WILLIAMS GARY

SEC source: 0001104659-24-122190 · tm2429229-1_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,125

F1 · kind: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market by the issuer on behalf of the reporting person to satisfy tax obligations in connection with vesting of equity awards and was not a discretionary transaction by the reporting person.

F1 · shares: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market by the issuer on behalf of the reporting person to satisfy tax obligations in connection with vesting of equity awards and was not a discretionary transaction by the reporting person.

SEC source: 0001104659-24-102505 · tm2424673-1_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,183

F1 · kind: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market by the issuer on behalf of the reporting person to satisfy tax obligations in connection with vesting of equity awards and was not a discretionary transaction by the reporting person.

F1 · shares: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market by the issuer on behalf of the reporting person to satisfy tax obligations in connection with vesting of equity awards and was not a discretionary transaction by the reporting person.

SEC source: 0001104659-24-084937 · tm2420610-3_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,015

F1 · shares: 39,206 shares (the "LTIP Shares") of common stock, par value $0.0001 per share, of the issuer were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2018 Long-Term Stock Incentive Plan (the "Grant"). The LTIP Shares associated with the Grant are scheduled to vest in equal installments, from the period from December 20, 2024 to December 20, 2027, on each December 20th, March 20th, June 20th, and September 20th, so long as the reporting person remains in the service of the issuer on each such date.

SEC source: 0001104659-24-070403 · tm2416940-3_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,809

F1 · shares: 21,481 shares (the "LTIP Shares") of common stock, par value $0.0001 per share, of the issuer were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2018 Long-Term Stock Incentive Plan (the "Grant"). The LTIP Shares associated with the Grant are scheduled to vest in equal installments, from the period from September 20, 2024 to September 20, 2026, on each September 20th, December 20th, March 20th, and June 20th, so long as the reporting person remains in the service of the issuer on each such date.

F2 · balance_after: On April 12, 2024, the issuer effected a 1-for-150 reverse stock split. The number of securities reported on this Form 4 have been adjusted to reflect the reverse stock split as the split pertained to the number of securities of the issuer that the reporting person held prior to the grant of the LTIP Shares.

SEC source: 0001104659-23-127312 · tm2333273-2_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,931

F1 · kind: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market by the issuer on behalf of the reporting person to satisfy tax obligations in connection with vesting of equity awards and were not a discretionary transaction by the reporting person.

F1 · shares: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market by the issuer on behalf of the reporting person to satisfy tax obligations in connection with vesting of equity awards and were not a discretionary transaction by the reporting person.

SEC source: 0001104659-23-122410 · tm2331821-2_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,947

F1 · kind: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market by the issuer on behalf of the reporting person to satisfy tax obligations in connection with vesting of equity awards and were not a discretionary transaction by the reporting person.

F1 · shares: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market by the issuer on behalf of the reporting person to satisfy tax obligations in connection with vesting of equity awards and were not a discretionary transaction by the reporting person.

SEC source: 0001104659-23-081342 · tm2321316-2_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,887

F1 · shares: 52,000 shares (the "LTIP Shares") of common stock, par value $0.0001 per share, of the issuer were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2018 Long-Term Stock Incentive Plan (the "Grant"). The LTIP Shares associated with the Grant are scheduled to vest in equal installments, commencing on November 15, 2023 and every six (6) months thereafter until May 15, 2026, so long as the reporting person remains in the service of the issuer on each such date.

F2 · balance_after: On January 26, 2023, the issuer effected a 1-for-100 reverse stock split. The number of securities reported on this Form 4 have been adjusted to reflect the reverse stock split as the split pertained to the number of securities of the issuer that the reporting person held prior to the grant of the LTIP Shares.

SEC source: 0001104659-22-128719 · tm2233158-2_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,191

F1 · kind: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market to satisfy tax obligations in connection with vesting of equity awards.

F1 · shares: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market to satisfy tax obligations in connection with vesting of equity awards.

