Gaul Ryan Wesley

SEC source: 0001425287-25-000035 · wk-form4_1745282611.xml · derivative · entry 3

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value per share · 200 shares

Expires 2024-12-31

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

F1 · derivative.exercise_price: Represents Performance Share Units ("PSUs") granted by Workhorse Group Inc. (the "Company") to the reporting person on February 23, 2022. On April 17, 2025, the PSUs vested upon the achievement of certain performance incentives and settled in cash based on the fair market value of the Company's common stock.

F2 · shares: On June 17, 2024, the Company effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities reported in this Form 4 have been adjusted to reflect the cumulative 1-for-250 reverse split.

SEC source: 0001425287-25-000035 · wk-form4_1745282611.xml · nonDerivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 877

F1 · shares: Represents Performance Share Units ("PSUs") granted by Workhorse Group Inc. (the "Company") to the reporting person on February 23, 2022. On April 17, 2025, the PSUs vested upon the achievement of certain performance incentives and settled in cash based on the fair market value of the Company's common stock.

F2 · balance_after: On June 17, 2024, the Company effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities reported in this Form 4 have been adjusted to reflect the cumulative 1-for-250 reverse split.

SEC source: 0001425287-25-000035 · wk-form4_1745282611.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,077

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

F1 · shares: Represents Performance Share Units ("PSUs") granted by Workhorse Group Inc. (the "Company") to the reporting person on February 23, 2022. On April 17, 2025, the PSUs vested upon the achievement of certain performance incentives and settled in cash based on the fair market value of the Company's common stock.

F2 · balance_after: On June 17, 2024, the Company effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities reported in this Form 4 have been adjusted to reflect the cumulative 1-for-250 reverse split.

SEC source: 0001425287-25-000015 · wk-form4_1740533922.xml · nonDerivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,956

F1 · shares: Represents shares of common stock relinquished to Workhorse Group Inc. (the "Company") by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-25-000015 · wk-form4_1740533922.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,608

F1 · shares: Represents shares of common stock relinquished to Workhorse Group Inc. (the "Company") by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-25-000048 · wk-form4_1745887115.xml · derivative · entry 3

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,145

Underlying: Common Stock, $0.001 par value per share · 1,073 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Represents shares of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of the Company. Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors or Compensation Committee. The RSUs vest in equal one-third increments over three years beginning on February 22, 2025, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, RSUs previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on the grant date.

F1 · shares: On June 17, 2024, Workhorse Group Inc. (the "Company") effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities and price information reported in this Form 4 have been adjusted to reflect the cumulative 1-for-250 reverse split.

F3 · derivative.exercise_date: Represents shares of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of the Company. Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors or Compensation Committee. The RSUs vest in equal one-third increments over three years beginning on February 22, 2025, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, RSUs previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on the grant date.

F3 · derivative.expiration_date: Represents shares of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of the Company. Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors or Compensation Committee. The RSUs vest in equal one-third increments over three years beginning on February 22, 2025, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, RSUs previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on the grant date.

SEC source: 0001425287-25-000048 · wk-form4_1745887115.xml · nonDerivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,586

F1 · shares: On June 17, 2024, Workhorse Group Inc. (the "Company") effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities and price information reported in this Form 4 have been adjusted to reflect the cumulative 1-for-250 reverse split.

F2 · shares: Represents shares of common stock relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted stock units previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-25-000048 · wk-form4_1745887115.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,950

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

F1 · shares: On June 17, 2024, Workhorse Group Inc. (the "Company") effected a 1-for-20 reverse split of the Company's common stock. On March 17, 2025, the Company effected a 1-for-12.5 reverse split of the Company's common stock. The reverse stock splits resulted in a reduction in the number of shares held by the reporting person and proportional adjustments to the Company's outstanding equity awards. Accordingly, all amounts of securities and price information reported in this Form 4 have been adjusted to reflect the cumulative 1-for-250 reverse split.

SEC source: 0001425287-24-000085 · wk-form4_1713911775.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,053,688

F1 · shares: Represents shares of common stock relinquished to Workhorse Group Inc. (the "Company") by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-24-000056 · wk-form4_1708994467.xml · nonDerivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,055,728

F1 · shares: Represents shares of common stock relinquished to Workhorse Group Inc. (the "Company") by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-24-000056 · wk-form4_1708994467.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,068,780

F1 · shares: Represents shares of common stock relinquished to Workhorse Group Inc. (the "Company") by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-24-000037 · wk-form4_1708724417.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,085,897

F1 · shares: Represents shares of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of Workhorse Group Inc. (the "Company"). The RSUs vest in equal one-third increments over three years beginning on February 21, 2025, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, RSUs previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on the grant date.

