Carey Robert

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 16

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 15

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 14

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250

Underlying: Common Stock · 1,250 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 13

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 12

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50

Underlying: Common Stock · 50 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 11

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 10

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250

Underlying: Common Stock · 1,250 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 9

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 8

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250

Underlying: Common Stock · 1,250 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 7

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 6

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 5

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 4

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 3

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,000 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 2

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021252 · ownership.xml · derivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires not disclosed

F1 · kind: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F1 · price: On November 4, 2025, the Issuer's Board of Directors approved an option repricing, effective as of November 4, 2025, reducing the exercise price to $1.95 per share, the closing price of the Issuer's common stock on November 3, 2025. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-25-021253 · ownership.xml · derivative · entry 3

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 494,332

Underlying: Common Stock · 494,332 shares

Expires not disclosed

F3 · kind: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the issuance of a replacement warrant. The warrant was originally issued on September 27, 2024, became exercisable on November 22, 2024, and will expire five years from November 22, 2024.

F3 · price: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the issuance of a replacement warrant. The warrant was originally issued on September 27, 2024, became exercisable on November 22, 2024, and will expire five years from November 22, 2024.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the issuance of a replacement warrant. The warrant was originally issued on September 27, 2024, became exercisable on November 22, 2024, and will expire five years from November 22, 2024.

F3 · derivative.expiration_date: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the issuance of a replacement warrant. The warrant was originally issued on September 27, 2024, became exercisable on November 22, 2024, and will expire five years from November 22, 2024.

SEC source: 0001493152-25-021253 · ownership.xml · derivative · entry 2

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 494,332 shares

Expires not disclosed

F3 · kind: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the issuance of a replacement warrant. The warrant was originally issued on September 27, 2024, became exercisable on November 22, 2024, and will expire five years from November 22, 2024.

F3 · price: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the issuance of a replacement warrant. The warrant was originally issued on September 27, 2024, became exercisable on November 22, 2024, and will expire five years from November 22, 2024.

F3 · derivative.exercise_date: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the issuance of a replacement warrant. The warrant was originally issued on September 27, 2024, became exercisable on November 22, 2024, and will expire five years from November 22, 2024.

F3 · derivative.expiration_date: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the issuance of a replacement warrant. The warrant was originally issued on September 27, 2024, became exercisable on November 22, 2024, and will expire five years from November 22, 2024.

SEC source: 0001493152-25-021253 · ownership.xml · derivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 512,821

Underlying: Common Stock · 512,821 shares

Expires not disclosed

F1 · kind: In connection with a loan to the Issuer of $2,000,000, the Reporting Person acquired warrants to purchase up to 512,821 shares of Common Stock.

F1 · price: In connection with a loan to the Issuer of $2,000,000, the Reporting Person acquired warrants to purchase up to 512,821 shares of Common Stock.

F2 · derivative.exercise_date: The warrants will be exercisable on or after the issuance date and will expire five years following the date of issuance.

F2 · derivative.expiration_date: The warrants will be exercisable on or after the issuance date and will expire five years following the date of issuance.

SEC source: 0001415889-25-017368 · form4-06162025_040603.xml · derivative · entry 2

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-06-11

F2 · derivative.exercise_date: The option is immediately exercisable in full, but any unvested shares that are purchased under the option are subject to certain repurchase rights by the Issuer upon cessation of the Reporting Person's Continuous Service (as defined in the 2018 EIP). The shares subject to the option will vest in 12 successive equal monthly installments following the grant date, subject to the Reporting Person's Continuous Service (as defined in the 2018 EIP) through each such date and subject to acceleration as provided in the 2018 EIP.

SEC source: 0001415889-25-017368 · form4-06162025_040603.xml · nonDerivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,600

F1 · shares: Represents shares of common stock issuable upon settlement of a restricted stock unit ("RSU") grant that will fully vest on the earlier of (a) June 12, 2026 or (b) the day prior to the 2026 annual meeting of stockholders, subject to the Reporting Person's Continuous Service (as defined in the Issuer's Amended and Restated 2018 Equity Incentive Plan, as amended (the "2018 EIP")) through such date and subject to acceleration as provided in the 2018 EIP.

SEC source: 0001641172-25-001281 · ownership.xml · derivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2035-03-26

F1 · derivative.exercise_date: The option will vest as to 25% of the shares of common stock underlying the option on December 31, 2025, with the remainder vesting in equal annual installments on December 31 of each of the three ensuing years thereafter until vested in full.

