DUTT RONALD F

SEC source: 0001641172-25-002486 · ownership.xml · derivative · entry 7

DUTT RONALD F · CIK 0001262880 · Former CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,021 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.

F4 · derivative.exercise_price: Represents a grant of RSUs subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Plan on October 27, 2021 (the "Original Grant"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F4 · date: Represents a grant of RSUs subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Plan on October 27, 2021 (the "Original Grant"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F4 · price: Represents a grant of RSUs subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Plan on October 27, 2021 (the "Original Grant"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F4 · derivative.exercise_date: Represents a grant of RSUs subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Plan on October 27, 2021 (the "Original Grant"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F4 · derivative.expiration_date: Represents a grant of RSUs subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Plan on October 27, 2021 (the "Original Grant"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

SEC source: 0001641172-25-002486 · ownership.xml · derivative · entry 6

DUTT RONALD F · CIK 0001262880 · Former CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,214 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 a one-time grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") on November 5, 2020, subject to the Reporting Person's continued employment with the Issuer at the time of vesting. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on October 26, 2024, 2024, and were issued and settled on April 1, 2025.

F3 · date: Represents a one-time grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") on November 5, 2020, subject to the Reporting Person's continued employment with the Issuer at the time of vesting. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on October 26, 2024, 2024, and were issued and settled on April 1, 2025.

F3 · price: Represents a one-time grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") on November 5, 2020, subject to the Reporting Person's continued employment with the Issuer at the time of vesting. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on October 26, 2024, 2024, and were issued and settled on April 1, 2025.

F3 · derivative.exercise_date: Represents a one-time grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") on November 5, 2020, subject to the Reporting Person's continued employment with the Issuer at the time of vesting. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on October 26, 2024, 2024, and were issued and settled on April 1, 2025.

F3 · derivative.expiration_date: Represents a one-time grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") on November 5, 2020, subject to the Reporting Person's continued employment with the Issuer at the time of vesting. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on October 26, 2024, 2024, and were issued and settled on April 1, 2025.

SEC source: 0001641172-25-002486 · ownership.xml · nonDerivative · entry 5

DUTT RONALD F · CIK 0001262880 · Former CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,698

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $1.61 to $1.72, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F6 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of the RSUs. The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001641172-25-002486 · ownership.xml · nonDerivative · entry 4

DUTT RONALD F · CIK 0001262880 · Former CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,165

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.

F4 · date: Represents a grant of RSUs subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Plan on October 27, 2021 (the "Original Grant"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

F4 · price: Represents a grant of RSUs subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Plan on October 27, 2021 (the "Original Grant"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, a subsequent 1/3 of the Original Grant vested on October 27, 2023, and the remaining 1/3 of the Original Grant vested on October 27, 2024, and were issued and settled on April 1, 2025.

SEC source: 0001641172-25-002486 · ownership.xml · nonDerivative · entry 3

DUTT RONALD F · CIK 0001262880 · Former CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,144

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 · date: Represents a one-time grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") on November 5, 2020, subject to the Reporting Person's continued employment with the Issuer at the time of vesting. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on October 26, 2024, 2024, and were issued and settled on April 1, 2025.

F3 · price: Represents a one-time grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan (the "2014 Plan") on November 5, 2020, subject to the Reporting Person's continued employment with the Issuer at the time of vesting. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSUs fully vested on October 26, 2024, 2024, and were issued and settled on April 1, 2025.

