BORKOWSKI EDWARD

SEC source: 0001104659-26-002202 · tm261873-4_4seq1.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,248

F1 · shares: On January 1, 2026, the Reporting Person was granted 40,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vested immediately upon issuance on January 1, 2026.

SEC source: 0001104659-24-001436 · tm242126-3_4seq1.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,248

F1 · shares: On January 2, 2024, the Reporting Person was granted 19,633 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-001227 · tm231522-4_4seq1.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,156

F1 · shares: On January 3, 2023, the Reporting Person was granted 84,745 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001140361-22-000301 · form4.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,482

Underlying: Common stock, par value $0.0001 per share · 34,482 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The stock option vests in equal quarterly installments on each of March 31, 2022, June 30, 2022, September 30, 2022, and December 31, 2022.

SEC source: 0001387131-21-007119 · ownership.xml · derivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,667

Underlying: Common Stock · 186,667 shares

Expires not disclosed

F2 · derivative.exercise_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning July 1, 2022, becoming fully vested on July 1, 2024.

F2 · derivative.expiration_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning July 1, 2022, becoming fully vested on July 1, 2024.

SEC source: 0001387131-21-007119 · ownership.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,333

Underlying: Common Stock · 373,333 shares

Expires not disclosed

F1 · shares: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. In accordance with the terms of the issuer's 2019 Stock Incentive Plan, no PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · derivative.exercise_date: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. In accordance with the terms of the issuer's 2019 Stock Incentive Plan, no PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · derivative.expiration_date: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. In accordance with the terms of the issuer's 2019 Stock Incentive Plan, no PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · derivative.underlying_shares: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. In accordance with the terms of the issuer's 2019 Stock Incentive Plan, no PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · balance_after: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. In accordance with the terms of the issuer's 2019 Stock Incentive Plan, no PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

SEC source: 0001387131-21-005568 · ownership.xml · nonDerivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,248

F2 · kind: The reported securities represent shares of issuer common stock sold upon settlement to satisfy tax obligations.

SEC source: 0001387131-21-005568 · ownership.xml · derivative · entry 3

BORKOWSKI EDWARD · CIK 0001197542 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,000

Underlying: Common Stock · 103,500 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 · shares: On May 10, 2021, the reporting person received 103,500 shares of issuer common stock in settlement of restricted stock units (RSUs), which vested on March 30, 2021.

F3 · shares: Each RSU represents a contingent right to receive one share of issuer common stock upon settlement.

F4 · derivative.exercise_date: The RSUs vest in three equal installments annually beginning March 30, 2021, becoming fully vested on March 30, 2023.

F4 · derivative.expiration_date: The RSUs vest in three equal installments annually beginning March 30, 2021, becoming fully vested on March 30, 2023.

F3 · balance_after: Each RSU represents a contingent right to receive one share of issuer common stock upon settlement.

SEC source: 0001387131-21-005568 · ownership.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · EVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,500

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: On May 10, 2021, the reporting person received 103,500 shares of issuer common stock in settlement of restricted stock units (RSUs), which vested on March 30, 2021.

SEC source: 0001415889-21-000247 · form4-01062021_060108.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,237

Underlying: Common stock, par value $0.0001 per share · 41,237 shares

Expires 2031-01-03

F1 · derivative.exercise_date: The options vest in equal quarterly installments on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021.

SEC source: 0001415889-20-001937 · form4-07202020_060706.xml · derivative · entry 4

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock, par value $0.0001 per share · 93,458 shares

Expires 2020-09-20

F5 · price: Mr. Borkowski surrendered to the Company $100,000 in outstanding principle amount of a 9.0% Senior Convertible Promissory Note (the "Promissory Note"), together with $5,128.77 in accrued and unpaid interest thereon, in exchange for 13.653087 shares of Series B Stock, Series B Warrants for 68,265 shares of Common Stock and Exchange Warrants to purchase 25,774 shares of Common Stock.

