Sherman Michael Edward

SEC source: 0001520138-26-000020 · ownership.xml · derivative · entry 2

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 341,100

Underlying: Common Stock · 341,100 shares

Expires 2031-01-05

F2 · derivative.exercise_date: 75% of the options vested on January 5, 2026 and the remainder of the options vest in three equal installments on January 5, 2027, January 5, 2028 and January 5, 2029.

SEC source: 0001520138-26-000020 · ownership.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2031-01-05

F1 · derivative.exercise_date: The options vest in four equal installments on February 11, 2026, May 11, 2026, August 11, 2026 and the earlier of November 11, 2026 and the date of the registrant's 2026 annual shareholders' meeting.

SEC source: 0001593968-25-000042 · primary_01.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,829

Underlying: Ontrak, Inc. Common Stock · 91,829 shares

Expires 2032-01-02

F1 · kind: These securities were granted to Mr. Sherman for his services as Chairman of the Company's Board of Directors and Chairman of the Compensation Committee.

F2 · derivative.exercise_date: 25% of these options shall vest at the at the end of each quarter beginning January 1, 2025, such that all shares pursuant to the option shall be vested on December 31, 2025. Quarterly vesting of the options will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the Board.

SEC source: 0001520138-25-000022 · ownership.xml · derivative · entry 2

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,325

Underlying: Common Stock · 23,325 shares

Expires 2029-12-20

F2 · derivative.exercise_date: The options vest in three equal installments on December 20, 2024, December 20, 2025 and December 20, 2026.

F2 · balance_after: The options vest in three equal installments on December 20, 2024, December 20, 2025 and December 20, 2026.

SEC source: 0001593968-24-001437 · primary_01.xml · nonDerivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.7726 to $1.78, inclusive. The Reporting Person undertakes to provide the issuer, any security holder of the issuer, and the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001520138-25-000022 · ownership.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,900

Underlying: Common Stock · 56,900 shares

Expires 2029-11-20

F1 · derivative.exercise_date: The options vest in four equal installments on February 8, 2025, May 8, 2025, August 8, 2025 and the earlier of November 8, 2025 and the date of the issuer's 2025 annual shareholders' meeting.

SEC source: 0001593968-24-001195 · primary_01.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,166,667

Underlying: Ontrak, Inc. Common Stock · 4,166,667 shares

Expires 2029-06-30

F1 · date: This option was approved by the issuer's board of directors on June 30, 2024, subject to stockholder approval of the stock incentive plan under which the option was granted. Such stockholder approval was obtained on September 10, 2024.

F2 · derivative.exercise_date: 1/3 of the shares subject to this option will vest on the first, second and third anniversaries of the grant date, subject to the reporting person's continuous service to the issuer through the applicable vesting date.

SEC source: 0001593968-24-000060 · primary_01.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 332,333

Underlying: Ontrak, Inc. Common Stock · 332,333 shares

Expires 2031-01-02

F1 · kind: These securities were granted to Mr. Sherman for his services as Chairman of the Company's Board of Directors and Chairman of the Compensation Committee.

F2 · derivative.exercise_date: 25% of these options shall vest at the at the end of each quarter beginning January 1, 2024, such that all shares pursuant to the option shall be vested on December 31, 2024. Quarterly vesting of the options will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the Board.

SEC source: 0001520138-23-000531 · ownership.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,750

Underlying: Common Stock · 89,750 shares

Expires 2028-11-09

F1 · derivative.exercise_date: The options vest in four equal installments beginning on February 9, 2024, with the remaining installments vesting on May 9, 2024, August 9, 2024 and the earlier of November 9, 2024 or the date of the issuer's 2024 annual shareholders' meeting.

SEC source: 0001593968-23-000085 · primary_01.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,345

Underlying: Ontrak, Inc. Common Stock · 321,345 shares

Expires 2030-01-03

F1 · kind: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors, Lead Independent Director, and Chairman of the Compensation Committee and the Nominations and Governance Committee.

F2 · derivative.exercise_date: 25% of these options shall vest at the at the end of each quarter beginning January 1, 2023, such that all shares pursuant to the option shall be vested on December 31, 2023. Quarterly vesting of the options will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the Board.

SEC source: 0001520138-23-000060 · ownership.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: COMMON STOCK · 75,000 shares

Expires 2032-11-23

F1 · security: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan.

F2 · derivative.exercise_date: The options vest in four equal installments over a one-year period ending November 9, 2023.