SEC source: 0001493152-25-010501 · ownership.xml · nonDerivative · entry 2

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,076,864

SEC source: 0001493152-25-010501 · ownership.xml · nonDerivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,066,864

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 14

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 13

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 12

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 11

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 10

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 9

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 8

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 7

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 6

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 5

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 4

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 3

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 2

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-047880 · ownership.xml · derivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires not disclosed

F1 · kind: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F1 · price: On November 22, 2024, the Issuer's Board of Directors approved an option repricing, effective as of November 22, 2024 (the "Effective Date") reducing the exercise price to $0.54 per share, the closing price of the Issuer's common stock on the Effective Date. All of the other terms of the options remain unchanged.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

F2 · derivative.expiration_date: This stock option award was issued pursuant to the Company's Amended and Restated 2013 Equity Incentive Plan, as amended, (the "|2013 Plan") and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form-4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0001493152-24-039088 · ownership.xml · derivative · entry 6

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: BCR8V, LLC

Disclosed balance after: 9,886,633

Underlying: Common Stock · 9,886,633 shares

Expires not disclosed

F6 · kind: Pursuant to a binding term sheet dated as of September 27, 2024, and in connection with a loan to the Issuer of $7,500,000, the Reporting Person acquired warrants to purchase up to 9,886,633 shares of Common Stock.

F6 · price: Pursuant to a binding term sheet dated as of September 27, 2024, and in connection with a loan to the Issuer of $7,500,000, the Reporting Person acquired warrants to purchase up to 9,886,633 shares of Common Stock.

F7 · derivative.exercise_date: The warrants issuable will be exercisable on or after the Initial Exercise Date and will expire five years following such date they are exercisable.

F7 · derivative.expiration_date: The warrants issuable will be exercisable on or after the Initial Exercise Date and will expire five years following such date they are exercisable.

SEC source: 0001493152-24-039088 · ownership.xml · derivative · entry 5

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Robert F. Carey III Trust DTD 4/25/01

Disclosed balance after: 1,880,565

Underlying: Common Stock · 1,880,565 shares

Expires not disclosed

F1 · kind: Pursuant to a Securities Purchase Agreement (the "Agreement"), dated as of September 26, 2024, by and between Beyond Air, Inc. (the "Issuer") and Steven Lisi (the "Reporting Person"), the Reporting Person acquired in a private placement transaction 1,476,626 shares of common stock, $0.0001 par value per share (the "Common Stock"), pre-funded warrants to acquire 506,321 shares of Common Stock at an exercise price of $0.0001 per share, and common warrants to acquire 1,982,947 shares of Common Stock at an exercise price of $0.3793 per share.

F5 · price: Each common share was purchased with an accompanying warrant for a purchase price of $0.5043 per share and accompanying warrant.

F4 · derivative.exercise_date: The common warrants are exercisable on or after the Initial Exercise Date and will have a term that expires five years following the Initial Exercise Date.

F4 · derivative.expiration_date: The common warrants are exercisable on or after the Initial Exercise Date and will have a term that expires five years following the Initial Exercise Date.

SEC source: 0001493152-24-039088 · ownership.xml · derivative · entry 4

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Carey 2020 Acelyrin Trust DTD 07/23/2020

Disclosed balance after: 102,382

Underlying: Common Stock · 102,382 shares

Expires not disclosed

F1 · kind: Pursuant to a Securities Purchase Agreement (the "Agreement"), dated as of September 26, 2024, by and between Beyond Air, Inc. (the "Issuer") and Steven Lisi (the "Reporting Person"), the Reporting Person acquired in a private placement transaction 1,476,626 shares of common stock, $0.0001 par value per share (the "Common Stock"), pre-funded warrants to acquire 506,321 shares of Common Stock at an exercise price of $0.0001 per share, and common warrants to acquire 1,982,947 shares of Common Stock at an exercise price of $0.3793 per share.

F5 · price: Each common share was purchased with an accompanying warrant for a purchase price of $0.5043 per share and accompanying warrant.

F4 · derivative.exercise_date: The common warrants are exercisable on or after the Initial Exercise Date and will have a term that expires five years following the Initial Exercise Date.

F4 · derivative.expiration_date: The common warrants are exercisable on or after the Initial Exercise Date and will have a term that expires five years following the Initial Exercise Date.

SEC source: 0001493152-24-039088 · ownership.xml · derivative · entry 3

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Robert F. Carey III Trust DTD 4/25/01

Disclosed balance after: 480,179

Underlying: Common Stock · 480,179 shares

Expires not disclosed

F1 · kind: Pursuant to a Securities Purchase Agreement (the "Agreement"), dated as of September 26, 2024, by and between Beyond Air, Inc. (the "Issuer") and Steven Lisi (the "Reporting Person"), the Reporting Person acquired in a private placement transaction 1,476,626 shares of common stock, $0.0001 par value per share (the "Common Stock"), pre-funded warrants to acquire 506,321 shares of Common Stock at an exercise price of $0.0001 per share, and common warrants to acquire 1,982,947 shares of Common Stock at an exercise price of $0.3793 per share.

F3 · price: Each pre-funded warrant was purchased with an accompanying warrant for a purchase price of $0.5042 per pre-funded warrant and accompanying warrant.

F2 · derivative.exercise_date: The pre-funded warrants will be exercisable on or after the date on which the Company obtains stockholder approval (the "Initial Exercise Date"), as further described in the Agreement and in the Issuer's Current Report on Form 8-K filed with the SEC on September 27, 2024, and shall expire when exercised in full.

