Nierenberg David

SEC source: 0001209191-20-055084 · doc4.xml · derivative · entry 10

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,076 shares

Expires 2029-05-20

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · derivative · entry 9

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,200 shares

Expires 2028-06-18

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · derivative · entry 8

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,766 shares

Expires 2027-05-19

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · derivative · entry 7

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,451 shares

Expires 2026-05-19

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · derivative · entry 6

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,323 shares

Expires 2025-06-12

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · derivative · entry 5

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,771 shares

Expires 2025-04-15

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each stock option that was outstanding and unexercised vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such stock option, an amount (subject to any applicable withholding tax) in cash equal to $30.00 minus the exercise price per share subject to such stock option.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · derivative · entry 4

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,287 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the right to receive one share of Common Stock.

F4 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time (as defined in the Merger Agreement), each RSU, whether vested or unvested, that was outstanding vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such RSU, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time (as defined in the Merger Agreement), each RSU, whether vested or unvested, that was outstanding vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such RSU, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time (as defined in the Merger Agreement), each RSU, whether vested or unvested, that was outstanding vested in full and was cancelled, and the Reporting Person was entitled to receive, in respect of each share of Common Stock subject to such RSU, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · nonDerivative · entry 3

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Haredale Ltd.

Disclosed balance after: 0

F1 · shares: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the holder thereof was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · nonDerivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 0

F1 · shares: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the holder thereof was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0001209191-20-055084 · doc4.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 0

F1 · shares: Pursuant to the terms of that certain Agreement and Plan of Merger, dated August 29, 2020, by and among the Issuer, Cambium Holding Corp., a Delaware corporation ("Parent"), and Empower Merger Sub Inc., a Delaware corporation and a wholly-owned subsidiary of Parent (the "Merger Agreement"), immediately prior to the Effective Time (as defined in the Merger Agreement), each issued and outstanding share of common stock, $0.00005 par value per share, of the Company ("Common Stock"), including any outstanding Company restricted shares, was cancelled and the holder thereof was entitled to receive, in respect of each share of Common Stock, an amount (subject to any applicable withholding tax) in cash equal to $30.00.

F2 · balance_after: Mr. Nierenberg serves as the President of Nierenberg Investment Management Company, Inc. (NIMCO) and Nierenberg Investment Management Offshore, Inc. (NIMO), entities which serve as general partners for The D3 Family Fund, L.P. (Family Fund), The D3 Family Bulldog Fund, L.P. (Bulldog Fund), and Haredale, Ltd. (Haredale). Under the partnership agreements governing these funds, all compensation payable to Mr. Nierenberg for his service on the Issuers Board of Directors, including Mr. Nierenbergs stock options and RSUs, are required to be assigned to the funds. Accordingly, such stock options and RSUs are deemed to be owned indirectly by the Family Fund, the Bulldog Fund and Haredale. The reporting person disclaims ownership of these securities except to the extent of the reporting persons pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 9

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 134,431

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 6

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,901,996

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 3

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,449,414

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 8

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 133,714

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 5

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,886,523

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,441,686

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 7

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 132,427

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 4

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,858,746

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000182 · wf-form4_160021144856627.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,427,813

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 9

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 130,975

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 6

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,827,394

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 3

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,412,154

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 8

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 130,609

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 5

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,819,501

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,408,213

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 7

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 129,249

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 4

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,790,131

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000180 · wf-form4_159977027237800.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,393,543

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 9

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 128,897

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 6

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,782,535

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 3

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,389,748

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 8

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 128,424

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 5

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,772,333

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,384,653

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 7

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 124,072

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 4

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,678,367

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000178 · wf-form4_159917607909561.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,337,721

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 9

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 124,000

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 6

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,676,814

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 3

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,336,946

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 8

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 114,476

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 5

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,471,227

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,234,265

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 7

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Haredale Ltd.

Disclosed balance after: 108,861

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 4

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Bulldog Fund, LP

Disclosed balance after: 2,350,023

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0000928054-20-000170 · wf-form4_159830763321803.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By The D3 Family Fund, LP

Disclosed balance after: 1,173,729

F1 · ownership.nature: The reporting person disclaims ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0001209191-20-036591 · doc4.xml · derivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,278

Underlying: Common Stock · 7,278 shares

Expires 2030-06-11

F3 · derivative.exercise_date: Options vest at a rate of 1/4 per quarter over one year and become fully vested June 11, 2021.

SEC source: 0001209191-20-036591 · doc4.xml · derivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,287

Underlying: Common Stock · 6,428 shares

Expires not disclosed

F1 · derivative.exercise_price: Each RSU represents the right to receive one share of common stock of the Issuer.

F2 · derivative.exercise_date: RSUs vest at a rate of 1/4 per quarter and become fully vested on June 11, 2021. Delivery of the shares entitled to the Reporting Person will be made upon the Reporting Person's separation from service to the Board of Directors

F2 · derivative.expiration_date: RSUs vest at a rate of 1/4 per quarter and become fully vested on June 11, 2021. Delivery of the shares entitled to the Reporting Person will be made upon the Reporting Person's separation from service to the Board of Directors

SEC source: 0000928054-20-000085 · wf-form4_158890141018572.xml · nonDerivative · entry 1

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,337

F1 · shares: Award grant of 89,888 shares based on a closing price of $0.89 per share on May 4, 2020 which vest at the 2021 annual stockholders' meeting.

SEC source: 0000939057-20-000104 · primary_doc.xml · nonDerivative · entry 2

Nierenberg David · CIK 0001040899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,869

F2 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.88 to $4.90 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnote (2).

F3 · ownership.direct: Includes 13,000 shares in an inherited IRA owned by wife.