SEC source: 0001425287-25-000013 · wk-form4a_1740533902.xml · derivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,221

Underlying: Common Stock, $0.001 par value per share · 40,221 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents shares of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of Workhorse Group Inc. (the "Company"). Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors or Compensation Committee. The RSUs vest in equal one-third increments over three years beginning on February 21, 2025, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, RSUs previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on the grant date.

F1 · derivative.exercise_date: Represents shares of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of Workhorse Group Inc. (the "Company"). Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors or Compensation Committee. The RSUs vest in equal one-third increments over three years beginning on February 21, 2025, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, RSUs previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on the grant date.

F1 · derivative.expiration_date: Represents shares of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of common stock of Workhorse Group Inc. (the "Company"). Upon vesting, the RSUs may be settled in cash at the discretion of the Company's Board of Directors or Compensation Committee. The RSUs vest in equal one-third increments over three years beginning on February 21, 2025, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, RSUs previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on the grant date.

F2 · derivative.underlying_shares: On June 17, 2024, the Company effected a 1-for-20 reverse split of the Company's common stock, resulting in a reduction in the number of shares held by the reporting person. In addition, proportionate adjustments were made to the Company's outstanding equity awards. Accordingly, all amounts of securities reported in this Form 4 have been adjusted to reflect the 1-for-20 reverse split.

SEC source: 0001628280-23-034945 · wk-form4_1698107728.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 281,481

F1 · shares: Represents shares of common stock relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001628280-23-012627 · wf-form4_168237964915311.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,202

F1 · shares: Represents shares of common stock relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-23-000045 · wf-form4_167752900817098.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,923

F1 · shares: Represents shares of common stock relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-23-000033 · wf-form4_167728315045789.xml · derivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,496

Underlying: Common Stock, $0.001 par value per share · 50,496 shares

Expires 2025-12-31

F2 · derivative.exercise_price: Each Performance Share Unit represents a contingent right to receive either one share of common stock of the Company or an equivalent cash value. Between 0% to 200% of the reported shares will vest based on the Company's performance compared to certain peer issuers, measured by the total return to shareholders over a performance period ending on December 31, 2025.

F2 · derivative.exercise_date: Each Performance Share Unit represents a contingent right to receive either one share of common stock of the Company or an equivalent cash value. Between 0% to 200% of the reported shares will vest based on the Company's performance compared to certain peer issuers, measured by the total return to shareholders over a performance period ending on December 31, 2025.

SEC source: 0001425287-23-000033 · wf-form4_167728315045789.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,975

F1 · shares: Represents shares of common stock granted by Workhorse Group Inc. (the "Company") under a Restricted Stock Award Agreement vesting in equal amounts over a three year period in one year intervals beginning on February 22, 2024, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on the grant date.

SEC source: 0001425287-22-000114 · wf-form4_166993794317042.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,489

F1 · shares: Represents shares of common stock relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on the vesting date.

SEC source: 0001425287-22-000067 · wf-form4_165101099272179.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,210

F1 · shares: Represents shares of common stock relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as of the closing trading price of the Company's common stock on April 22, 2022.

SEC source: 0001425287-22-000022 · wf-form4_164583010745457.xml · derivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,752.5

Underlying: Common Stock, $0.001 par value per share · 24,752.5 shares

Expires 2024-12-31

F2 · derivative.exercise_price: Each Performance Share Unit represents a contingent right to receive either one share of common stock of the Company or an equivalent cash value. Between 0% to 200% of the reported shares will vest based on the Company's performance compared to certain peer issuers, measured by the total return to shareholders over a performance period ending on December 31, 2024.

F2 · derivative.exercise_date: Each Performance Share Unit represents a contingent right to receive either one share of common stock of the Company or an equivalent cash value. Between 0% to 200% of the reported shares will vest based on the Company's performance compared to certain peer issuers, measured by the total return to shareholders over a performance period ending on December 31, 2024.

SEC source: 0001425287-22-000022 · wf-form4_164583010745457.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,913

F1 · shares: Represents shares of common stock granted by Workhorse Group Inc. (the "Company") under a Restricted Stock Award Agreement vesting in equal amounts over a three year period in one year intervals beginning on February 23, 2023, less shares relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on February 22, 2022.

SEC source: 0001628280-21-024620 · wf-form4_163888783777469.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · President, Commercial Vehicles

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,402

F1 · shares: Represents shares of common stock relinquished to the Company by the reporting person out of, and to cover estimated tax withholding for, restricted shares previously granted subject to vesting. The stock price reflected in Table I Column 4 was determined based on fair market value as the closing trading price of the Company's common stock on October 22, 2021.

