Raffin Thomas A.

SEC source: 0001062993-25-012723 · form4.xml · derivative · entry 7

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2034-06-04

F5 · kind: Disposition of options pursuant to Merger Agreement.

F6 · shares: Pursuant to the Merger Agreement, as of the Closing Date, each outstanding option to purchase Issuer common stock was accelerated and each option with a per share exercise price equal to or greater than the Per Share Merger Consideration was automatically terminated and cancelled for no consideration.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, as of the Closing Date, each outstanding option to purchase Issuer common stock was accelerated and each option with a per share exercise price equal to or greater than the Per Share Merger Consideration was automatically terminated and cancelled for no consideration.

SEC source: 0001062993-25-012723 · form4.xml · derivative · entry 6

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,322 shares

Expires 2033-06-01

F5 · kind: Disposition of options pursuant to Merger Agreement.

F6 · shares: Pursuant to the Merger Agreement, as of the Closing Date, each outstanding option to purchase Issuer common stock was accelerated and each option with a per share exercise price equal to or greater than the Per Share Merger Consideration was automatically terminated and cancelled for no consideration.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, as of the Closing Date, each outstanding option to purchase Issuer common stock was accelerated and each option with a per share exercise price equal to or greater than the Per Share Merger Consideration was automatically terminated and cancelled for no consideration.

SEC source: 0001062993-25-012723 · form4.xml · derivative · entry 5

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,549 shares

Expires 2032-06-01

F5 · kind: Disposition of options pursuant to Merger Agreement.

F6 · shares: Pursuant to the Merger Agreement, as of the Closing Date, each outstanding option to purchase Issuer common stock was accelerated and each option with a per share exercise price equal to or greater than the Per Share Merger Consideration was automatically terminated and cancelled for no consideration.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, as of the Closing Date, each outstanding option to purchase Issuer common stock was accelerated and each option with a per share exercise price equal to or greater than the Per Share Merger Consideration was automatically terminated and cancelled for no consideration.

SEC source: 0001062993-25-012723 · form4.xml · derivative · entry 4

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,860 shares

Expires 2031-05-21

F5 · kind: Disposition of options pursuant to Merger Agreement.

F6 · shares: Pursuant to the Merger Agreement, as of the Closing Date, each outstanding option to purchase Issuer common stock was accelerated and each option with a per share exercise price equal to or greater than the Per Share Merger Consideration was automatically terminated and cancelled for no consideration.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, as of the Closing Date, each outstanding option to purchase Issuer common stock was accelerated and each option with a per share exercise price equal to or greater than the Per Share Merger Consideration was automatically terminated and cancelled for no consideration.

SEC source: 0001062993-25-012723 · form4.xml · nonDerivative · entry 3

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote 4

Disclosed balance after: 0

F1 · kind: Disposition of shares pursuant to that certain Amended and Restated Agreement and Plan of Merger dated as of April 28, 2025, as amended (the "Merger Agreement"), by and among Quanterix Corporation, a Delaware corporation ("Quanterix"), Wellfleet Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Quanterix ("Merger Sub"), and Issuer. On July 8, 2025 (the "Closing Date"), Merger Sub merged with and into Issuer (the "Merger"), with Issuer surviving the Merger as a wholly owned subsidiary of Quanterix.

F2 · shares: In connection with the terms of the Merger Agreement, each share of common stock of Issuer outstanding on the Closing Date was converted into the right to receive (a) 0.1461 of a share of common stock of Quanterix (the "Per Share Stock Consideration") and (b) $0.38 in cash, without interest (the "Per Share Cash Consideration" and together with the Per Share Stock Consideration, the "Per Share Merger Consideration"). Each of the Per Share Stock Consideration and the Per Share Cash Consideration may be adjusted pursuant to the terms of the Merger Agreement.

F2 · price: In connection with the terms of the Merger Agreement, each share of common stock of Issuer outstanding on the Closing Date was converted into the right to receive (a) 0.1461 of a share of common stock of Quanterix (the "Per Share Stock Consideration") and (b) $0.38 in cash, without interest (the "Per Share Cash Consideration" and together with the Per Share Stock Consideration, the "Per Share Merger Consideration"). Each of the Per Share Stock Consideration and the Per Share Cash Consideration may be adjusted pursuant to the terms of the Merger Agreement.