SEC source: 0001641172-25-002486 · ownership.xml · nonDerivative · entry 2

DUTT RONALD F · CIK 0001262880 · Former CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,930

F2 · date: Represents shares purchased by the Reporting Person pursuant to the 2023 ESPP, for the offering period of 10/1/2024 through 3/31/2025. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $1.46, which is equal to 85% of the closing price, or $1.72, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

F2 · shares: Represents shares purchased by the Reporting Person pursuant to the 2023 ESPP, for the offering period of 10/1/2024 through 3/31/2025. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $1.46, which is equal to 85% of the closing price, or $1.72, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

F2 · price: Represents shares purchased by the Reporting Person pursuant to the 2023 ESPP, for the offering period of 10/1/2024 through 3/31/2025. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $1.46, which is equal to 85% of the closing price, or $1.72, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

SEC source: 0001641172-25-002486 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Former CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,430

F1 · date: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 4/1/2024 through 9/30/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $2.58, which is equal to 85% of the closing price, or $3.04, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

F1 · shares: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 4/1/2024 through 9/30/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $2.58, which is equal to 85% of the closing price, or $3.04, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

F1 · price: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 4/1/2024 through 9/30/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at $2.58, which is equal to 85% of the closing price, or $3.04, of the Issuer's Common Stock on the offering date, pursuant to the provisions of the 2023 ESPP. These shares were issued and settled on April 1, 2025.

SEC source: 0001493152-24-012600 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,930

F1 · shares: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 10/1/2023 through 3/31/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of $3.30, which was the closing price of the Issuer's Common Stock on the offering date pursuant to the provisions of the 2023 ESPP.

F1 · price: Represents shares purchased by the Reporting Person pursuant to the Flux Power Holdings, Inc. 2023 Employee Stock Purchase Plan (the "2023 ESPP"), for the offering period of 10/1/2023 through 3/31/2024. In accordance with the 2023 ESPP, these shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of $3.30, which was the closing price of the Issuer's Common Stock on the offering date pursuant to the provisions of the 2023 ESPP.

SEC source: 0001493152-23-039607 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,430

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.25 to $3.30 per share, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F2 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038926 · ownership.xml · nonDerivative · entry 2

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,651

F2 · price: The price reported in Column 4 is the actual price. These shares were sold in the open market in multiple transactions, all at the stated price of $3.30 per share.

F3 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038769 · ownership.xml · nonDerivative · entry 3

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,213

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in the open market in multiple transactions, at prices ranging from $3.285 to $3.32, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate transaction.

F4 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038769 · ownership.xml · nonDerivative · entry 2

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,304

F2 · price: The price reported in Column 4 is the actual price. These shares were sold in the open market in multiple transactions, all at the stated price of $3.35 per share.

F4 · price: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is made to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

SEC source: 0001493152-23-038926 · ownership.xml · derivative · entry 3

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,021

Underlying: Common Stock · 4,020 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

SEC source: 0001493152-23-038926 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,233

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

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original Grant") on October 27, 2021. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original Grant vested on October 27, 2022, and a subsequent 1/3 of the Original Grant vested on October 27, 2023. The remaining 1/3 of the Original Grant is scheduled to vest on October 27, 2024.

SEC source: 0001493152-23-038769 · ownership.xml · derivative · entry 4

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,607 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan approved by the Board on November 5, 2020. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSU vested entirely on October 26, 2023, three (3) years from the vesting commencement date of October 26, 2020.

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan approved by the Board on November 5, 2020. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSU vested entirely on October 26, 2023, three (3) years from the vesting commencement date of October 26, 2020.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan approved by the Board on November 5, 2020. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSU vested entirely on October 26, 2023, three (3) years from the vesting commencement date of October 26, 2020.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan approved by the Board on November 5, 2020. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSU vested entirely on October 26, 2023, three (3) years from the vesting commencement date of October 26, 2020.

SEC source: 0001493152-23-038769 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,637

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

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan approved by the Board on November 5, 2020. Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. The RSU vested entirely on October 26, 2023, three (3) years from the vesting commencement date of October 26, 2020.

SEC source: 0001493152-23-038133 · ownership.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,216

Underlying: Common Stock · 223,216 shares

Expires 2033-10-20

F1 · price: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on October 20, 2023 (the "Grant Date"), the Reporting Person was granted 223,216 incentive stock options (the "Options") at an exercise price of $3.36, which is based on the Issuer's 10-day volume weighted average price on the Grant Date. The Options will vest annually over three years from the Grant Date. The Options were granted in a transaction exempt under Rule 16b-3 to the Reporting Person.

