CZIRR JAMES C

SEC source: 0001493152-22-003302 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,178,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001133416-22-000033 · form4.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-01-24

F1 · security: The options were issued pursuant to the Galectin Therapeutics Inc. 2019 Omnibus Equity Incentive Plan.

F2 · derivative.exercise_date: The options vest 100% on December 31, 2022.

SEC source: 0001493152-23-043431 · ownership.xml · nonDerivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 760,616

F1 · kind: Shares transferred to child as a gift. Transaction does not constitute a sale pursuant to Rule 16a-5.

F1 · price: Shares transferred to child as a gift. Transaction does not constitute a sale pursuant to Rule 16a-5.

SEC source: 0001493152-23-043431 · ownership.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 760,616

F1 · kind: Shares transferred to child as a gift. Transaction does not constitute a sale pursuant to Rule 16a-5.

F1 · price: Shares transferred to child as a gift. Transaction does not constitute a sale pursuant to Rule 16a-5.

SEC source: 0001493152-23-043431 · ownership.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 760,616

F1 · kind: Shares transferred to child as a gift. Transaction does not constitute a sale pursuant to Rule 16a-5.

F1 · price: Shares transferred to child as a gift. Transaction does not constitute a sale pursuant to Rule 16a-5.

SEC source: 0001493152-22-001148 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,188,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-030546 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,198,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-027207 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,208,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-025776 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,218,940

F1 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-024757 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,228,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-021935 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,238,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-018420 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,248,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-016934 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,258,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-013547 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,268,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010442 · ownership.xml · nonDerivative · entry 4

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,288,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010480 · ownership.xml · nonDerivative · entry 5

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,278,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010480 · ownership.xml · nonDerivative · entry 4

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,288,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010442 · ownership.xml · nonDerivative · entry 3

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,298,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010480 · ownership.xml · nonDerivative · entry 3

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,298,940

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010442 · ownership.xml · nonDerivative · entry 2

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,306,440

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010480 · ownership.xml · nonDerivative · entry 2

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,306,440

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010442 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,311,440

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-010480 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,311,440

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-007950 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,316,440

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0000899243-21-013815 · doc4.xml · derivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2031-03-25

F1 · security: The options were issued pursuant to the Galectin Therapeutics Inc. 2019 Omnibus Equity Incentive Plan.

F3 · derivative.exercise_date: Such options vest when (i) the Company has received the interim results of its NAVIGATE clinical trial and (ii) makes a public announcement that it has received the interim results.

SEC source: 0000899243-21-013815 · doc4.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-03-25

F1 · security: The options were issued pursuant to the Galectin Therapeutics Inc. 2019 Omnibus Equity Incentive Plan.

F2 · derivative.exercise_date: Such options vest 100% on March 31, 2022.

SEC source: 0001493152-21-005375 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,326,440

F1 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-002719 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,336,440

F2 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F1 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-21-000241 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,346,440

F2 · kind: Shares sold pursuant to 10X Fund, LP's Rule 10b5-1 trading plan.

F1 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-20-019507 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director

10X Capital Management, LLC · CIK 0001457247 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,356,440

F1 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-20-000877 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,375,790

F2 · kind: Shares sold pursuant to 10X Fund, LP's Quarterly Liquidity Program.

F1 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-001120 · doc4.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-01-09

F1 · security: The options were issued pursuant to the Galectin Therapeutics Inc. 2019 Omnibus Equity Incentive Plan.

F2 · derivative.exercise_date: The options vest 100% on December 31, 2020.

SEC source: 0001493152-20-002223 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · 10% owner

CZIRR JAMES C · CIK 0001260641 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,366,440

F1 · kind: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security under applicable law.

F1 · price: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security under applicable law.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-20-002229 · ownership.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 767,616

F4 · kind: Shares transferred to ex-spouse pursuant to a divorce decree. Transaction does not constitute a sale pursuant to existing court rulings and SEC interpretative guidance.

F3 · price: Amount beneficially owned is different from prior reports by 14 shares as a result of the erroneous reporting in Form 5 for 2018 fiscal year of the receipt of 1,000 shares as a stock dividend on Series A Convertible Stock on September 30, 2018. Mr. Czirr, actually received 986 as a stock dividend.

SEC source: 0001493152-19-015454 · ownership.xml · nonDerivative · entry 2

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,385,790

F2 · kind: Shares sold pursuant to 10X Fund, LP's Quarterly Liquidity Program.

F1 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-20-002229 · ownership.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 892,616

F1 · kind: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividends were payable on 9/30/2019. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-9 and as an involuntary transaction pursuant to court decisions.

F1 · price: Common stock received in satisfaction of $6,000 of dividends due on Series A Convertible Preferred Stock owned by James C. Czirr pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividends were payable on 9/30/2019. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F3 · balance_after: Amount beneficially owned is different from prior reports by 14 shares as a result of the erroneous reporting in Form 5 for 2018 fiscal year of the receipt of 1,000 shares as a stock dividend on Series A Convertible Stock on September 30, 2018. Mr. Czirr, actually received 986 as a stock dividend.

SEC source: 0001493152-19-015454 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,402,790

F3 · price: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security pursuant to applicable law.

F1 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-011073 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,441,480

F1 · kind: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security pursuant to applicable law.

F1 · price: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security pursuant to applicable law.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-009040 · ownership.xml · nonDerivative · entry 1

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,441,786

F1 · kind: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security under applicable law.

F1 · price: Shares were distributed in an in-kind distribution to a withdrawing limited partner of 10X Fund, LP of his pro rata share of shares held by 10X Fund, LP, which did not receive any consideration for the transfer. The distribution is exempt from Section 16(b) because it does not constitute a sale of a security under applicable law.

F2 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001179022-19-000016 · edgar.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common stock · 25,000 shares

Expires 2029-01-16

F1 · derivative.exercise_date: The options vest 100% on January 16, 2020.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 18

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 896,997 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 17

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 753,138 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 16

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 139,211 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 15

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 190,000 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 14

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,333 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 13

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 111,667 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 12

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 108,333 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 11

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 108,333 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 10

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,333 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 9

10X Fund, L.P. · CIK 0001453356 · 10% owner

10X Capital Management, LLC · CIK 0001457247 · General Partner

CZIRR JAMES C · CIK 0001260641 · Managing Member of GP

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 108,333 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.

F2 · kind: Exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16a-6.

F1 · derivative.exercise_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F1 · derivative.expiration_date: Conversion of Series B-1, B-2 and B-3 Convertible Preferred Stock into Common Stock. The Series B-1, B-2 and B-3 Convertible Preferred Stock was convertible at any time at the option of the holder, and was perpetual.

F3 · ownership.direct: 10X Fund, L.P. has direct beneficial ownership of all the securities owned by 10X Fund, L.P. 10X Capital Management, LLC, a Florida limited liability company, is the general partner of 10X Fund, L.P., a Delaware limited partnership, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P., but disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. James C. Czirr is the manager of 10X Capital Management, LLC, and may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. and 10X Capital Management, LLC., but disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.