Climaco John M

SEC source: 0001683168-25-008564 · ownership.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,761

Underlying: Common Stock · 9,761 shares

Expires 2035-11-17

F1 · date: The option grant was approved by the compensation committee of CNS Pharmaceutical, Inc.'s board of directors on March 11, 2025 (the "Grant Date"), subject to shareholder approval of the stock option plan under which the option was granted. CNS Pharmaceutical, Inc.'s shareholders approved the plan at the company's annual meeting on November 17, 2025.

F3 · price: Issued in connection with the reporting person's employment with the Company.

F2 · derivative.exercise_date: The options set forth in the table vest as follows: 50% on the six-month anniversary of the Grant Date, 25% on the 12-month anniversary of the Grant Date, and 25% on the 18-month anniversary of the Grant Date, subject to the reporting person's continued employment on each vesting date.

SEC source: 0001437749-25-035170 · rdgdoc.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 165,169

Underlying: Common Stock · 150,000 shares

Expires 2035-11-12

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest on November 12, 2026, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001437749-24-033708 · rdgdoc.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,169

Underlying: Common Stock · 10,000 shares

Expires 2034-11-04

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest through April 2025, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001683168-24-002284 · ownership.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 559,533

Underlying: Common Stock · 83,000 shares

Expires not disclosed

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

F2 · price: Issued in connection with the reporting person's employment with the Company.

F4 · derivative.exercise_date: The restricted stock units set forth in the table vest in eight equal quarterly installments over two years.

F4 · derivative.expiration_date: The restricted stock units set forth in the table vest in eight equal quarterly installments over two years.

SEC source: 0001683168-24-002284 · ownership.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 476,533

Underlying: Common Stock · 83,000 shares

Expires 2034-04-08

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The options set forth in the table vest in 36 equal monthly installments over three years.

SEC source: 0001683168-24-000705 · ownership.xml · derivative · entry 3

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 393,533

Underlying: Common Stock · 166,666 shares

Expires 2025-10-01

F1 · price: The common stock, Series A warrants and Series B warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 1, 2024.

SEC source: 0001683168-24-000705 · ownership.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 226,867

Underlying: Common Stock · 166,666 shares

Expires 2029-02-01

F1 · price: The common stock, Series A warrants and Series B warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 1, 2024.

SEC source: 0001683168-24-000705 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 215,676

F1 · price: The common stock, Series A warrants and Series B warrants were acquired by the reporting person in a public offering conducted by the Company that was closed on February 1, 2024.

SEC source: 0001683168-23-005828 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,010

SEC source: 0001437749-23-016002 · rdgdoc.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,501

Underlying: Common Stock · 15,000 shares

Expires 2033-05-25

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest on the earlier of one year from the date of the Company's 2023 annual meeting of stockholders or on the next annual meeting of stockholders, subject to the grantee's continued service on the Company's Board of Directors on such vesting date.

SEC source: 0001683168-23-002830 · ownership.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,201

Underlying: Common Stock · 1,250 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · price: On April 28, 2022, the reporting person received 20,000 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.exercise_date: On April 28, 2022, the reporting person received 20,000 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.expiration_date: On April 28, 2022, the reporting person received 20,000 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

SEC source: 0001683168-23-002830 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,260

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: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001683168-23-002405 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,010

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.677 to $0.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001683168-23-002096 · ownership.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,451

Underlying: Common stock · 16,467 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one shares of Issuer common stock.

F3 · price: Issued in connection with the reporting person's employment with the Company.

F2 · derivative.exercise_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 50% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $6.00 (subject to pro rata adjustment for stock splits or similar events); and (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $24.00 (subject to pro rata adjustment for stock splits or similar events).

F2 · derivative.expiration_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 50% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $6.00 (subject to pro rata adjustment for stock splits or similar events); and (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $24.00 (subject to pro rata adjustment for stock splits or similar events).

SEC source: 0001437749-22-015662 · rdgdoc.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,501

Underlying: Common Stock · 15,000 shares

Expires 2032-06-20

F3 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F2 · derivative.exercise_date: The options set forth in this table vest on the earlier of one year from the date of the Company's 2022 annual meeting of stockholders or on the date of the next annual meeting of stockholders, subject the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001437749-22-015662 · rdgdoc.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,501

Underlying: Common Stock · 23,333 shares

Expires 2032-06-20

F3 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001683168-22-003053 · ownership.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,349,500

Underlying: Common Stock · 600,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one shares of Issuer common stock.

F3 · price: Issued in connection with the reporting person's employment with the Company.

F2 · derivative.exercise_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.expiration_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

SEC source: 0001683168-22-001495 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 940,298

SEC source: 0001683168-21-005823 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 905,298

SEC source: 0001437749-21-014427 · rdgdoc.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,168

Underlying: Common Stock · 10,000 shares

Expires 2031-06-07

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001683168-21-000447 · ownership.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 749,500

Underlying: Common Stock · 310,000 shares

Expires 2031-02-05

F2 · price: The stock options were issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest in four equal annual installments beginning on the first anniversary of the Transaction Date and are subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001659617-20-000152 · wf-form4_159242592252592.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-15

F2 · price: (2) Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: (1) The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors in each vesting date.

SEC source: 0000921895-19-002281 · form409271cli_08192019.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,250

Underlying: Common Stock · 2,250 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: One hundred percent (100%) of the Restricted Stock Units are scheduled to vest on the one (1) year anniversary of August 16, 2019, subject to the Reporting Person continuing to be a service provider through such date.

