CZIRR JAMES C

SEC source: 0001493152-19-004630 · ownership.xml · derivative · entry 8

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 · 100,000 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 7

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 · 166,667 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 6

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 · 300,000 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 5

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 · 600,000 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 · nonDerivative · entry 4

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: 6,509,301

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.

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 · nonDerivative · entry 3

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: 5,612,304

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.

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 · 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: 4,859,166

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.

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 · 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: 4,719,955

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.

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: 0001493152-19-004632 · ownership.xml · nonDerivative · entry 3

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: 2,719,955

F3 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · 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.

F3 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F5 · 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: 0001493152-19-004665 · ownership.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 891,630

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 3/31/2018 and 9/30/2018. 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 3/31/2018 and 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

SEC source: 0001493152-19-004632 · 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: 2,681,811

F2 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · 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.

F2 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F5 · 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: 0001493152-18-009008 · form4.xml · nonDerivative · entry 4

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,649,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-009008 · form4.xml · nonDerivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,709,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-009008 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,725,261

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-009008 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,769,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-008737 · form4.xml · nonDerivative · entry 4

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,801,646

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-008737 · form4.xml · nonDerivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,829,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-008737 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,889,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-008737 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,949,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-008549 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,009,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-18-008549 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,069,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-18-008738 · form4a.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,009,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-008738 · form4a.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,069,786

F1 · shares: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F1 · price: Common shares should pursuant to a trading plan pursuant to Rule 10b5-1. Price represents the gross sales price less commissions and brokerage fees.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-008237 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 3,119,786

F1 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

F1 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-008237 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 3,161,693

F1 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

F1 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-19-004632 · 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: 3,170,205

F1 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · 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 $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F5 · 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: 0001493152-19-004665 · ownership.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 890,630

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 3/31/2018 and 9/30/2018. 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 3/31/2018 and 9/30/2018. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

SEC source: 0001493152-18-001224 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnore

Disclosed balance after: 3,120,984

F1 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

F1 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-001224 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnore

Disclosed balance after: 3,160,284

F1 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

F1 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-18-001602 · form5.xml · nonDerivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 5

Disclosed balance after: 3,365,428

F3 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 12/31/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · 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.

F3 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 12/31/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F5 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001179022-17-000078 · edgar.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,875

Underlying: Common stock · 46,875 shares

Expires 2027-12-14

F1 · derivative.exercise_date: The options vest 100% on December 14, 2018.

SEC source: 0001493152-18-001602 · form5.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 5

Disclosed balance after: 3,254,279

F2 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · 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.

F2 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F5 · 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. 10X Capital Management, LLC disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001493152-18-001602 · form5.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 889,630

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 dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · 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 dividend was payable on 9/30/17. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

SEC source: 0001493152-17-010380 · form4.xml · nonDerivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,135,150

F3 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F3 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 6/30/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010380 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,039,945

F2 · kind: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F2 · price: Common stock received in satisfaction of $230,160 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F4 · ownership.nature: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010380 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 888,630

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 dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

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 dividend was payable on 3/31/2017. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

SEC source: 0001493152-17-001002 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,452,303

F1 · kind: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F1 · price: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010376 · form-4a.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 2,923,794

F1 · kind: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F1 · price: Common stock received in satisfaction of $213,994.83 of dividends due on Series B-1, B-2 and B-3 Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend.

F2 · balance_after: This Form 4/A amends a Form 4 originally filed 2/1/2017, which reported the receipt of 211,876 shares as a stock dividend, and is being filed to correct the number of shares owned after receipt of the dividend, which changed as the result of an amendment filed to correct erroneous information in a prior Form 4.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-000294 · form4.xml · derivative · entry 4

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 7

Underlying: Common Stock · 84,000 shares

Expires 2023-12-23

F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor.

F4 · price: On September 22, 2016, the company and 10X Fund, LP entered into a Lock-Up Agreement, under which the Company agreed to issue 10X Fund, L.P. Lock-Up Warrants to purchase 500,000 shares of common stock, plus additional Lock-Up Warrants to purchase 0.08333 shares of common stock for every $1 invested by 10X Fund, LP in the Company's Series B-3 Convertible Preferred Stock offering, up to a maximum of 500,000 warrants.

F5 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-000294 · form4.xml · derivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 6

Underlying: Common Stock · 168,033 shares

Expires 2023-12-23

F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor.

F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000.

F5 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-000294 · form4.xml · derivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3

Underlying: Common Stock · 672,747 shares

Expires 2023-12-23

F3 · derivative.exercise_price: The exercise price of the Series B-3 Warrant and the Lock-Up Warrant is subject to downward adjustment based upon the subsequent agreement between the company and a lead investor.

F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000.

F5 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-000294 · form4.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 2,508,000

Underlying: Common Stock · 896,997 shares

Expires not disclosed

F2 · price: On December 23, 2016, 10X Fund, L.P. purchased (a) 1,008,000 shares of Series B-3 Convertible Preferred Stock, (b) one Series B-3 Warrant to purchase 672,747 shares of common stock at 3.00 per share, and (c) one Lock-Up Warrant to purchase 168,033 shares of common stock at $3.00 per share, for total consideration of $1,008,000.

F1 · derivative.exercise_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F1 · derivative.expiration_date: Each share of Series B-3 Convertible Preferred Stock is convertible immediately into shares of Issuer's common stock at a conversion price equal to the market price of the common stock on the date of issuance of the Series B-3 Convertible Preferred Stock, plus $0.9375 per share.

F5 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001179022-16-000129 · edgar.xml · derivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common stock · 31,250 shares

Expires 2026-12-15

F1 · derivative.exercise_date: The options vest 100% on the date of Galectin Therapeutics, Inc.'s 2017 Annual Stockholders Meeting.

SEC source: 0001493152-16-015113 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,169,356

F1 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-015113 · form4.xml · nonDerivative · entry 1

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,186,452

F1 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP.

F2 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · nonDerivative · entry 3

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,196,115

F2 · kind: Distributed as an in-kind distribution to a withdrawing limited partner in 10X Fund, LP., which was effective as of 9/30/16.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-16-014230 · form4.xml · nonDerivative · entry 4

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 887,630

F9 · kind: Received as a dividend on shares of Series A Convertible Preferred Stock.

SEC source: 0001493152-16-014230 · form4.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,425,498

F1 · kind: Received as a dividend on shares of Series B-1 and B-2 Convertible Preferred Stock owned by 10X Fund, L.P.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-000290 · form4a.xml · nonDerivative · entry 2

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 3,469,810

F2 · kind: Common stock received in satisfaction of $180,000 of dividends due on Series B Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. This Form 4/A amends the original filing to correct the price per share at which the dividend was paid in common stock.

F2 · price: Common stock received in satisfaction of $180,000 of dividends due on Series B Convertible Preferred Stock owned by 10X Fund, L.P. pursuant to issuer's option to pay dividends in cash or common stock, at its sole discretion. The price is the amount of the dividend divided by the number shares issued in satisfaction of the dividend. This Form 4/A amends the original filing to correct the price per share at which the dividend was paid in common stock.

F3 · balance_after: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.

SEC source: 0001493152-17-010371 · form-4a.xml · nonDerivative · entry 4

CZIRR JAMES C · CIK 0001260641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By 10X Fund, LP

Disclosed balance after: 2,711,918

F1 · kind: Distributed as an in-kind distribution to four withdrawing limited partners in 10X Fund, LP., which was effective as of 9/30/16. Transaction price is the closing market price on 9/30/16, although the actual transfer of the shares occurred later.

F2 · shares: This Form 4/A amends a Form 4 originally filed 10/24/16, which reported the distribution of 229,383 shares to a withdrawing limited partner on 9/30/16, to correct the amounts of the distribution. The share distributions reported herein also include the share distributions reported in a Form 4 filed 11/15/16, which erroneously reported the distribution of 9,663 and 17,096 shares to a withdrawing limited partner on 11/10/16.

F3 · ownership.direct: The transaction was consummated by 10X Fund, L.P., a Delaware limited partnership, and not by the Reporting Person. The Reporting Person is a managing member of 10X Capital Management, LLC, a Florida limited liability company acting as the general partner of 10X Fund, L.P., and as such, may be deemed to have indirect beneficial ownership of all or a portion of the securities owned directly by 10X Fund, L.P. Mr. Czirr disclaims beneficial ownership of the reported securities except to the extent of his after fund payout pecuniary interest therein.