Maggiore Christopher D.

SEC source: 0001654954-26-000631 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 519,292

SEC source: 0001654954-25-011614 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 517,526

F1 · balance_after: Due to an administrative error, the amount previously reported in this Item 5 overstated the aggregate beneficial ownership of the reporting person by 13,156 shares of Common Stock. The number stated in Item 5 to this Form 4 has been updated to correct the reporting person's aggregate beneficial ownership.

SEC source: 0001654954-25-011513 · section16.xml · derivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,075

Underlying: Common Stock · 1,075 shares

Expires 2035-10-02

F1 · price: This option was issued to the reporting person pursuant to the 2024 Equity Incentive Plan for Non-Employee Directors in lieu of retainer fees of $10,964.38

SEC source: 0001654954-25-004085 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 507,000

SEC source: 0001654954-25-000105 · section16.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 507,020

SEC source: 0001654954-25-000105 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 499,743

SEC source: 0001654954-24-011071 · section16.xml · derivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,133

Underlying: Common Stock · 3,133 shares

Expires 2029-08-22

SEC source: 0001654954-24-011071 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 498,443

SEC source: 0001654954-24-009647 · section16.xml · derivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 208

Underlying: Common Stock · 208 shares

Expires 2029-07-26

SEC source: 0001654954-24-009647 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 467,107

SEC source: 0001654954-24-007745 · section16.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 465,027

SEC source: 0001654954-24-007745 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 461,263

SEC source: 0001654954-24-007464 · section16.xml · derivative · entry 7

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,626 shares

Expires 2033-06-11

F1 · derivative.exercise_price: The share amount and exercise price have been adjusted from the amount reported on a previous Form 4 to reflect a 1 for 6 reverse stock split of the Issuer's stock in October 2023.

F1 · shares: The share amount and exercise price have been adjusted from the amount reported on a previous Form 4 to reflect a 1 for 6 reverse stock split of the Issuer's stock in October 2023.

F3 · price: The Issuer canceled options for an aggregate 15,867 shares of the Issuer's common stock granted to the Reporting Person on 10/12/2021, 10/21/2021, 7/28/2022, 12/16/2022, and 6/12/2023. In exchange for the canceled options, the Reporting Person received 36,630 shares of restricted stock.

F4 · derivative.exercise_date: The canceled option was issued pursuant to the 2021 Equity Incentive Plan on 6/12/2023 and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2024 Annual Meeting of Stockholders, subject to the Reporting Person's continuous service on each applicable vesting date.

SEC source: 0001654954-24-007464 · section16.xml · derivative · entry 6

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 707 shares

Expires 2032-12-15

F1 · shares: The share amount and exercise price have been adjusted from the amount reported on a previous Form 4 to reflect a 1 for 6 reverse stock split of the Issuer's stock in October 2023.

F3 · price: The Issuer canceled options for an aggregate 15,867 shares of the Issuer's common stock granted to the Reporting Person on 10/12/2021, 10/21/2021, 7/28/2022, 12/16/2022, and 6/12/2023. In exchange for the canceled options, the Reporting Person received 36,630 shares of restricted stock.

F2 · derivative.exercise_date: The canceled options were fully vested.

SEC source: 0001654954-24-007464 · section16.xml · derivative · entry 5

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,632 shares

Expires 2032-07-27

F1 · shares: The share amount and exercise price have been adjusted from the amount reported on a previous Form 4 to reflect a 1 for 6 reverse stock split of the Issuer's stock in October 2023.

F3 · price: The Issuer canceled options for an aggregate 15,867 shares of the Issuer's common stock granted to the Reporting Person on 10/12/2021, 10/21/2021, 7/28/2022, 12/16/2022, and 6/12/2023. In exchange for the canceled options, the Reporting Person received 36,630 shares of restricted stock.

F2 · derivative.exercise_date: The canceled options were fully vested.

SEC source: 0001654954-24-007464 · section16.xml · derivative · entry 4

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,000 shares

Expires 2031-10-20

F1 · derivative.exercise_price: The share amount and exercise price have been adjusted from the amount reported on a previous Form 4 to reflect a 1 for 6 reverse stock split of the Issuer's stock in October 2023.

F1 · shares: The share amount and exercise price have been adjusted from the amount reported on a previous Form 4 to reflect a 1 for 6 reverse stock split of the Issuer's stock in October 2023.

F3 · price: The Issuer canceled options for an aggregate 15,867 shares of the Issuer's common stock granted to the Reporting Person on 10/12/2021, 10/21/2021, 7/28/2022, 12/16/2022, and 6/12/2023. In exchange for the canceled options, the Reporting Person received 36,630 shares of restricted stock.

F2 · derivative.exercise_date: The canceled options were fully vested.

SEC source: 0001654954-24-007464 · section16.xml · derivative · entry 3

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,902 shares

Expires 2031-10-11

F1 · derivative.exercise_price: The share amount and exercise price have been adjusted from the amount reported on a previous Form 4 to reflect a 1 for 6 reverse stock split of the Issuer's stock in October 2023.

F1 · shares: The share amount and exercise price have been adjusted from the amount reported on a previous Form 4 to reflect a 1 for 6 reverse stock split of the Issuer's stock in October 2023.