SEC source: 0001415889-20-001937 · form4-07202020_060706.xml · derivative · entry 3

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,774

Underlying: Common stock, par value $0.0001 per share · 25,774 shares

Expires 2025-07-16

F5 · price: Mr. Borkowski surrendered to the Company $100,000 in outstanding principle amount of a 9.0% Senior Convertible Promissory Note (the "Promissory Note"), together with $5,128.77 in accrued and unpaid interest thereon, in exchange for 13.653087 shares of Series B Stock, Series B Warrants for 68,265 shares of Common Stock and Exchange Warrants to purchase 25,774 shares of Common Stock.

F8 · price: The amount of the Exchange Warrants is equal to 25% of the shares of Common Stock into which such Promissory Note was originally convertible upon the initial issuance thereof.

F2 · derivative.exercise_date: Mr. Borkowski cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants" or the "Exchange Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval").

F6 · derivative.expiration_date: In the event that the Company has not obtained the Stockholder Approval on or prior to the Approval Deadline, Mr. Borkowski shall surrender the Series B Warrants and the Exchange Warrants to the Company for cancellation in connection with the Company's repurchase of the Series B Stock described above.

SEC source: 0001415889-20-001937 · form4-07202020_060706.xml · derivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,602

Underlying: Common stock, par value $0.0001 per share · 230,602 shares

Expires 2025-07-15

F4 · price: Mr. Borkowski purchased 32.467532 shares of Series B Stock, together with Series B Warrants to purchase 162,338 shares of Common Stock, for cash consideration of $7,700.00 per share of Series B Stock.

F5 · price: Mr. Borkowski surrendered to the Company $100,000 in outstanding principle amount of a 9.0% Senior Convertible Promissory Note (the "Promissory Note"), together with $5,128.77 in accrued and unpaid interest thereon, in exchange for 13.653087 shares of Series B Stock, Series B Warrants for 68,265 shares of Common Stock and Exchange Warrants to purchase 25,774 shares of Common Stock.

F7 · price: The amount of the Series B Warrants is equal to 50% of the shares of Common Stock into which the Series B Stock is initially convertible.

F2 · derivative.exercise_date: Mr. Borkowski cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants" or the "Exchange Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval").

F6 · derivative.expiration_date: In the event that the Company has not obtained the Stockholder Approval on or prior to the Approval Deadline, Mr. Borkowski shall surrender the Series B Warrants and the Exchange Warrants to the Company for cancellation in connection with the Company's repurchase of the Series B Stock described above.

SEC source: 0001415889-20-001937 · form4-07202020_060706.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46.1206

Underlying: Common stock, par value $0.0001 per share · 461,205 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Preferred Stock, par value $0.0001 per share (the "Series B Stock"), is convertible, at Mr. Borkowski's option, into common stock, par value $0.0001 per share (the "Common Stock") of AzurRx BioPharma, Inc. (the "Company") at a conversion rate equal to the quotient of (x) its stated value, which is initially $7,700 per share, divided by (y) the conversion price, which is initially of $0.77 per share of Common Stock, subject in each case to specified adjustments for stock splits, cash or stock dividends, reorganizations, reclassifications other similar events as set forth in the Certificate of Designations of the Series B Stock (the "Certificate of Designations"). Each share of Series B Stock also carries a cumulative dividend, accruing daily at a rate of 9.0% per year, payable each June 30 and December 30 arrears, in cash or shares of Series B Stock at the sole option of the Company, as specified in the Certificate of Designations.

F4 · price: Mr. Borkowski purchased 32.467532 shares of Series B Stock, together with Series B Warrants to purchase 162,338 shares of Common Stock, for cash consideration of $7,700.00 per share of Series B Stock.

F5 · price: Mr. Borkowski surrendered to the Company $100,000 in outstanding principle amount of a 9.0% Senior Convertible Promissory Note (the "Promissory Note"), together with $5,128.77 in accrued and unpaid interest thereon, in exchange for 13.653087 shares of Series B Stock, Series B Warrants for 68,265 shares of Common Stock and Exchange Warrants to purchase 25,774 shares of Common Stock.