F1 · derivative.exercise_date: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on October 20, 2023 (the "Grant Date"), the Reporting Person was granted 223,216 incentive stock options (the "Options") at an exercise price of $3.36, which is based on the Issuer's 10-day volume weighted average price on the Grant Date. The Options will vest annually over three years from the Grant Date. The Options were granted in a transaction exempt under Rule 16b-3 to the Reporting Person.

SEC source: 0001493152-23-021694 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,030

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in the open market in multiple transactions, at prices ranging from $4.045 to $4.07, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate transaction.

SEC source: 0001493152-22-030128 · ownership.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,175

Underlying: Common Stock · 80,175 shares

Expires 2032-10-31

F1 · price: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on October 31, 2022 (the "Grant Date"), the Reporting Person was granted 80,175 incentive stock options (the "Options") at an exercise price of $3.43, which is based on the Issuer's 10-day volume weighted average price on the Grant Date. The Options will vest in four equal annual installments commencing one year after the Grant Date. The Options were granted in a transaction exempt under Rule 16b-3 to the Reporting Person.

F1 · derivative.exercise_date: Pursuant to the Issuer's 2021 Equity Incentive Plan (the "2021 Plan"), on October 31, 2022 (the "Grant Date"), the Reporting Person was granted 80,175 incentive stock options (the "Options") at an exercise price of $3.43, which is based on the Issuer's 10-day volume weighted average price on the Grant Date. The Options will vest in four equal annual installments commencing one year after the Grant Date. The Options were granted in a transaction exempt under Rule 16b-3 to the Reporting Person.

SEC source: 0001493152-22-030050 · ownership.xml · derivative · entry 2

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,041

Underlying: Common Stock · 4,020 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original RSU Grant") on October 27, 2021 (the "Original RSU Grant Date"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original RSU Grant vested on October 27, 2022, and each subsequent 1/3 of the Original Grant is scheduled to vest on October 27, 2023 and October 27, 2024, respectively.

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original RSU Grant") on October 27, 2021 (the "Original RSU Grant Date"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original RSU Grant vested on October 27, 2022, and each subsequent 1/3 of the Original Grant is scheduled to vest on October 27, 2023 and October 27, 2024, respectively.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original RSU Grant") on October 27, 2021 (the "Original RSU Grant Date"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original RSU Grant vested on October 27, 2022, and each subsequent 1/3 of the Original Grant is scheduled to vest on October 27, 2023 and October 27, 2024, respectively.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original RSU Grant") on October 27, 2021 (the "Original RSU Grant Date"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original RSU Grant vested on October 27, 2022, and each subsequent 1/3 of the Original Grant is scheduled to vest on October 27, 2023 and October 27, 2024, respectively.

SEC source: 0001493152-22-030050 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,380

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

F1 · price: Represents a grant of restricted stock units ("RSUs") subject to the conditions of the Restricted Stock Unit Award Agreement pursuant to the Issuer's 2014 Equity Incentive Plan (the "Original RSU Grant") on October 27, 2021 (the "Original RSU Grant Date"). Each RSU represents a contingent right to receive, upon vesting of the RSU, one share of the Issuer's common stock. 1/3 of the Original RSU Grant vested on October 27, 2022, and each subsequent 1/3 of the Original Grant is scheduled to vest on October 27, 2023 and October 27, 2024, respectively.

SEC source: 0001493152-21-030306 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,360

F1 · security: Represents the purchase of 4,700 shares of common stock of the Issuer by Mr. Dutt in an open market transaction at $5.24 per share, for a total purchase price of $24,628.