F4 · ownership.nature: Shares held directly by Telegraph Hill Partners III, L.P. ("THP III"). THP IM is the general partner of THP III. THPMC is the manager of THP IM. J. Matthew Mackowski, Dr. Thomas A. Raffin and Deval Lashkari are each managers of THPMC and may be deemed to share voting and dispositive power over the securities held by THP III. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-25-012723 · form4.xml · nonDerivative · entry 2

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote 3

Disclosed balance after: 0

F1 · kind: Disposition of shares pursuant to that certain Amended and Restated Agreement and Plan of Merger dated as of April 28, 2025, as amended (the "Merger Agreement"), by and among Quanterix Corporation, a Delaware corporation ("Quanterix"), Wellfleet Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Quanterix ("Merger Sub"), and Issuer. On July 8, 2025 (the "Closing Date"), Merger Sub merged with and into Issuer (the "Merger"), with Issuer surviving the Merger as a wholly owned subsidiary of Quanterix.

F2 · shares: In connection with the terms of the Merger Agreement, each share of common stock of Issuer outstanding on the Closing Date was converted into the right to receive (a) 0.1461 of a share of common stock of Quanterix (the "Per Share Stock Consideration") and (b) $0.38 in cash, without interest (the "Per Share Cash Consideration" and together with the Per Share Stock Consideration, the "Per Share Merger Consideration"). Each of the Per Share Stock Consideration and the Per Share Cash Consideration may be adjusted pursuant to the terms of the Merger Agreement.

F2 · price: In connection with the terms of the Merger Agreement, each share of common stock of Issuer outstanding on the Closing Date was converted into the right to receive (a) 0.1461 of a share of common stock of Quanterix (the "Per Share Stock Consideration") and (b) $0.38 in cash, without interest (the "Per Share Cash Consideration" and together with the Per Share Stock Consideration, the "Per Share Merger Consideration"). Each of the Per Share Stock Consideration and the Per Share Cash Consideration may be adjusted pursuant to the terms of the Merger Agreement.

F3 · ownership.nature: Shares held directly by THP III Affiliates Fund, LLC ("THP III AFF"). Telegraph Hill Partners III Investment Management, LLC ("THP IM") is the manager of THP III AFF. Telegraph Hill Partners Management Company, LLC ("THPMC") is the manager of THP IM. J. Matthew Mackowski, Dr. Thomas A. Raffin and Deval Lashkari are each managers of THPMC and may be deemed to share voting and dispositive power over the securities held by THP III AFF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-25-012723 · form4.xml · nonDerivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Thomas A. Raffin Living Trust dated March 29, 2017

Disclosed balance after: 0

F1 · kind: Disposition of shares pursuant to that certain Amended and Restated Agreement and Plan of Merger dated as of April 28, 2025, as amended (the "Merger Agreement"), by and among Quanterix Corporation, a Delaware corporation ("Quanterix"), Wellfleet Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Quanterix ("Merger Sub"), and Issuer. On July 8, 2025 (the "Closing Date"), Merger Sub merged with and into Issuer (the "Merger"), with Issuer surviving the Merger as a wholly owned subsidiary of Quanterix.

F2 · shares: In connection with the terms of the Merger Agreement, each share of common stock of Issuer outstanding on the Closing Date was converted into the right to receive (a) 0.1461 of a share of common stock of Quanterix (the "Per Share Stock Consideration") and (b) $0.38 in cash, without interest (the "Per Share Cash Consideration" and together with the Per Share Stock Consideration, the "Per Share Merger Consideration"). Each of the Per Share Stock Consideration and the Per Share Cash Consideration may be adjusted pursuant to the terms of the Merger Agreement.

F2 · price: In connection with the terms of the Merger Agreement, each share of common stock of Issuer outstanding on the Closing Date was converted into the right to receive (a) 0.1461 of a share of common stock of Quanterix (the "Per Share Stock Consideration") and (b) $0.38 in cash, without interest (the "Per Share Cash Consideration" and together with the Per Share Stock Consideration, the "Per Share Merger Consideration"). Each of the Per Share Stock Consideration and the Per Share Cash Consideration may be adjusted pursuant to the terms of the Merger Agreement.