F2 · derivative.exercise_date: Mr. Borkowski cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants" or the "Exchange Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval").

F3 · derivative.expiration_date: The Series B Stock has no expiration date. However, if the Company has not obtained the Stockholder Approval on or prior to the 90th day following the issuance date of the Series B Stock (the "Approval Deadline"), the Company is required to repurchase the Series B Stock from Mr. Borkowski at a price equal to 150% of its stated value, as adjusted pursuant to the Certificate of Designations, plus accrued and unpaid dividends thereon to the repurchase date.

SEC source: 0001415889-20-001398 · form4-06012020_020653.xml · derivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 93,458 shares

Expires 2020-09-20

F1 · security: On June 1, 2020, AzurRx Biopharma, Inc. (the "Company") and Edward Borkowski amended the Senior Convertible Promissory Note (the "Note") previously issued on December 20, 2019 to increase the conversion price from $0.97 per share to $1.07 per share.

F3 · derivative.underlying_shares: Represents the number of shares of Common Stock issuable upon conversion of the principal amount of the Note at the amended conversion price of $1.07 per share.

SEC source: 0001415889-20-001398 · form4-06012020_020653.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,093 shares

Expires 2020-09-20

F1 · security: On June 1, 2020, AzurRx Biopharma, Inc. (the "Company") and Edward Borkowski amended the Senior Convertible Promissory Note (the "Note") previously issued on December 20, 2019 to increase the conversion price from $0.97 per share to $1.07 per share.

F2 · derivative.underlying_shares: Represents the number of shares of the Company's common stock, par value $0.001 per share ("Common Stock") issuable upon conversion of the principal amount of the Note at the original conversion price of $0.97 per share.

SEC source: 0001415889-20-000963 · form4-04072020_040422.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-04-06

F2 · price: Options issued in connection with the Reporting Person's service on the Issuer's Board of Directors.

F1 · derivative.exercise_date: 25% of the options vest immediately, with the remainder vesting in equal installments on each of June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001415889-20-000737 · form4-03132020_040301.xml · nonDerivative · entry 4

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,773

F7 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors during 2016.

F8 · price: Based on the stock price at April 21, 2017, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000737 · form4-03132020_040301.xml · nonDerivative · entry 3

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,443

F5 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2016.

F6 · price: Based on the stock price at December 31, 2016, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000737 · form4-03132020_040301.xml · nonDerivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 402,124

F3 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019.

F4 · price: Based on the stock price at December 31, 2019, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000737 · form4-03132020_040301.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 393,710

F1 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019.

F2 · price: Based on the stock price at September 30, 2019, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000048 · form4-01032020_060126.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,126

F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019.

SEC source: 0001415889-20-000048 · form4-01032020_060126.xml · derivative · entry 4

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,094

Underlying: Common Stock · 51,547 shares

Expires 2024-12-20

F4 · price: As additional consideration of the NPA, each holder also received Warrants to purchase that number of shares of the Company's Common Stock equal to one-half of the Conversion Shares issuable upon conversion of the Notes (the "Warrant Shares").

F4 · derivative.underlying_shares: As additional consideration of the NPA, each holder also received Warrants to purchase that number of shares of the Company's Common Stock equal to one-half of the Conversion Shares issuable upon conversion of the Notes (the "Warrant Shares").

SEC source: 0001415889-20-000048 · form4-01032020_060126.xml · derivative · entry 3

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 103,093 shares

Expires 2020-09-20

F2 · price: Pursuant to a Note Purchase Agreement ("NPA") entered into on December 20, 2019 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Notes") accrues interest at a rate of 9% per annum, and is convertible, at the option of the holder into shares of the Company's Common Stock at a price of $0.97 per share.

F2 · derivative.exercise_date: Pursuant to a Note Purchase Agreement ("NPA") entered into on December 20, 2019 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Notes") accrues interest at a rate of 9% per annum, and is convertible, at the option of the holder into shares of the Company's Common Stock at a price of $0.97 per share.