SEC source: 0001209191-19-036376 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,189

SEC source: 0001209191-19-024221 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,830

SEC source: 0001209191-19-014094 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,850

F1 · shares: The shares represent Restricted Stock Units issued under the 2013 Equity Incentive Plan that have been granted to the Reporting Person. The shares vest in three portions: one-third on February 25, 2020, one-third on February 25, 2021, and one-third on February 25, 2022.

SEC source: 0001209191-19-012868 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,051

SEC source: 0001209191-19-012476 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,105

SEC source: 0001209191-18-059949 · doc4.xml · derivative · entry 4

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2021-02-19

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

SEC source: 0001209191-18-059949 · doc4.xml · nonDerivative · entry 3

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,377

SEC source: 0001209191-18-059949 · doc4.xml · nonDerivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,836

SEC source: 0001209191-18-059949 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,836

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

SEC source: 0001209191-18-044494 · doc4.xml · derivative · entry 3

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2020-07-02

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

F1 · balance_after: The amount represents the total number of derivative securities Benefically Owned of the class shown (i.e. the same exercise price and expiration date). The Reporting Person owns a total of 10,000 Stock Appreciation Rights of varying classes (i.e. varying exercise prices and expiration dates).

SEC source: 0001209191-18-044494 · doc4.xml · nonDerivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,836

SEC source: 0001209191-18-044494 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,836

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

SEC source: 0001209191-18-037422 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,836

F1 · shares: The shares represent Restricted Stock Units issued under the 2013 Equity Incentive Plan that have been granted to the Reporting Person. The shares vest in three portions; 1,468 on June 11, 2019,and 1,468 on June 11,2020, and 1,467 on June 11,2021.

SEC source: 0001209191-18-028724 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,433

SEC source: 0001209191-18-013447 · doc4.xml · nonDerivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,333

SEC source: 0001209191-18-013447 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,387

SEC source: 0001209191-18-011463 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,556

SEC source: 0001209191-17-055604 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,758

F1 · shares: The shares represent Restricted Common Stock issued under the 2013 Equity Incentive Plan that have been granted to the Reporting Person. The Restricted Stock Award Agreement provides that the shares granted are subject to forfeiture if the Participant's employment with the Company terminates prior to the 18 month anniversary of the Grant Date (the "Vesting Date"). If the Participant remains employed by the Company through and including the Vesting Date, or if the Participant's employment with the Company is terminated prior to the Vesting Date without Cause or for Good Reason (each as defined in the Restricted Stock Award Agreements), then the shares granted shall immediately vest and no longer be subject to possible forfeiture; provided that, in the case of acceleration upon termination, the participant's right to receive such accelerated vesting is conditioned upon execution of a general release of claims, which becomes irrevocable, for the benefit of the Company.

SEC source: 0001209191-17-023975 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,367

SEC source: 0001209191-17-021265 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,999

SEC source: 0001209191-17-014594 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,607

SEC source: 0001209191-17-013753 · doc4.xml · derivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2024-02-22

F2 · derivative.exercise_date: Purchase option shares become exercisable in five installments; 9,000 shares on February 22, 2018, 9,000 shares on February 22, 2019, 9,000 shares on February 22, 2020, 9,000 shares on February 22, 2021 and 9,000 shares on February 22, 2022.

F3 · balance_after: The amount represents the total number of derivative securities Benefically Owned of the class shown (i.e. the same exercise price and expiration date). The Reporting Person owns a total of 135,000 Options to Purchase Common Stock of varying classes (i.e. varying exercise prices and expiration dates).

SEC source: 0001209191-17-013753 · doc4.xml · nonDerivative · entry 1

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,661

F1 · shares: The shares represent Restricted Common Stock issued under the 2013 Equity Incentive Plan that have been granted to the Reporting Person. The shares vest in four portions; 3,750 on February 22, 2018,and 3,750 on February 22,2019, 3,750 on February 22,2020 and 3,750 on February 22, 2021.

SEC source: 0001209191-17-014453 · doc4.xml · derivative · entry 5

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 5,000 shares

Expires 2021-02-19

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

F1 · balance_after: The amount represents the total number of derivative securities Benefically Owned of the class shown (i.e. the same exercise price and expiration date). The Reporting Person owns a total of 15,000 Stock Appreciation Rights of varying classes (i.e. varying exercise prices and expiration dates).

SEC source: 0001209191-17-014453 · doc4.xml · derivative · entry 4

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2020-07-02

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

F1 · balance_after: The amount represents the total number of derivative securities Benefically Owned of the class shown (i.e. the same exercise price and expiration date). The Reporting Person owns a total of 15,000 Stock Appreciation Rights of varying classes (i.e. varying exercise prices and expiration dates).

SEC source: 0001209191-17-014453 · doc4.xml · nonDerivative · entry 3

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,661

SEC source: 0001209191-17-014453 · doc4.xml · nonDerivative · entry 2

Gaul Ryan Wesley · CIK 0001661730 · VP Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,661

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