F2 · derivative.expiration_date: The pre-funded warrants will be exercisable on or after the date on which the Company obtains stockholder approval (the "Initial Exercise Date"), as further described in the Agreement and in the Issuer's Current Report on Form 8-K filed with the SEC on September 27, 2024, and shall expire when exercised in full.

SEC source: 0001493152-24-039088 · ownership.xml · derivative · entry 2

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Carey 2020 Acelyrin Trust DTD 07/23/2020

Disclosed balance after: 26,142

Underlying: Common Stock · 26,142 shares

Expires not disclosed

F1 · kind: Pursuant to a Securities Purchase Agreement (the "Agreement"), dated as of September 26, 2024, by and between Beyond Air, Inc. (the "Issuer") and Steven Lisi (the "Reporting Person"), the Reporting Person acquired in a private placement transaction 1,476,626 shares of common stock, $0.0001 par value per share (the "Common Stock"), pre-funded warrants to acquire 506,321 shares of Common Stock at an exercise price of $0.0001 per share, and common warrants to acquire 1,982,947 shares of Common Stock at an exercise price of $0.3793 per share.

F3 · price: Each pre-funded warrant was purchased with an accompanying warrant for a purchase price of $0.5042 per pre-funded warrant and accompanying warrant.

F2 · derivative.exercise_date: The pre-funded warrants will be exercisable on or after the date on which the Company obtains stockholder approval (the "Initial Exercise Date"), as further described in the Agreement and in the Issuer's Current Report on Form 8-K filed with the SEC on September 27, 2024, and shall expire when exercised in full.

F2 · derivative.expiration_date: The pre-funded warrants will be exercisable on or after the date on which the Company obtains stockholder approval (the "Initial Exercise Date"), as further described in the Agreement and in the Issuer's Current Report on Form 8-K filed with the SEC on September 27, 2024, and shall expire when exercised in full.

SEC source: 0001493152-24-039088 · ownership.xml · nonDerivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · The Carey 2020 Acelyrin Trust DTD 07/23/2020

Disclosed balance after: 1,476,626

F1 · kind: Pursuant to a Securities Purchase Agreement (the "Agreement"), dated as of September 26, 2024, by and between Beyond Air, Inc. (the "Issuer") and Steven Lisi (the "Reporting Person"), the Reporting Person acquired in a private placement transaction 1,476,626 shares of common stock, $0.0001 par value per share (the "Common Stock"), pre-funded warrants to acquire 506,321 shares of Common Stock at an exercise price of $0.0001 per share, and common warrants to acquire 1,982,947 shares of Common Stock at an exercise price of $0.3793 per share.

SEC source: 0001493152-24-032673 · ownership.xml · nonDerivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,076,864

SEC source: 0001415889-24-015753 · form4-06062024_080627.xml · derivative · entry 2

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-06-03

F2 · derivative.exercise_date: The option is immediately exercisable in full, but any unvested shares that are purchased under the option are subject to certain repurchase rights by the Issuer upon cessation of the Reporting Person's Continuous Service (as defined in the 2018 EIP). The shares subject to the option will vest in 12 successive equal monthly installments following the grant date, subject to the Reporting Person's Continuous Service (as defined in the 2018 EIP) through each such date and subject to acceleration as provided in the 2018 EIP.

SEC source: 0001415889-24-015753 · form4-06062024_080627.xml · nonDerivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,600

F1 · shares: Represents shares of common stock issuable upon settlement of a restricted stock unit ("RSU") grant that will fully vest on the earlier of (a) June 4, 2025 or (b) the day prior to the 2025 annual meeting of stockholders, subject to the Reporting Person's Continuous Service (as defined in the Issuer's Amended and Restated 2018 Equity Incentive Plan, as amended (the "2018 EIP")) through such date and subject to acceleration as provided in the 2018 EIP.

SEC source: 0001493152-24-010867 · ownership.xml · derivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2034-03-20

F1 · derivative.exercise_date: The option will vest as to 25% of the shares of common stock underlying the option on December 31, 2024, with the remainder vesting in equal annual installments on December 31 of each of the three ensuing years thereafter until vested in full.

SEC source: 0001493152-24-010734 · ownership.xml · derivative · entry 2

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 602,410

Underlying: Common Stock · 602,410 shares

Expires 2027-03-22

F2 · shares: Represents the warrants of Beyond Air, Inc. acquired by the reporting person in a registered direct offering on March 20, 2024. The warrants will be exercisable immediately upon issuance, at an exercise price of $2.25 per share and will have a term of three years following the date of issuance.

SEC source: 0001493152-24-010734 · ownership.xml · nonDerivative · entry 1

Carey Robert · CIK 0001602064 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,976,864

F1 · shares: Represents the common stock of Beyond Air, Inc. acquired by the reporting person in a registered direct offering on March 20, 2024, at a price of $1.66 per share.