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 10

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ontrak, Inc. Common Stock · 56,299 shares

Expires 2027-01-03

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 9

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,299

Underlying: Ontrak, Inc. Common Stock · 56,299 shares

Expires 2027-01-03

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 8

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ontrak, Inc. Common Stock · 5,010 shares

Expires 2026-02-11

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 7

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,010

Underlying: Ontrak, Inc. Common Stock · 5,010 shares

Expires 2026-02-11

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 6

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ontrak, Inc. Common Stock · 16,630 shares

Expires 2025-02-12

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 5

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,630

Underlying: Ontrak, Inc. Common Stock · 16,630 shares

Expires 2025-02-12

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 4

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ontrak, Inc. Common Stock · 37,794 shares

Expires 2022-12-19

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 3

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,794

Underlying: Ontrak, Inc. Common Stock · 37,794 shares

Expires 2027-12-19

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

F3 · derivative.expiration_date: In accordance with the Director Retention Plan, the expiration date of this Repriced Option was extended to December 19, 2027.

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 2

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ontrak, Inc. Common Stock · 61,040 shares

Expires 2022-12-19

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

SEC source: 0001437749-22-021616 · rdgdoc.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,040

Underlying: Ontrak, Inc. Common Stock · 61,040 shares

Expires 2027-12-19

F2 · price: The reporting person agreed to the repricing of all the Repriced Options.

F1 · derivative.exercise_date: At the 2022 Annual Meeting of Stockholders (the "2022 Annual Meeting") of Ontrak, Inc. (the "Company") held on August 29, 2022, the Company's stockholders approved a director retention plan (the "Director Retention Plan"). Under the terms of the Director Retention Plan, all stock options previously granted to the reporting person were repriced (collectively, the "Repriced Options"), to the extent the Repriced Options were vested as of the 2022 Annual Meeting, such portion of the Repriced Options became entirely unvested as of the 2022 Annual Meeting, and 100% of all the Repriced Options will vest on the earlier of the 2023 Annual Meeting of Stockholders of the Company or one year from the date of the 2022 Annual Meeting, subject to the reporting person's continued service on the Board of Directors of the Company. Vesting accelerates upon a change in control of the Company or the reporting person being removed from serving as a member of the board of directors by Company stockholders ot

F3 · derivative.expiration_date: In accordance with the Director Retention Plan, the expiration date of this Repriced Option was extended to December 19, 2027.

SEC source: 0001593968-23-001529 · primary_01.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 460,759

Underlying: Ontrak, Inc. Common Stock · 460,759 shares

Expires not disclosed

F1 · security: These securities were granted to Mr. Sherman for his services as a member of the Board of Directors of Ontrak, Inc. (the "Company").

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the right to receive one share of common stock upon settlement of each vested RSU, or, in the complete and sole discretion of the Company, a cash payment equal to the fair market value of one share of common stock for each vested RSU. Each vested RSU will be settled on the earlier of (i) August 29, 2025 and (ii) a change in control of the Company. On July 27, 2023, the Company effected a 1-for-6 reverse stock split (the "reverse split"). After giving effect to the reverse split, the number of shares of common stock issuable upon settlement of this RSU is 76,794 instead of 460,759.

F3 · derivative.exercise_date: The RSU's vest over three years as follows: 50% vest on the first anniversary of the grant date and 25% vest on the second and third anniversaries of the grant date, in each case, subject to Mr. Sherman's continued service on the Board of Directors of the Company.

F3 · derivative.expiration_date: The RSU's vest over three years as follows: 50% vest on the first anniversary of the grant date and 25% vest on the second and third anniversaries of the grant date, in each case, subject to Mr. Sherman's continued service on the Board of Directors of the Company.

SEC source: 0001520138-22-000161 · ownership.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,150

Underlying: Common Stock · 130,150 shares

Expires 2032-04-05

F1 · security: Options granted pursuant to the Company's 2019 Omnibus Equity Incentive Plan.

F2 · derivative.exercise_date: The options were 25% vested upon grant, with the remaining 75% vesting ratably over a three-year period on each anniversary of the grant date.

SEC source: 0001593968-22-000151 · primary_01.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,299

Underlying: Ontrak, Inc. Common Stock · 56,299 shares

Expires 2027-01-03

F1 · kind: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Compensation Committee and the Nominations and Governance Committee.