F2 · derivative.expiration_date: One hundred percent (100%) of the Restricted Stock Units are scheduled to vest on the one (1) year anniversary of August 16, 2019, subject to the Reporting Person continuing to be a service provider through such date.

SEC source: 0000921895-19-002143 · form40927cli_08082019.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 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 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_price: This transaction represents the settlement of Restricted Stock Units in shares of common stock on their scheduled vesting date.

F1 · shares: On June 4, 2019, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F4 · derivative.exercise_date: On August 6, 2018 the Reporting Person was granted 12,500 Restricted Stock Units (prior to the Reverse Stock Split). As to this grant, 100% of the Restricted Stock Units fully vested on August 6, 2019.

F4 · derivative.expiration_date: On August 6, 2018 the Reporting Person was granted 12,500 Restricted Stock Units (prior to the Reverse Stock Split). As to this grant, 100% of the Restricted Stock Units fully vested on August 6, 2019.

F1 · derivative.underlying_shares: On June 4, 2019, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0000921895-19-002143 · form40927cli_08082019.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,910

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

F1 · shares: On June 4, 2019, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F3 · price: This transaction represents the settlement of Restricted Stock Units in shares of common stock on their scheduled vesting date.

F1 · balance_after: On June 4, 2019, the Issuer effected a 1-for-10 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001659617-19-000103 · wf-form4_156322163353261.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 35,000 shares

Expires 2029-07-11

F2 · price: (2) The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: (1) The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001144204-19-028197 · tv522433_4.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 15,000 shares

Expires 2029-05-22

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in four quarterly installments, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0000921895-19-000806 · form409271001cli_03182019.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,600

SEC source: 0001140361-19-000996 · form4.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of October 3, 2018 (the "Merger Agreement"), by and among the issuer, Mid-Atlantic Dental Services Holdings, LLC, and Bronco Acquisition, Inc., in exchange for, on a per share basis, (i) $10.62 in cash and (ii) a contingent value right entitling the holder thereof to receive up to $0.13 per share that may become payable after 18 months in accordance with the terms of the Merger Agreement.

F1 · price: Disposed of as a result of a merger pursuant to the previously announced Agreement and Plan of Merger, dated as of October 3, 2018 (the "Merger Agreement"), by and among the issuer, Mid-Atlantic Dental Services Holdings, LLC, and Bronco Acquisition, Inc., in exchange for, on a per share basis, (i) $10.62 in cash and (ii) a contingent value right entitling the holder thereof to receive up to $0.13 per share that may become payable after 18 months in accordance with the terms of the Merger Agreement.

SEC source: 0000921895-18-002228 · form4cli09271004_08082018.xml · derivative · entry 3

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: This transaction represents the settlement of Restricted Stock Units in shares of common stock on their scheduled vesting date.

F1 · price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F4 · derivative.exercise_date: On August 8, 2017 the Reporting Person was granted 12,500 Restricted Stock Units. As to this grant, 100% of the Restricted Stock Units fully vested on August 8, 2018.

F4 · derivative.expiration_date: On August 8, 2017 the Reporting Person was granted 12,500 Restricted Stock Units. As to this grant, 100% of the Restricted Stock Units fully vested on August 8, 2018.

SEC source: 0000921895-18-002228 · form4cli09271004_08082018.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,600

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: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · price: This transaction represents the settlement of Restricted Stock Units in shares of common stock on their scheduled vesting date.

SEC source: 0000921895-18-002228 · form4cli09271004_08082018.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the Restricted Stock Units are scheduled to vest on the one (1) year anniversary of August 6, 2018, subject to the Reporting Person continuing to be a service provider through such date.

F3 · derivative.expiration_date: One hundred percent (100%) of the Restricted Stock Units are scheduled to vest on the one (1) year anniversary of August 6, 2018, subject to the Reporting Person continuing to be a service provider through such date.

SEC source: 0001562180-18-003078 · primarydocument.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

F1 · shares: Restricted stock that vests in two equal installments on June 20, 2019 and June 20, 2020

SEC source: 0001144204-18-033609 · tv496093_4.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 35,000 shares

Expires 2028-06-06

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Companya(euro)(TM)s Board of Directors on each vesting date.

SEC source: 0000921895-17-002087 · form409271cli_08102017.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: One hundred percent (100%) of the Restricted Stock Units are scheduled to vest on the one (1) year anniversary of August 8, 2017, subject to the Reporting Person continuing to be a service provider through such date.

F2 · derivative.expiration_date: One hundred percent (100%) of the Restricted Stock Units are scheduled to vest on the one (1) year anniversary of August 8, 2017, subject to the Reporting Person continuing to be a service provider through such date.

SEC source: 0001193805-17-001417 · form409271cli_08042017.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: This transaction represents the settlement of Restricted Stock Units in shares of common stock on their scheduled vesting date.

F1 · price: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: On August 2, 2016 the Reporting Person was granted 12,500 Restricted Stock Units. As to this grant, 100% of the Restricted Stock Units fully vested on August 2, 2017.

F3 · derivative.expiration_date: On August 2, 2016 the Reporting Person was granted 12,500 Restricted Stock Units. As to this grant, 100% of the Restricted Stock Units fully vested on August 2, 2017.

SEC source: 0001193805-17-001417 · form409271cli_08042017.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,100

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: Each Restricted Stock Unit represents the right to receive, at settlement, one share of common stock.

F2 · price: This transaction represents the settlement of Restricted Stock Units in shares of common stock on their scheduled vesting date.

SEC source: 0001144204-17-038495 · v471461_4.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-07-24

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in three equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001127602-17-021927 · form4.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

F1 · shares: Restricted stock that vests in two equal installments on June 20, 2018 and June 20, 2019.