SEC source: 0001104659-22-125537 · tm2232300-1_4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,787

F1 · kind: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market to satisfy tax obligations in connection with vesting of equity awards.

F1 · shares: Represents shares of common stock, par value $0.0001 per share, of the issuer sold to the open market to satisfy tax obligations in connection with vesting of equity awards.

SEC source: 0001104659-22-035668 · tm229686d1_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,295

F1 · kind: Represents shares of common stock, par value $0.0001 per share, of the issuer (the "Common Stock") withheld to satisfy payment of the Issuer's tax withholding payment obligations which were later sold by the Issuer on behalf of all vested employees to cover tax obligations and were not a discretionary transaction by the reporting person.

F1 · shares: Represents shares of common stock, par value $0.0001 per share, of the issuer (the "Common Stock") withheld to satisfy payment of the Issuer's tax withholding payment obligations which were later sold by the Issuer on behalf of all vested employees to cover tax obligations and were not a discretionary transaction by the reporting person.

SEC source: 0001104659-22-005048 · tm223220d8_4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,966

F1 · shares: 50,000 shares (the "2022 Grant") of common stock, par value $0.0001 per share, of the issuer (the "Common Stock") were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2018 Long-Term Stock Incentive Plan. The shares of Common Stock associated with the 2022 Grant are scheduled to vest as follows: 1/5th of the 2022 Grant is scheduled to vest on September 15, 2022, and the remaining 4/5th of the 2022 Grant is scheduled to vest quarterly in equal installments over the next 36 months on each December 15th, March 15th, June 15th and September 15th thereafter until September 15, 2025, with such vesting only to occur so long as the reporting person remains in the service of the issuer on each such vesting date.

SEC source: 0001104659-21-148661 · tm2135187d1_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,966

SEC source: 0001104659-21-107380 · tm2125397-1_4seq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,793

F1 · shares: Represents shares of common stock, par value $0.0001 per share, of the issuer (the "Common Stock") sold by the reporting person to satisfy tax obligations upon the vesting on August 15, 2021 of restricted shares of Common Stock and restricted stock units held by the reporting person.

SEC source: 0001104659-21-153276 · tm2136297-4_4aseq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,793

F1 · shares: This amendment is being filed to correct the original footnote regarding the disposition of the shares ("Shares") of common stock, par value $0.0001 per share (the "Common Stock"), as reported in the original Form 4. Upon the vesting on August 15, 2021 of shares of Common Stock and restricted stock units held by the reporting person, the Shares were withheld to satisfy payment of the Issuer's tax withholding payment obligations which were later sold by the Issuer on behalf of all vested employees to cover tax obligations and were not a discretionary transaction by the reporting person.

SEC source: 0001104659-21-029394 · tm218122d9_form4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,396

F1 · shares: 20,000 shares (the "2018 LTIP Shares") of common stock, par value $0.0001 per share, of the issuer (the "Common Stock") were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2018 Long-Term Stock Incentive Plan. The 2018 LTIP Shares are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2022, so long as the reporting person remains in the service of the issuer on each such anniversary.

SEC source: 0001104659-22-030711 · tm228469-8_4aseq1.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,396

F1 · security: This Form 4/A is being filed to correct a typographical error pertaining to the vesting dates of the shares on the original Form 4 filed by the reporting person on February 26, 2021 in order to state that the vesting occurs on each anniversary of March 15, 2021, which was the original commencement date of the measurement period.

F2 · shares: 20,000 shares (the "2018 LTIP Shares") of common stock, par value $0.0001 per share, of the issuer (the "Common Stock") were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2018 Long-Term Stock Incentive Plan. The 2018 LTIP Shares are scheduled to vest in equal installments on the first, second and third anniversaries of March 15, 2021, so long as the reporting person remains in the service of the issuer on each such anniversary.

SEC source: 0001104659-20-117296 · tm2034098-10_4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,396

F1 · security: Issuable upon settlement of restricted stock units of the issuer ("RSUs"), each of which represents the right to receive one share of common stock, par value $0.0001 per share, of the issuer, subject to the vesting terms of such RSUs.