F3 · derivative.underlying_shares: Represents the number of shares of Common Stock issuable upon conversion of the principal amount of the Note at the initial conversion price of the 9% Senior Convertible Note.

SEC source: 0001415889-19-001124 · form4-10012019_111046.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,626

F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019.

SEC source: 0001415889-19-000820 · form4-07022019_030745.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 364,126

F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors.

SEC source: 0001415889-19-000743 · form4-06172019_060630.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 386,626

F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors.

SEC source: 0001415889-19-000786 · form4a-06212019_050608.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2024-06-13

F1 · derivative.exercise_date: Options will vest in quarterly installments over a one-year period beginning on June 30, 2019.

SEC source: 0001415889-19-000489 · form4-04292019_050411.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,626

F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending March 31, 2019.

SEC source: 0001376339-19-000014 · wf-form4_155113048576846.xml · nonDerivative · entry 3

BORKOWSKI EDWARD · CIK 0001197542 · EVP & Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,166

F3 · shares: Grant of restricted stock. One-half vests on first anniversary. One-half vests on second anniversary.

SEC source: 0001376339-19-000014 · wf-form4_155113048576846.xml · nonDerivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · EVP & Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,861

F2 · shares: This transaction represents the netting of shares to pay applicable withholding upon vesting of restricted stock.

SEC source: 0001376339-19-000014 · wf-form4_155113048576846.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · EVP & Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · shares: Grant of restricted stock. One-third vests on date of grant. One-third vests on first anniversary. One-third vests on second anniversary.

SEC source: 0001415889-19-000013 · form4-01022019_030151.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,126

F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2018.

SEC source: 0001415889-18-001446 · form4-10012018_051005.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,626

F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2018.

SEC source: 0001415889-18-001189 · form4-07262018_030756.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,126

F1 · price: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending June 30, 2018.

SEC source: 0001415889-18-000492 · form4-04022018_010415.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,446

F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending March 31, 2018.

SEC source: 0001140361-18-009517 · doc1.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

F1 · shares: Common Stock vests 100% after three years from grant - 02/21/2021.

SEC source: 0001415889-18-000068 · form4-01162018_030101.xml · derivative · entry 6

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,474

Underlying: Common Stock · 37,114 shares

Expires 2021-10-13

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.

F2 · derivative.exercise_price: Under the terms of the Exercise Letter, the Company reduced the exercise price of 8,640 warrants from $5.50 per share to $2.50 per share, and agreed to amend the remaining 28,474 warrants to reduce the exercise price to $3.25 per share.

F2 · shares: Under the terms of the Exercise Letter, the Company reduced the exercise price of 8,640 warrants from $5.50 per share to $2.50 per share, and agreed to amend the remaining 28,474 warrants to reduce the exercise price to $3.25 per share.

F3 · balance_after: As noted in Note 2 above, the Issuer has agreed to amend the remaining warrants to reduce the exercise price from $5.50 per share to $3.25 per share.

SEC source: 0001415889-18-000068 · form4-01162018_030101.xml · derivative · entry 5

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,680 shares

Expires 2020-09-08

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: On January 11, 2018, the Reporting Person exercised warrants reported herein pursuant to a warrant repricing letter by and between the Reporting Person and the Issuer (the "Exercise Letter"). Under the terms of the Exercise Letter, the Issuer reduced the exercise price of these warrants from $5.58 per share to $2.50 per share.

SEC source: 0001415889-18-000068 · form4-01162018_030101.xml · derivative · entry 4

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Underlying: Common Stock · 13,680 shares

Expires 2020-04-12

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: On January 11, 2018, the Reporting Person exercised warrants reported herein pursuant to a warrant repricing letter by and between the Reporting Person and the Issuer (the "Exercise Letter"). Under the terms of the Exercise Letter, the Issuer reduced the exercise price of these warrants from $5.58 per share to $2.50 per share.