F3 · price: The Issuer canceled options for an aggregate 15,867 shares of the Issuer's common stock granted to the Reporting Person on 10/12/2021, 10/21/2021, 7/28/2022, 12/16/2022, and 6/12/2023. In exchange for the canceled options, the Reporting Person received 36,630 shares of restricted stock.

F2 · derivative.exercise_date: The canceled options were fully vested.

SEC source: 0001654954-24-007464 · section16.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 454,990

SEC source: 0001654954-24-007464 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 373,446

F3 · price: The Issuer canceled options for an aggregate 15,867 shares of the Issuer's common stock granted to the Reporting Person on 10/12/2021, 10/21/2021, 7/28/2022, 12/16/2022, and 6/12/2023. In exchange for the canceled options, the Reporting Person received 36,630 shares of restricted stock.

SEC source: 0001654954-24-000086 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 336,816

SEC source: 0001654954-23-015555 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 179,124

SEC source: 0001654954-23-008023 · section16.xml · derivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,756

Underlying: Common Stock · 21,756 shares

Expires 2033-06-11

F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2024 Annual Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date.

SEC source: 0001654954-22-016736 · section16.xml · derivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,244

Underlying: Common Stock · 4,244 shares

Expires 2032-12-15

F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vested immediately upon grant.

SEC source: 0001654954-22-012673 · section16.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 810,305

F2 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.435 to $3.93 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001654954-22-012673 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 808,305

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.45 to $3.7257 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001654954-23-001647 · section16.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 723,282

F2 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.435 to $3.93 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001654954-23-001647 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 721,282

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.45 to $3.7257 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F3 · balance_after: The total number of shares reported in Column 5 differs from amounts previously reported, which incorrectly included shares held in the estate of Robert S. McLain and in a related trust, as to which the reporting person was appointed a co-trustee in 2014. Although the reporting person has shared power to vote or to direct the vote, and shared power to dispose or to direct the disposition of, the shares held in the estate and in the trust, the reporting person has no direct or indirect pecuniary interest in such shares.

SEC source: 0001654954-22-016253 · section16.xml · derivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,797

Underlying: Common stock · 15,797 shares

Expires 2022-07-27

F1 · security: This amendment is being filed solely to correct the date of the transaction reported to July 28, 2022.

F2 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2023 Annual Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date.

SEC source: 0001654954-22-010397 · section16.xml · derivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,797

Underlying: Common Stock · 15,797 shares

Expires 2032-07-27

F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2023 Annual Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date.

SEC source: 0001654954-22-001719 · section16.xml · nonDerivative · entry 3

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 803,105

F3 · price: (3)The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.7199 to $4.07 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001654954-22-001719 · section16.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 758,140

F2 · price: (2)The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.48 to $3.70 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001654954-22-001719 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 740,134

F1 · price: (1)The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.4899 to $3.60 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001654954-22-000532 · section16.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 711,771

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.585 to $2.850 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001654954-21-011338 · section16.xml · derivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Stock · 42,000 shares

Expires 2031-10-20

F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% upon acceptance of the grant, 25% on each of the next two 4-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0001654954-21-011167 · section16.xml · derivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,416

Underlying: Common Stock · 11,416 shares

Expires 2031-10-11

F1 · derivative.exercise_date: The option was issued pursuant to the 2021 Equity Incentive Plan and vests as follows: 25% on the first three 3-month anniversaries of the grant, and 25% on the day prior to the Company's 2022 Annual General Meeting of Stockholders, subject to the reporting person's continuous service on each applicable vesting date.

SEC source: 0001078782-21-000534 · primary_doc.xml · derivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2026-06-02

SEC source: 0001078782-21-000534 · primary_doc.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 704,211

F1 · balance_after: The share amount has been adjusted to reflect the reverse stock split effective on May 28, 2021 whereby each eighty shares of common stock issued and outstanding prior to the split were combined and converted into one share of common stock.

SEC source: 0001078782-20-000935 · primary_doc.xml · derivative · entry 4

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2025-09-30

F1 · price: The warrants were issued to the reporting person as compensation for acting as a director.

SEC source: 0001078782-20-000935 · primary_doc.xml · derivative · entry 3

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2020-09-10

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: 0001078782-20-000935 · primary_doc.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,907,826

SEC source: 0001078782-20-000935 · primary_doc.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,954,122

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: 0001078782-20-000094 · primary_doc.xml · nonDerivative · entry 4

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,704,122

SEC source: 0001078782-20-000094 · primary_doc.xml · nonDerivative · entry 3

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,680,122

SEC source: 0001078782-20-000094 · primary_doc.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,660,122

SEC source: 0001078782-20-000094 · primary_doc.xml · nonDerivative · entry 1

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,644,122

SEC source: 0001078782-20-000005 · primary_doc.xml · nonDerivative · entry 6

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,639,122

SEC source: 0001078782-20-000005 · primary_doc.xml · nonDerivative · entry 5

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,634,122

SEC source: 0001078782-20-000005 · primary_doc.xml · nonDerivative · entry 4

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,584,122

SEC source: 0001078782-20-000005 · primary_doc.xml · nonDerivative · entry 3

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,519,122

SEC source: 0001078782-20-000005 · primary_doc.xml · nonDerivative · entry 2

Maggiore Christopher D. · CIK 0001436075 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,469,122