SEC source: 0001493152-21-026957 · ownership.xml · derivative · entry 2

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,092

Underlying: Common Stock · 18,092 shares

Expires not disclosed

F3 · date: Clerical error as to the Grant Date.

F2 · derivative.exercise_date: Represents a grant of RSUs pursuant to the Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs is subject to a 3 year "cliff vesting", with the number of RSUs determined by performance targets for the period from January 1, 2022 to June 30, 2022. If the performance targets are not achieved, the RSUs will terminate.

F2 · derivative.expiration_date: Represents a grant of RSUs pursuant to the Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs is subject to a 3 year "cliff vesting", with the number of RSUs determined by performance targets for the period from January 1, 2022 to June 30, 2022. If the performance targets are not achieved, the RSUs will terminate.

SEC source: 0001493152-21-026957 · ownership.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,061

Underlying: Common Stock · 12,061 shares

Expires not disclosed

F3 · date: Clerical error as to the Grant Date.

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on October 29, 2021 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest annually in one-third installments over 3 years with the first installment vest date occurring one year from October 27, 2021.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on October 29, 2021 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest annually in one-third installments over 3 years with the first installment vest date occurring one year from October 27, 2021.

SEC source: 0001493152-21-026792 · ownership.xml · derivative · entry 2

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,092

Underlying: Common Stock · 18,092 shares

Expires not disclosed

F2 · derivative.exercise_date: Represents a grant of RSUs pursuant to the Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs is subject to a 3 year "cliff vesting", with the number of RSUs determined by performance targets for the period from January 1, 2022 to June 30, 2022. If the performance targets are not achieved, the RSUs will terminate.

F2 · derivative.expiration_date: Represents a grant of RSUs pursuant to the Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs is subject to a 3 year "cliff vesting", with the number of RSUs determined by performance targets for the period from January 1, 2022 to June 30, 2022. If the performance targets are not achieved, the RSUs will terminate.

SEC source: 0001493152-21-026792 · ownership.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,061

Underlying: Common Stock · 12,061 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on October 27, 2021 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock.The RSUs will vest annually in one-third installments over 3 years, with the first installment vest date occurring one year from the Grant Date

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on October 27, 2021 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock.The RSUs will vest annually in one-third installments over 3 years, with the first installment vest date occurring one year from the Grant Date

SEC source: 0001493152-20-020807 · ownership.xml · derivative · entry 3

DUTT RONALD F · CIK 0001262880 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,214

Underlying: Common Stock · 13,214 shares

Expires not disclosed

F3 · derivative.exercise_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person remains employed with the Issuer at the time of vesting.

F3 · derivative.expiration_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person remains employed with the Issuer at the time of vesting.

SEC source: 0001493152-20-020807 · ownership.xml · derivative · entry 2

DUTT RONALD F · CIK 0001262880 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,607

Underlying: Common Stock · 9,910 shares

Expires not disclosed

F2 · derivative.exercise_date: Represents a maximum grant of RSUs pursuant to the Issuer's Plan on the Grant Date, contingent upon the terms and conditions of the Performance Restricted Stock Unit Award Agreement under the Issuer's Plan based on target performance goals approved by the Issuer's board of directors (the "Board") for each fiscal period. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest in one-third installments at the end of each fiscal period of the Issuer over a three-year period.

F2 · derivative.expiration_date: Represents a maximum grant of RSUs pursuant to the Issuer's Plan on the Grant Date, contingent upon the terms and conditions of the Performance Restricted Stock Unit Award Agreement under the Issuer's Plan based on target performance goals approved by the Issuer's board of directors (the "Board") for each fiscal period. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs will vest in one-third installments at the end of each fiscal period of the Issuer over a three-year period.

SEC source: 0001493152-20-020807 · ownership.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,607

Underlying: Common Stock · 6,607 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on November 5, 2020 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person has completed three years of service of the vesting schedule.

