King Steven R.

SEC source: 0001193125-26-018044 · ownership.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,740

Underlying: Common Stock · 11,740 shares

Expires 2035-12-11

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The restricted stock unit and option grants were approved by the issuer's board of directors on December 11, 2025.

F4 · derivative.exercise_date: The options will vest ratably on a monthly basis over 12 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0001193125-26-018044 · ownership.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,885

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The restricted stock unit and option grants were approved by the issuer's board of directors on December 11, 2025.

F3 · date: Each restricted stock unit represents a contingent right to receive one share of the issuer's voting common stock. The restricted stock units vest on December 11, 2026. Vested shares will be delivered to the reporting on the vesting date provided in the grant notice.

SEC source: 0000950170-25-090445 · ownership.xml · derivative · entry 3

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 7,304 shares

Expires 2026-12-24

F2 · price: As an inducement to enter into the issuer exchange offer, the reporting person received a warrant (the "Warrant") to purchase up to 7,304 shares of Common Stock with an exercise price of $2.70 per share. The Warrant is exercisable immediately upon receipt of stockholder approval and will expire on the earlier of (i) 18 months from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

F2 · derivative.exercise_date: As an inducement to enter into the issuer exchange offer, the reporting person received a warrant (the "Warrant") to purchase up to 7,304 shares of Common Stock with an exercise price of $2.70 per share. The Warrant is exercisable immediately upon receipt of stockholder approval and will expire on the earlier of (i) 18 months from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

SEC source: 0000950170-25-090445 · ownership.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,785

Underlying: Common Stock · 3,785 shares

Expires not disclosed

F1 · price: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,785 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.exercise_date: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,785 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,785 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

SEC source: 0000950170-25-090445 · ownership.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,600 shares

Expires not disclosed

F1 · price: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,785 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.exercise_date: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,785 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,785 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

SEC source: 0000950170-25-075339 · ownership.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1 shares

Expires not disclosed

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "May 2024 Reverse Stock Split). Upon effectiveness of the May 2024 Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock. On March 18, 2025, the issuer effected a 25-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "March 2025 Reverse Stock Split").

F3 · derivative.exercise_price: (Continued from footnote 2) Upon effectiveness of the March 2025 Reverse Stock Split, every 25 shares of voting common stock was automatically converted into one share of voting common stock.

F4 · derivative.exercise_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 137,685 shares, but were adjusted to reflect the January 2023 Reverse Stock Split, the May 2024 Reverse Stock Split and the March 2025 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F4 · derivative.expiration_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 137,685 shares, but were adjusted to reflect the January 2023 Reverse Stock Split, the May 2024 Reverse Stock Split and the March 2025 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0000950170-25-075339 · ownership.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "May 2024 Reverse Stock Split). Upon effectiveness of the May 2024 Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock. On March 18, 2025, the issuer effected a 25-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "March 2025 Reverse Stock Split").

F3 · balance_after: (Continued from footnote 2) Upon effectiveness of the March 2025 Reverse Stock Split, every 25 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0000950170-25-049808 · ownership.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 3,600 shares

Expires 2030-03-31

F2 · price: As an inducement to enter into the Purchase Agreement, the reporting person received a warrant (the "Warrant") to purchase up to 3,600 shares of Common Stock with an exercise price of $5.43 per share. The Warrant is exercisable immediately upon issuance and will expire on the earlier of (i) five years from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

SEC source: 0000950170-25-049808 · ownership.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 3,600 shares

Expires not disclosed

F1 · derivative.exercise_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,600 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,600 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

SEC source: 0000950170-24-114181 · ownership.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,376

Underlying: Common Stock · 39,376 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F5 · derivative.exercise_date: The options will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0000950170-24-114181 · ownership.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,951

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F3 · date: Each restricted stock unit represents a contingent right to receive one share of the issuer's voting common stock. The restricted stock units vest in three equal annual installments beginning on October 8, 2025. Vested shares will be delivered to the reporting person on the vesting date or dates provided in the grant notice.