SEC source: 0001126234-24-000117 · wk-form4_1734143494.xml · derivative · entry 8

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,439 shares

Expires 2026-07-31

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000117 · wk-form4_1734143494.xml · derivative · entry 7

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,777 shares

Expires 2029-05-09

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000117 · wk-form4_1734143494.xml · derivative · entry 6

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,910 shares

Expires 2031-05-19

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000117 · wk-form4_1734143494.xml · derivative · entry 5

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,431 shares

Expires 2032-05-04

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000117 · wk-form4_1734143494.xml · derivative · entry 4

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,684 shares

Expires 2030-04-02

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000117 · wk-form4_1734143494.xml · derivative · entry 3

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,328 shares

Expires 2034-06-04

F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

SEC source: 0001126234-24-000117 · wk-form4_1734143494.xml · derivative · entry 2

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,345 shares

Expires 2033-05-09

F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

SEC source: 0001126234-24-000117 · wk-form4_1734143494.xml · nonDerivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share.

SEC source: 0001126234-24-000074 · wk-form4_1717790822.xml · derivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,328

Underlying: Common Stock · 3,328 shares

Expires 2034-06-04

F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.

SEC source: 0001104659-24-068750 · tm2416554-6_4seq1.xml · derivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2034-06-04

F1 · derivative.exercise_date: Subject to the reporting person's continuous service through the vesting date, the options shall vest in full on the earlier of (a) June 4, 2025, or (b) the date of the next annual meeting of Akoya Biosciences, Inc. occurring after the date of grant.

SEC source: 0001104659-23-070479 · tm2318472-1_4seq1.xml · nonDerivative · entry 3

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 15,937,535

F2 · ownership.nature: Shares held directly by Telegraph Hill Partners III, L.P. ("THP III"). THP IM is the general partner of THP III. THPMC is the manager of THP IM. J. Matthew Mackowski, Dr. Thomas A. Raffin and Deval Lashkari are each managers of THPMC and may be deemed to share voting and dispositive power over the securities held by THP III. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001104659-23-070479 · tm2318472-1_4seq1.xml · nonDerivative · entry 2

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,737,712

F1 · ownership.nature: Shares held directly by THP III Affiliates Fund, LLC ("THP III AFF"). Telegraph Hill Partners III Investment Management, LLC ("THP IM") is the manager of THP III AFF. Telegraph Hill Partners Management Company, LLC ("THPMC") is the manager of THP IM. J. Matthew Mackowski, Dr. Thomas A. Raffin and Deval Lashkari are each managers of THPMC and may be deemed to share voting and dispositive power over the securities held by THP III AFF. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001104659-23-070479 · tm2318472-1_4seq1.xml · nonDerivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Thomas A. Raffin Living Trust dated March 29, 2017

Disclosed balance after: 234,592

SEC source: 0001104659-23-068154 · tm2317841-6_4seq1.xml · derivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,322

Underlying: Common Stock · 56,322 shares

Expires 2033-06-01

F1 · derivative.exercise_date: Subject to the reporting person's continuous service through the vesting date, the options shall vest in full on the earlier of (a) June 1, 2024, or (b) the date of the next annual meeting of Akoya Biosciences, Inc. occurring after the date of grant.

SEC source: 0001126234-23-000072 · wf-form4_168392787873750.xml · derivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,345

Underlying: Common Stock · 3,345 shares

Expires 2033-05-09

F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.

SEC source: 0001126234-22-000093 · wf-form4_166154758329850.xml · nonDerivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,406

F1 · balance_after: Includes 237 restricted stock units ("RSUs") previously reported as holdings of the Reporting Person granted under the Issuer's 2009 Equity Incentive Plan (the "Plan"). The RSUs will vest, and shares will be delivered to the Reporting Person in a single installment on April 3, 2023, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.