F1 · derivative.expiration_date: Represents a grant of restricted stock units ("RSUs") pursuant to the Issuer's 2014 Equity Incentive Plan ("Plan") on November 5, 2020 (the "Grant Date"). Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of three years, as long as the reporting person has completed three years of service of the vesting schedule.

SEC source: 0001493152-21-017054 · ownership.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,214

Underlying: Common Stock · 13,214 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of four years, as long as the reporting person remains employed with the Issuer at the time of vesting.

F1 · derivative.expiration_date: Represents a one-time grant of RSU pursuant to the Issuer's Plan on the Grant Date. Each RSU represents the right to receive, upon vesting of the unit, one share of the Issuer's common stock. The RSUs are scheduled to cliff vest at the end of four years, as long as the reporting person remains employed with the Issuer at the time of vesting.

SEC source: 0001493152-20-016228 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,660

F1 · security: Represents the acquisition of 8,750 shares of common stock acquired by Mr. Dutt at the offering price of $4.00 per share, for a total purchase price of $35,000, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-21-004644 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,660

F1 · security: Represents the purchase of 8,750 shares of common stock acquired by Mr. Dutt on August 14, 2020 at the offering price of $4.00 per share, for a total purchase price of $35,000, in connection with the Issuer's public offering which closed on August 18, 2020.

SEC source: 0001493152-20-012523 · ownership.xml · nonDerivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,910

F1 · security: Represents the acquisition of 12,500 shares of common stock (at $4.00 per share) acquired by Mr. Dutt for $50,000 in cash.

SEC source: 0001654954-19-002914 · section16.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common stock · 500,000 shares

Expires 2029-05-15

F1 · security: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a 3 year period in quarterly installments, with 25% vesting on March 15, 2019. The exercise price is the fair market value of Issuer's common stock, which is $1.36 per share based on the Issuer's 30day volume-weighted average price on March 15, 2019.

SEC source: 0001709409-18-000016 · primary_doc.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,264

Underlying: Common Stock · 335,264 shares

Expires 2028-07-25

F1 · derivative.exercise_price: Pursuant to the stock option, Reporting Person has a right to purchase up to 335,264 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.98 per share based on the Issuer's 30-day volume-weighted average price on July 25, 2018.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 335,264 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.98 per share based on the Issuer's 30-day volume-weighted average price on July 25, 2018.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 335,264 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.98 per share based on the Issuer's 30-day volume-weighted average price on July 25, 2018.

SEC source: 0001709409-18-000012 · primary_doc.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant and expire on June 29, 2020. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant and expire on June 29, 2020. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant and expire on June 29, 2020. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · derivative.expiration_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant and expire on June 29, 2020. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

SEC source: 0001709409-18-000015 · primary_doc.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO; CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-06-29

F1 · derivative.exercise_price: Pursuant to the stock option, the Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · price: Pursuant to the stock option, the Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F1 · derivative.exercise_date: Pursuant to the stock option, the Reporting Person has a right to purchase up to 500,000 shares of Issuer's common stock. The options vest quarterly over a two-year period following the grant. The exercise price is the fair market value of Issuer's common stock, which is $1.44 per share based on the Issuer's 30-day volume-weighted average price on June 29, 2018.

F2 · derivative.expiration_date: This report on Form 4/A amends and replaces in its entirety the Form 4 filed by the Reporting Person on July 3, 2018. This report on Form 4/A is being filed solely to correct a typographical error with respect to the expiration date of the stock option, which should be June 29, 2028.

SEC source: 0001437749-17-017856 · rdgdoc.xml · derivative · entry 1

DUTT RONALD F · CIK 0001262880 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2027-10-26

F1 · price: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a three-year period in quarterly installments, with 25% vesting on October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).

F1 · derivative.exercise_date: Pursuant to the stock option, Reporting Person has a right to purchase up to 500,000 shares of common stock of Issuer. The stock option vests over a three-year period in quarterly installments, with 25% vesting on October 26, 2017. The exercise price is $0.4638 per share (which was the closing price on October 26, 2017).