WALDEN CHARLES C

SEC source: 0001104659-24-000314 · tm241490-2_4seq1.xml · derivative · entry 3

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,010

Underlying: Common Stock · 14 shares

Expires not disclosed

F1 · security: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held.

F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held.

F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.

SEC source: 0001104659-24-000314 · tm241490-2_4seq1.xml · derivative · entry 2

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 1,363 shares

Expires not disclosed

F1 · security: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held.

F1 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held.

F2 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.

SEC source: 0001104659-22-043676 · tm2212183-4_4seq1.xml · nonDerivative · entry 1

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,271

F1 · kind: Represents sale of shares to issuer pursuant to issuer tender offer exempt under Rule 16b-3.

SEC source: 0001104659-22-009088 · tm224833-5_4.xml · derivative · entry 2

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,438 shares

Expires not disclosed

F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of December 20, 2021 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued up to 1,500,000 additional shares of Preferred Stock to honor the Over-Subscription Privilege.

F2 · date: The rights offering expired January 21, 2022 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about January 27, 2022.

F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F4 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.

F3 · derivative.underlying_shares: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment.

SEC source: 0001104659-21-092421 · tm2122289-1_4seq1.xml · derivative · entry 2

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,779 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 · price: On June 24, 2021 the Reporting Person converted 5,000 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 9,779 shares of the Registrant's common stock.

F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.

F3 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.

SEC source: 0001104659-21-092421 · tm2122289-1_4seq1.xml · nonDerivative · entry 1

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,285

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: On June 24, 2021 the Reporting Person converted 5,000 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 9,779 shares of the Registrant's common stock.

SEC source: 0001144204-16-130529 · v451774_form4.xml · nonDerivative · entry 1

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,506

F1 · balance_after: The reported securities were tendered by the Reporting Person pursuant to the terms of the Tender Offer Statement filed by the issuer on September 21, 2016.

SEC source: 0001144204-16-122869 · v448364_4.xml · derivative · entry 2

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 6,579 shares

Expires not disclosed

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about September 1, 2016.

F3 · shares: Includes shares of Preferred Stock acquired pursuant to the exercise of the Over-Subscription Privilege and Over-Allotment Privilege.

F4 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment.

F5 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021.

F3 · balance_after: Includes shares of Preferred Stock acquired pursuant to the exercise of the Over-Subscription Privilege and Over-Allotment Privilege.

SEC source: 0001144204-16-122869 · v448364_4.xml · derivative · entry 1

WALDEN CHARLES C · CIK 0001475052 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: 3.50% Convertible Preferred Stock, Series B · 5,000 shares

Expires 2016-08-26

F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of July 21, 2016 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 3.50% Convertible Preferred Stock, Series B ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued additional shares up to 15% of the shares available in the offering (the "Over-Allotment Privilege").

F2 · date: The rights offering expired August 26, 2016 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about September 1, 2016.