SEC source: 0001415889-18-000068 · form4-01162018_030101.xml · nonDerivative · entry 3

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 13,680

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: 0001415889-18-000068 · form4-01162018_030101.xml · nonDerivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,946

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: 0001415889-18-000068 · form4-01162018_030101.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,266

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: 0001415889-18-001188 · form4a-07262018_030737.xml · derivative · entry 6

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,474

Underlying: Common Stock · 8,640 shares

Expires 2021-10-13

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.

F4 · derivative.exercise_price: Under the terms of the Exercise Letter, the Issuer reduced the exercise price of 8,640 warrants from $5.50 per share to $2.50 per share, and agreed to amend the remaining 28,474 warrants to reduce the exercise price to $3.25 per share.

F5 · balance_after: As noted in Note 2 above, the Issuer has agreed to amend the remaining warrants to reduce the exercise price rom $5.50 to $3.25 per share.

SEC source: 0001415889-18-001188 · form4a-07262018_030737.xml · derivative · entry 5

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,680 shares

Expires 2020-09-08

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.

F3 · derivative.exercise_price: On January 11, 2018, the Reporting Person exercised warrants reported herein pursuant to a warrant repricing letter by and between the Reporting Person and Issuer (the "Exercise Letter"). Under the terms of the Exercise Letter, the Issuer reduced the exercise price of these warrants from $5.58 per share to $2.50 per share.

SEC source: 0001415889-18-001188 · form4a-07262018_030737.xml · derivative · entry 4

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,680 shares

Expires 2020-04-12

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.

F3 · derivative.exercise_price: On January 11, 2018, the Reporting Person exercised warrants reported herein pursuant to a warrant repricing letter by and between the Reporting Person and Issuer (the "Exercise Letter"). Under the terms of the Exercise Letter, the Issuer reduced the exercise price of these warrants from $5.58 per share to $2.50 per share.

F2 · shares: These shares were inadvertently reported as being held indirectly by the Reporting Person's spouse on the Reporting Person's original Form 4. However, such shares are held jointly by the Reporting Person and his spouse, and therefore have been aggregated with the Reporting Person's direct holdings. The same error was included in one Form 4 filed by the Reporting Person after his original Form 4 was filed.

SEC source: 0001415889-18-001188 · form4a-07262018_030737.xml · nonDerivative · entry 3

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,126

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · shares: These shares were inadvertently reported as being held indirectly by the Reporting Person's spouse on the Reporting Person's original Form 4. However, such shares are held jointly by the Reporting Person and his spouse, and therefore have been aggregated with the Reporting Person's direct holdings. The same error was included in one Form 4 filed by the Reporting Person after his original Form 4 was filed.

F1 · balance_after: The 7,500 shares issued to the Reporting Person on December 20, 2017 in connection with his services on the Issuer's Board of Directors were inadvertently omitted from the Reporting Person's holdings after the reported transactions on his original Form 4, and also omitted from one Form 4 filed by the Reporting Person after his original Form 4 was filed.

SEC source: 0001415889-18-001188 · form4a-07262018_030737.xml · nonDerivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,446

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 · balance_after: The 7,500 shares issued to the Reporting Person on December 20, 2017 in connection with his services on the Issuer's Board of Directors were inadvertently omitted from the Reporting Person's holdings after the reported transactions on his original Form 4, and also omitted from one Form 4 filed by the Reporting Person after his original Form 4 was filed.

SEC source: 0001415889-18-001188 · form4a-07262018_030737.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,766

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 · balance_after: The 7,500 shares issued to the Reporting Person on December 20, 2017 in connection with his services on the Issuer's Board of Directors were inadvertently omitted from the Reporting Person's holdings after the reported transactions on his original Form 4, and also omitted from one Form 4 filed by the Reporting Person after his original Form 4 was filed.

SEC source: 0001415889-18-000225 · form5-02132018_020219.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,446

F1 · price: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2017.