary_doc.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,738

F1 · security: Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis.

F2 · balance_after: On July 22, 2016, the reporting person was granted 10,000 restricted stock units, which reflect the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on February 15, 2017. The restricted stock units vest in 3 equal installments on each of March 1, 2017, 2018, and 2019.

SEC source: 0001645383-17-000005 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,197

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 · security: Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis.

F1 · price: Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis.

F2 · balance_after: On July 22, 2016, the reporting person was granted 10,000 restricted stock units, which reflect the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on February 15, 2017. The restricted stock units vest in 3 equal installments on each of March 1, 2017, 2018, and 2019.

SEC source: 0001645383-17-000003 · primary_doc.xml · nonDerivative · entry 2

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,864

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 · security: On February 18, 2014, the reporting person was granted 3,000 restricted stock units, which reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on February 15, 2017. The restricted stock units vest in 5 equal installments on February 18, 2014, 2015, 2016, 2017, and 2018. Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis.

F2 · shares: Reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on 2/15/17

F2 · balance_after: Reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on 2/15/17

SEC source: 0001645383-17-000003 · primary_doc.xml · nonDerivative · entry 1

SULLIVAN JAMES · CIK 0001254117 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,126

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 · security: On February 18, 2014, the reporting person was granted 3,000 restricted stock units, which reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on February 15, 2017. The restricted stock units vest in 5 equal installments on February 18, 2014, 2015, 2016, 2017, and 2018. Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis.

F2 · shares: Reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on 2/15/17

F1 · price: On February 18, 2014, the reporting person was granted 3,000 restricted stock units, which reflects the impact of a 1 for 10 reverse stock split of the Issuers Common Stock effected on February 15, 2017. The restricted stock units vest in 5 equal installments on February 18, 2014, 2015, 2016, 2017, and 2018. Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis.