Kennedy Thomas Ronan

SEC source: 0001437749-25-036688 · rdgdoc.xml · nonDerivative · entry 1

Kennedy Thomas Ronan · CIK 0001826452 · Director · CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 513,722

F1 · security: The shares of restricted stock were granted pursuant to the Issuer's 2025 Equity Compensation Plan. The vesting and issuance of the shares is subject to shareholder approval.

F1 · price: The shares of restricted stock were granted pursuant to the Issuer's 2025 Equity Compensation Plan. The vesting and issuance of the shares is subject to shareholder approval.

F2 · balance_after: The amount beneficially owned will not reconcile to the prior Form 4 due to a scriveners error.

SEC source: 0001437749-25-015501 · rdgdoc.xml · derivative · entry 2

Kennedy Thomas Ronan · CIK 0001826452 · Director · CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 67,869 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The 8% Series A Cumulative Convertible Preferred Stock (the "Preferred Stock") automatically converted into shares of common stock without any action on the part of the Reporting Person. The automatic conversion converts each share of the Preferred Stock into thirteen shares of the Company's common stock on May 6, 2025 at 4:01 p.m. Eastern Time.

F2 · derivative.exercise_price: The price gives effect to the one-for-8 reverse stock split of the Company's issued and outstanding shares of common stock, effective May 6, 2025 at 4:02 p.m. Eastern Time.

F3 · price: Open market purchases.

F1 · derivative.exercise_date: The 8% Series A Cumulative Convertible Preferred Stock (the "Preferred Stock") automatically converted into shares of common stock without any action on the part of the Reporting Person. The automatic conversion converts each share of the Preferred Stock into thirteen shares of the Company's common stock on May 6, 2025 at 4:01 p.m. Eastern Time.

F1 · derivative.expiration_date: The 8% Series A Cumulative Convertible Preferred Stock (the "Preferred Stock") automatically converted into shares of common stock without any action on the part of the Reporting Person. The automatic conversion converts each share of the Preferred Stock into thirteen shares of the Company's common stock on May 6, 2025 at 4:01 p.m. Eastern Time.

SEC source: 0001437749-25-015501 · rdgdoc.xml · nonDerivative · entry 1

Kennedy Thomas Ronan · CIK 0001826452 · Director · CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,501

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

F1 · price: The 8% Series A Cumulative Convertible Preferred Stock (the "Preferred Stock") automatically converted into shares of common stock without any action on the part of the Reporting Person. The automatic conversion converts each share of the Preferred Stock into thirteen shares of the Company's common stock on May 6, 2025 at 4:01 p.m. Eastern Time.

F2 · price: The price gives effect to the one-for-8 reverse stock split of the Company's issued and outstanding shares of common stock, effective May 6, 2025 at 4:02 p.m. Eastern Time.

SEC source: 0001437749-24-030227 · rdgdoc.xml · derivative · entry 1

Kennedy Thomas Ronan · CIK 0001826452 · CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Indirect · By CRED Trust

Disclosed balance after: 41,765

Underlying: Common Stock · 4 shares

Expires not disclosed

F1 · derivative.exercise_date: The Preferred Stock has no maturity and remains outstanding unless a holder chooses to convert it into common stock, the Issuer elects to automatically convert it into shares of its common stock upon a "Market Trigger", as defined in the Issuer's Certificate of Designations, Rights and Preferences of the Preferred Stock filed on October 11, 2019 (the "Designation"), the Issuer elects to redeem it, or a Change of Control, occurs resulting in a mandatory redemption. The Issuer may elect to convert the Preferred Stock into shares of common stock if the closing price of the common stock has exceeded $371.25 for at least 20 out of 30 consecutive trading days ending within 5 trading days prior to the notice of automatic conversion. The Issuer may redeem the Preferred Stock at $10 per share, plus all accrued and unpaid dividends. Upon the occurrence of a Change of Control the Issuer will redeem all of the shares of Preferred Stock at $11 per share, plus any accrued but unpaid dividends.

F1 · derivative.expiration_date: The Preferred Stock has no maturity and remains outstanding unless a holder chooses to convert it into common stock, the Issuer elects to automatically convert it into shares of its common stock upon a "Market Trigger", as defined in the Issuer's Certificate of Designations, Rights and Preferences of the Preferred Stock filed on October 11, 2019 (the "Designation"), the Issuer elects to redeem it, or a Change of Control, occurs resulting in a mandatory redemption. The Issuer may elect to convert the Preferred Stock into shares of common stock if the closing price of the common stock has exceeded $371.25 for at least 20 out of 30 consecutive trading days ending within 5 trading days prior to the notice of automatic conversion. The Issuer may redeem the Preferred Stock at $10 per share, plus all accrued and unpaid dividends. Upon the occurrence of a Change of Control the Issuer will redeem all of the shares of Preferred Stock at $11 per share, plus any accrued but unpaid dividends.

F2 · ownership.nature: Represents shares of common stock held by CRED Trust for which the Reporting Person is the trustee and holds voting and dispositive control.

SEC source: 0001437749-24-030008 · rdgdoc.xml · derivative · entry 1

Kennedy Thomas Ronan · CIK 0001826452 · CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Indirect · By CRED Trust

Disclosed balance after: 40,765

Underlying: Common Stock · 143 shares

Expires not disclosed

F1 · derivative.exercise_date: The Preferred Stock has no maturity and remains outstanding unless a holder chooses to convert it into common stock, the Issuer elects to automatically convert it into shares of its common stock upon a "Market Trigger", as defined in the Issuer's Certificate of Designations, Rights and Preferences of the Preferred Stock filed on October 11, 2019 (the "Designation"), the Issuer elects to redeem it, or a Change of Control, occurs resulting in a mandatory redemption. The Issuer may elect to convert the Preferred Stock into shares of common stock if the closing price of the common stock has exceeded $371.25 for at least 20 out of 30 consecutive trading days ending within 5 trading days prior to the notice of automatic conversion. The Issuer may redeem the Preferred Stock at $10 per share, plus all accrued and unpaid dividends. Upon the occurrence of a Change of Control the Issuer will redeem all of the shares of Preferred Stock at $11 per share, plus any accrued but unpaid dividends.

F1 · derivative.expiration_date: The Preferred Stock has no maturity and remains outstanding unless a holder chooses to convert it into common stock, the Issuer elects to automatically convert it into shares of its common stock upon a "Market Trigger", as defined in the Issuer's Certificate of Designations, Rights and Preferences of the Preferred Stock filed on October 11, 2019 (the "Designation"), the Issuer elects to redeem it, or a Change of Control, occurs resulting in a mandatory redemption. The Issuer may elect to convert the Preferred Stock into shares of common stock if the closing price of the common stock has exceeded $371.25 for at least 20 out of 30 consecutive trading days ending within 5 trading days prior to the notice of automatic conversion. The Issuer may redeem the Preferred Stock at $10 per share, plus all accrued and unpaid dividends. Upon the occurrence of a Change of Control the Issuer will redeem all of the shares of Preferred Stock at $11 per share, plus any accrued but unpaid dividends.

F2 · ownership.nature: Represents shares of common stock held by CRED Trust for which the Reporting Person is the trustee and holds voting and dispositive control.

SEC source: 0001437749-23-012787 · rdgdoc.xml · nonDerivative · entry 1

Kennedy Thomas Ronan · CIK 0001826452 · Interim CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,462

F1 · shares: The Reporting Person purchased $10,500 worth of common stock under an Issuer registered public offering of its common stock.

SEC source: 0001654954-21-010812 · section16.xml · derivative · entry 4

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-10-01

F5 · security: The stock options were granted under the 2015 Equity Compensation Plan pursuant to the terms of the Executive Employment Agreement dated October 1, 2021, by and between the Issuer and the Reporting Person. The grant was exempt from Section 16(b) under the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder as it was approved in advance by the Issuer's Compensation, Corporate Governance and Nominating Committee, which is comprised of three non-employee directors. The stock options vest on October 1, 2022, subject to continued employment on the applicable vesting date.

F6 · price: Not applicable.

SEC source: 0001654954-21-010812 · section16.xml · derivative · entry 3

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,667 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.

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: The restricted stock units were granted on October 1, 2021 and vest on October 1, 2022.

F4 · derivative.expiration_date: The restricted stock units were granted on October 1, 2021 and vest on October 1, 2022.

SEC source: 0001654954-21-010812 · section16.xml · nonDerivative · entry 2

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,067

F2 · security: Represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The grant was exempt from Section 16(b) under the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder as it was approved in advance by the Issuer's Compensation, Corporate Governance and Nominating Committee, which is comprised of three non-employee directors. The restricted stock units shall vest on January 1, 2022. Shares of common stock will be delivered to the Reporting Person upon the vesting of the restricted stock units. The restricted stock units were issued under the 2015 Equity Compensation Plan pursuant to the terms of the Executive Employment Agreement dated October 1, 2021, by and between the Issuer and the Reporting Person.

SEC source: 0001654954-21-010812 · section16.xml · nonDerivative · entry 1

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,067

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

F1 · price: Represents shares of common stock to be issued upon the vesting of restricted stock units which vest on October 1, 2021.

SEC source: 0001654954-21-009413 · section16.xml · derivative · entry 2

Kennedy Thomas Ronan · CIK 0001826452 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,300

Underlying: Common Stock · 3,834 shares

Expires not disclosed

F1 · derivative.exercise_date: The Series A Cumulative Convertible Preferred Stock (the "Preferred Stock") has no stated maturity and will remain outstanding indefinitely unless a holder chooses to convert the Preferred Stock into shares of the Issuer's common stock at any time, the Issuer elects to automatically convert it into shares of its common stock upon a "Market Trigger", as defined in the Issuer's Certificate of Designations, Rights and Preferences of the 8% Series A Cumulative Convertible Preferred Stock filed on October 11, 2019 (the "Designation"), on or after October 16, 2023 the Issuer elects to redeem it, or a Change of Control, (as defined in the Designation) occurs resulting in a mandatory redemption. The Issuer may elect to automatically convert some or all of the Preferred Stock into shares of its common stock if the closing price of the common stock has exceeded $8.25 (137.5% of the Conversion Price) for at least 20 out of 30 consecutive trading days ending within five trading days prior to the notice of automatic conversion. The Preferred Stock will not be redeemable before October 16, 2023 except as described below upon the occurrence of a Change of Control. Commencing on October 16, 2023, the Issuer may redeem, at its option, the Preferred Stock, in whole or in part, at a cash redemption price of $10.00 per share, plus all accrued and unpaid dividends to, but not including, the redemption date. Upon the occurrence of a Change of Control the Issuer is required to redeem any or all of the shares of Series A Convertible Preferred Stock at a redemption price of $11.00 per share, plus any accrued but unpaid dividends to, but excluding, the redemption date.

F1 · derivative.expiration_date: The Series A Cumulative Convertible Preferred Stock (the "Preferred Stock") has no stated maturity and will remain outstanding indefinitely unless a holder chooses to convert the Preferred Stock into shares of the Issuer's common stock at any time, the Issuer elects to automatically convert it into shares of its common stock upon a "Market Trigger", as defined in the Issuer's Certificate of Designations, Rights and Preferences of the 8% Series A Cumulative Convertible Preferred Stock filed on October 11, 2019 (the "Designation"), on or after October 16, 2023 the Issuer elects to redeem it, or a Change of Control, (as defined in the Designation) occurs resulting in a mandatory redemption. The Issuer may elect to automatically convert some or all of the Preferred Stock into shares of its common stock if the closing price of the common stock has exceeded $8.25 (137.5% of the Conversion Price) for at least 20 out of 30 consecutive trading days ending within five trading days prior to the notice of automatic conversion. The Preferred Stock will not be redeemable before October 16, 2023 except as described below upon the occurrence of a Change of Control. Commencing on October 16, 2023, the Issuer may redeem, at its option, the Preferred Stock, in whole or in part, at a cash redemption price of $10.00 per share, plus all accrued and unpaid dividends to, but not including, the redemption date. Upon the occurrence of a Change of Control the Issuer is required to redeem any or all of the shares of Series A Convertible Preferred Stock at a redemption price of $11.00 per share, plus any accrued but unpaid dividends to, but excluding, the redemption date.

SEC source: 0001654954-21-009413 · section16.xml · nonDerivative · entry 1

Kennedy Thomas Ronan · CIK 0001826452 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,400

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 12

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,666

Underlying: Common stock · 41,666 shares

Expires 2028-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 11

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,667

Underlying: Common stock · 41,667 shares

Expires 2027-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 10

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,667

Underlying: Common stock · 41,667 shares

Expires 2026-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 9

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,666

Underlying: Common stock · 41,666 shares

Expires 2028-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 8

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,667

Underlying: Common stock · 41,667 shares

Expires 2027-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 7

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,667

Underlying: Common stock · 41,667 shares

Expires 2026-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 6

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,333

Underlying: Common stock · 33,333 shares

Expires 2028-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 5

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,333

Underlying: Common stock · 33,333 shares

Expires 2027-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 4

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,334

Underlying: Common stock · 33,334 shares

Expires 2026-10-01

F4 · security: Represents stock option grant (the "Option") under the Plan pursuant to the terms of the Employment Agreement vesting and exercisable through the dates set forth provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 3

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,666

Underlying: Common stock · 16,666 shares

Expires 2023-10-01

F3 · security: RSA granted under the Plan pursuant to the terms of the Employment Agreement. Each RSA represents the right to receive one share of the Issuer's common stock on October 1, 2023 provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 2

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common stock · 16,667 shares

Expires 2022-10-01

F2 · security: RSA granted under the Plan pursuant to the terms of the Employment Agreement. Each RSA represents the right to receive one share of the Issuer's common stock on October 1, 2022 provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.

SEC source: 0001654954-20-010735 · section16.xml · derivative · entry 1

Kennedy Thomas Ronan · CIK 0001826452 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common stock · 16,667 shares

Expires 2021-10-01

F1 · security: Restricted stock award ("RSA") granted under the Issuer's 2015 Equity Compensation Plan (the "Plan") pursuant to the terms of the Executive Employment Agreement dated September 15, 2020, with an effective date of October 1, 2020 (the "Employment Agreement") by and between the Issuer and the Reporting Person. Each RSA represents the right to receive one share of the Issuer's common stock on October 1, 2021 provided that the Reporting Person remains employed by the Issuer at that time, subject to acceleration as set forth in the Employment Agreement.