F2 · derivative.exercise_date: 25% of these options shall vest at the at the end of each quarter beginning January 1, 2022, such that all shares pursuant to the option shall be vested on December 31, 2022. Quarterly vesting of the options will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the Board.

SEC source: 0001593968-21-001131 · primary_01.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,010

Underlying: Ontrak, Inc. Common Stock · 5,010 shares

Expires 2026-02-11

F1 · kind: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Compensation Committee and the Nominations and Governance Committee.

F2 · derivative.exercise_date: 1,252 shares shall vest at the end of each quarter beginning January 1, 2021, such that all shares pursuant to the option shall be vested on December 31, 2021. Quarterly vesting of the options will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the Board.

SEC source: 0001730468-21-000002 · primary_doc.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,906

Underlying: common stock · 103,100 shares

Expires 2023-12-18

F1 · security: non-qualified options issued from company 2019 Omnibus Equity Incentive Plan, subject to continuation of service to company

F2 · derivative.exercise_date: 25% vest on grant date; remaining 75% vest over 3-year period on 1st, 2nd, 3rd anniversary of grant date

SEC source: 0001771317-20-000007 · primary_doc.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,806

Underlying: common stock · 800 shares

Expires 2025-10-13

SEC source: 0001437749-20-003595 · rdgdoc.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,630

Underlying: Common Stock · 16,630 shares

Expires 2025-02-12

F1 · kind: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Nominations and Governance Committee.

F1 · price: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Nominations and Governance Committee.

F2 · derivative.exercise_date: 4,158 shares shall vest at the end of each quarter beginning January 1, 2020, such that all shares pursuant to the option shall be vested on December 31, 2020. Quarterly vesting of the options will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the Board.

SEC source: 0001771317-20-000005 · primary_doc.xml · nonDerivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,679

F1 · balance_after: On 11/21/2019 a reverse stock split was effected; total shares indicated are post-split.

SEC source: 0001771317-20-000005 · primary_doc.xml · derivative · entry 2

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,006

Underlying: common stock · 800 shares

Expires 2024-10-13

F2 · balance_after: On 11/21/2019 a reverse stock split was effected; derivative securities are post-split calculations.

SEC source: 0001674006-19-000003 · primary_doc.xml · nonDerivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 718,181

SEC source: 0001437749-18-014476 · rdgdoc.xml · derivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,794

Underlying: Common Stock · 39,794 shares

Expires 2028-08-02

F1 · kind: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Nominations and Governance Committee.

F1 · price: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Nominations and Governance Committee.

F2 · derivative.exercise_date: These options have a three-year vesting period out of which 11,662 shares vested on August 2, 2018, the grant date, and 26,132 shares shall vest at the end of each calendar quarter for the 2018 and 2019 calendar years beginning January 1, 2018, such that all shares shall vest on December 31, 2019. Quarterly vesting of the option will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the board. All unvested options will immediately vest in the event of termination without cause.

SEC source: 0001730468-18-000002 · primary_doc.xml · derivative · entry 4

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,666,000

Underlying: common stock · 1,666,000 shares

Expires 2024-07-02

SEC source: 0001730468-18-000002 · primary_doc.xml · nonDerivative · entry 3

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,666

SEC source: 0001730468-18-000002 · primary_doc.xml · nonDerivative · entry 2

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 518,181

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 9

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,550

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 8

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,550

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 7

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,050

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 6

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,840

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 5

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,231

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 4

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,358

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 3

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,300

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 2

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

SEC source: 0001437749-18-004700 · rdgdoc.xml · nonDerivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

SEC source: 0001730468-18-000002 · primary_doc.xml · nonDerivative · entry 1

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,181

SEC source: 0001437749-18-004700 · rdgdoc.xml · derivative · entry 10

Sherman Michael Edward · CIK 0001730468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,040

Underlying: Common Stock · 61,040 shares

Expires 2022-12-19

F1 · kind: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Nominations and Governance Committee.

F1 · price: These securities were granted to Mr. Sherman for his services as a member of the Company's Board of Directors and Chairman of the Nominations and Governance Committee.

F2 · derivative.exercise_date: These options have a three-year vesting period out of which 18,771 shares vested on December 19, 2017, the grant date, and 42,269 shares shall vest at the end of each calendar quarter for the 2018 and 2019 calendar years, such that all shares shall vest on December 31, 2019. Quarterly vesting of the option will be subject to Mr. Sherman attending board meetings, unless such absence is excused by the Chairman of the board. All unvested options will immediately vest in the event of termination without cause.