Kornberg Roger D.

SEC source: 0001683168-26-000263 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,615

Underlying: Common Stock · 24,615 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

SEC source: 0001683168-26-000102 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2035-12-31

F1 · derivative.exercise_date: The Options vest 100% on the twelve-month anniversary of the grant date.

SEC source: 0001683168-24-008720 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2034-12-11

F1 · derivative.exercise_date: The Options vest 100% on the twelve-month anniversary of the grant date.

SEC source: 0001493152-24-040903 · ownership.xml · nonDerivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,109

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001683168-23-008740 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2033-12-06

F1 · derivative.exercise_date: The Options vest 100% on the twelve-month anniversary of the grant date.

SEC source: 0001493152-23-025083 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,417

Underlying: Common Stock · 24,417 shares

Expires 2033-07-18

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 18, 2024 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001683168-22-008323 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-12-07

F1 · derivative.exercise_date: The Options vest 100% on the twelve-month anniversary of the grant date.

SEC source: 0001493152-22-021147 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2032-07-25

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 25, 2023 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2023, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001683168-21-006230 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-12-07

F1 · derivative.exercise_date: The Options vest 100% on the twelve-month anniversary of the grant date.

SEC source: 0001493152-21-017328 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2031-07-16

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 16, 2022 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2022, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001683168-20-004205 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-12-04

F1 · derivative.exercise_date: The Options vest 100% on the twelve-month anniversary of the grant date.

SEC source: 0001493152-20-011730 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-06-22

F1 · derivative.exercise_date: The stock options vest as follows: 25,000 stock options will vest on the one year anniversary of the grant date and the remaining 25,000 stock options will vest in eight equal quarterly increments with the first such quarterly increment vesting on September 30, 2021.

SEC source: 0001683168-19-003917 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-12-04

F1 · derivative.exercise_date: The Options vest 100% on the twelve month anniversary of the grant date.

SEC source: 0001662252-18-000104 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-11-28

F1 · derivative.exercise_date: The Options vest in equal quarterly installments over the twelve-month period commencing on the grant date.

SEC source: 0001662252-17-000230 · form4.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-15

F1 · derivative.exercise_date: On November 15, 2017 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its Amended and Restated 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 25,000 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on November 15, 2017 of $2.18. The Option vests one-quarter of the total grant for each quarter of service over the twelve-month period commencing on the grant date.

SEC source: 0001662252-16-000303 · form4.xml · derivative · entry 2

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 21,970 shares

Expires 2026-12-20

F2 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The Reporting Owner has the right to purchase 21,970 shares of common stock of the Issuer under the Plan at an exercise price based on the closing price on December 19, 2016 of $3.50.

SEC source: 0001662252-16-000303 · form4.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,030

Underlying: Common Stock · 3,030 shares

Expires 2026-02-28

F1 · price: On December 20, 2016 the Issuer approved the issuance of a Stock Option Grant to the Reporting Owner under its 2014 Equity Incentive Plan (the "Plan"). The grant had been approved and was part of an agreement (but not issued) on the date of the Reporting Owner began service as a director of the Issuer. Under the agreement and grant, the Reporting Owner has the right to purchase 3,030 shares of common stock of the Issuer under the Plan at an exercise price based on the adjusted price of the stock on the date of his appointment to the board.