SEC source: 0001104659-22-068068 · tm2217652-3_4seq1.xml · derivative · entry 4

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,549

Underlying: Common Stock · 30,549 shares

Expires 2032-06-01

F4 · derivative.exercise_date: Subject to the reporting person's continuous service through the vesting date, the options shall vest in full on the earlier of (a) June 1, 2023, or (b) the date of the next annual meeting of Akoya Biosciences, Inc. occurring after the date of grant.

SEC source: 0001126234-22-000056 · wf-form4_165213059925731.xml · derivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,431

Underlying: Common Stock · 3,431 shares

Expires 2032-05-04

F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.

SEC source: 0001104659-21-072007 · tm2117585-3_4seq1.xml · derivative · entry 4

Raffin Thomas A. · CIK 0001512119 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,860

Underlying: Common Stock · 16,860 shares

Expires 2031-05-21

F3 · derivative.exercise_date: Subject to the reporting person's continuous service through the vesting date, the options shall vest in full on the earlier of (a) May 21, 2022, or (b) the date of the next annual meeting of Akoya Biosciences, Inc. occurring after the date of grant.

SEC source: 0001126234-21-000082 · wf-form4_162189580043228.xml · derivative · entry 2

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,910

Underlying: Common Stock · 2,910 shares

Expires 2031-05-19

F3 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Plan. One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.

SEC source: 0001126234-21-000082 · wf-form4_162189580043228.xml · nonDerivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,256

F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2010 Non-Employee Director Stock Award Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a single installment on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.

F2 · balance_after: Includes 473 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on April 3, 2022, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.

SEC source: 0001126234-20-000063 · wf-form4_158629670517355.xml · derivative · entry 2

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,684

Underlying: Common Stock · 5,684 shares

Expires 2030-04-02

F2 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Plan. One-third of the shares vest on the one-year anniversary of the grant date and the remaining two-thirds of the shares vest in a series of 24 successive equal monthly installments thereafter, subject to the Reporting Persons's continuous service as of such dates. The option expires ten years after the date of grant, unless it expires sooner pursuant to the terms of the Plan.

SEC source: 0001126234-20-000063 · wf-form4_158629670517355.xml · nonDerivative · entry 1

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,889

F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2010 Non-Employee Director Stock Award Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a series of three successive annual installments beginning on April 3, 2021, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 24

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,889

Underlying: Common Stock · 13,889 shares

Expires 2026-07-31

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 23

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,777 shares

Expires 2028-05-22

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 22

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,437

Underlying: Common Stock · 4,437 shares

Expires 2026-07-31

F4 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 21

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,309 shares

Expires 2027-05-11

F4 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 20

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,391

Underlying: Common Stock · 2,391 shares

Expires 2026-07-31

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 19

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,782 shares

Expires 2026-08-08

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 18

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,887

Underlying: Common Stock · 8,887 shares

Expires 2026-07-31

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 17

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,774 shares

Expires 2026-08-08

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 16

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,588

Underlying: Common Stock · 1,588 shares

Expires 2026-07-31

F6 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every four cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 15

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,349 shares

Expires 2025-04-29

F6 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every four cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 14

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,220

Underlying: Common Stock · 5,220 shares

Expires 2026-07-31

F4 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 13

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,659 shares

Expires 2024-04-30

F4 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 12

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2026-07-31

F4 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 11

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires 2023-05-08

F4 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 10

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,952

Underlying: Common Stock · 5,952 shares

Expires 2026-07-31

F4 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 9

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,855 shares

Expires 2022-11-01

F4 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F3 · derivative.exercise_date: The option provided that 50% of the option vested on November 2, 2013 and the remaining 50% of such option vested in equal monthly installments over the next 12 months, provided (i) that the option shall vest in full on the date of the Annual Meeting held two years after the date of grant and (ii) that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 8

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,810

Underlying: Common Stock · 23,810 shares

Expires 2026-07-31

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 7

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 47,619 shares

Expires 2021-11-09

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 6

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,786

Underlying: Common Stock · 1,786 shares

Expires 2026-07-31

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.

F2 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date.

SEC source: 0001126234-19-000099 · wf-form4_156478543324927.xml · derivative · entry 5

Raffin Thomas A. · CIK 0001512119 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,571 shares

Expires 2021-11-09

F1 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share.