F4 · balance_after: On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the " Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-24-063895 · tm2414996-5_4seq1.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 612

Underlying: Common Stock · 612 shares

Expires not disclosed

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 137,685 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F3 · derivative.expiration_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 137,685 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-24-063895 · tm2414996-5_4seq1.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,756

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-24-048341 · tm2411853-5_4seq1.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 178 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "September 2021 Reverse Stock Split"). Upon effectiveness of the September 2021 Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 120,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 120,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

SEC source: 0001104659-24-048341 · tm2411853-5_4seq1.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,144

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001104659-23-091448 · tm2320633-1_4seq1.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · see remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,133

SEC source: 0001104659-23-062742 · tm2316214-8_4seq1.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,224

Underlying: Common Stock · 611 shares

Expires not disclosed

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 137,685 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F3 · derivative.expiration_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 137,685 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-23-062742 · tm2316214-8_4seq1.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 965

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-23-047876 · tm2311973-2_4seq1.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 177

Underlying: Common Stock · 177 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "September 2021 Reverse Stock Split"). Upon effectiveness of the September 2021 Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 120,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 120,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

SEC source: 0001104659-23-047876 · tm2311973-2_4seq1.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 354

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "September 2021 Reverse Stock Split"). Upon effectiveness of the September 2021 Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-22-130630 · tm2233639-5_4seq1.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,223 shares

Expires 2031-04-05

F2 · derivative.exercise_date: The option will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

F1 · balance_after: The option was cancelled by mutual agreement of the reporting person and Jaguar Health, Inc. The reporting person received $300 as consideration for the cancellation.

SEC source: 0001104659-22-043243 · tm2211739-5_4seq1.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,666

Underlying: Common Stock · 13,333 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 120,000 shares, but were adjusted to reflect the Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 120,000 shares, but were adjusted to reflect the Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

SEC source: 0001104659-22-043243 · tm2211739-5_4seq1.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,333

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-22-040393 · tm2210715-9_4seq1.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,685

Underlying: Common Stock · 137,685 shares

Expires not disclosed

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F3 · date: The restricted stock unit grants were approved by the issuer's board of directors on March 28, 2022.

F4 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F4 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-21-047560 · a4.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires not disclosed

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on April 5, 2021.

F5 · derivative.exercise_date: The restricted stock units vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date. Vested shares will be delivered to the reporting person on the vesting date or dates provided in the grant notice.

F5 · derivative.expiration_date: The restricted stock units vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date. Vested shares will be delivered to the reporting person on the vesting date or dates provided in the grant notice.

SEC source: 0001104659-21-047560 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Chief of Sustainable Supply

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2031-04-05

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on April 5, 2021.

F3 · derivative.exercise_date: The option will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0001104659-20-037936 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,431

Underlying: Common Stock · 79,431 shares

Expires 2030-03-20

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on March 20, 2020.

F3 · derivative.exercise_date: The option will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0001104659-19-042085 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 347,351

Underlying: Common Stock · 347,351 shares

Expires 2022-07-24

F1 · security: Granted pursuant to the issuer's 2014 Equity Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on July 19, 2019, subject to James J. Bochnowski, the chairman of the board of directors, and Karen S. Wright, the Chief Financial Officer of the issuer, determining the exact number of option shares to be granted per option based on the issuer's fully diluted shares outstanding following the issuer's underwritten public offering that closed on July 23, 2019. Mr. Bochnowski and Ms. Wright certified the exact number of option shares to be granted on July 24, 2019, such that the effective date of the option grant was July 24, 2019.

F3 · derivative.exercise_date: Vests in equal monthly installments beginning on July 24, 2019, with five months of options, or 48,243 options, vested as of the grant date based on the reporting person's number of years of employment with the issuer, such that the grant is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038711 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,311

Underlying: Common Stock · 149,311 shares

Expires 2028-04-12

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on April 12, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 1, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-017524 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,327,881

Underlying: Common Stock · 1,327,881 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F3 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-17-075720 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,269

Underlying: Common Stock · 95,269 shares

Expires 2027-12-21

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in full on March 31, 2018 if reporting person is an employee as of such date.

SEC source: 0001104659-16-163178 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,496

Underlying: Common Stock · 4,496 shares

Expires 2026-12-19

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in equal monthly installments, beginning on January 19, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-16-146472 · a4.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · Executive VP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,042

Underlying: Common Stock · 23,042 shares

Expires 2026-09-22

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in equal monthly installments, beginning on October 22, 2016, such that it is vested in full on the 3-year anniversary of the grant date.