F2 · date: The grant of such RSUs was approved by the issuer's board of directors on July 27, 2020, subject to stockholder approval of the issuer's 2020 Stock Incentive Plan (the "2020 Plan") under which such RSUs were granted. The 2020 Plan was approved by the issuer's stockholders on October 20, 2020.

F3 · shares: 31,000 RSUs were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2020 Plan. The RSUs are scheduled to vest in equal installments on the first, second and third anniversaries of August 15, 2020, so long as the reporting person remains in the service of the issuer on each such anniversary. Pursuant to the rules promulgated under Section 13 of the Securities Exchange Act of 1934, as amended, the Reporting Person is not deemed to be the beneficial owner of any of the RSUs until 60 days prior to the applicable vesting dates.

SEC source: 0001104659-20-086957 · tm2025562d8_4.xml · derivative · entry 2

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

Underlying: Common Stock · 31,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the right to receive one share of Common Stock, subject to the vesting terms of such RSU and the approval of the issuer's 2020 Stock Incentive Plan by the issuer's stockholders.

F3 · shares: 31,000 RSUs of the issuer were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2020 Stock Incentive Plan.

F4 · derivative.exercise_date: The RSUs are scheduled to vest in equal installments on the first, second and third anniversaries of August 15, 2020, so long as the reporting person remains in the service of the issuer on each such anniversary.

F4 · derivative.expiration_date: The RSUs are scheduled to vest in equal installments on the first, second and third anniversaries of August 15, 2020, so long as the reporting person remains in the service of the issuer on each such anniversary.

SEC source: 0001104659-20-086957 · tm2025562d8_4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,396

F1 · shares: 5,000 shares (the "2018 LTIP Shares") of common stock, par value $0.0001 per share, of the issuer (the "Common Stock") were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2018 Long-Term Stock Incentive Plan. The 2018 LTIP Shares are scheduled to vest in equal installments on the first, second and third anniversaries of August 15, 2020, so long as the reporting person remains in the service of the issuer on each such anniversary.

SEC source: 0001104659-19-065489 · tm1923415-1_4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,915

F1 · shares: The shares of common stock, par value $0.0001 per share, of the issuer were received in connection with the previously reported letter agreement with the Company that the reporting person entered into on November 3, 2019.

SEC source: 0001104659-19-057840 · tm1920501d3_4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,403

F1 · shares: The shares of common stock, par value $0.0001 per share, of the issuer (the "Shares") were received as compensation for the reporting person's service as an officer pursuant to the issuer's 2018 Long-Term Stock Incentive Plan. The Shares vest in equal installments on the first, second and third anniversaries of September 1, 2019.

SEC source: 0001144204-19-047809 · tv530901_4.xml · derivative · entry 5

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,578 shares

Expires 2022-11-30

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

SEC source: 0001144204-19-047809 · tv530901_4.xml · derivative · entry 4

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,578

Underlying: Common Stock · 3,578 shares

Expires 2022-11-30

F3 · price: Such transactions reported in Table II above reflect an amendment of a Warrant to reduce the exercise price of the Warrant from $5.40 per share to $0.79 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.

SEC source: 0001144204-19-047809 · tv530901_4.xml · derivative · entry 3

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,578

Underlying: Common Stock · 3,578 shares

Expires 2022-11-30

F2 · price: Such transactions reported in Table II above reflect an amendment of a Warrant to reduce the exercise price of the Warrant from $5.40 per share to $0.80 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.

SEC source: 0001144204-19-047809 · tv530901_4.xml · derivative · entry 2

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,156 shares

Expires 2022-11-30

F2 · price: Such transactions reported in Table II above reflect an amendment of a Warrant to reduce the exercise price of the Warrant from $5.40 per share to $0.80 per share. Such amendment is reported above as the cancellation of the original Warrant and the acquisition of a new Warrant.

SEC source: 0001144204-19-047809 · tv530901_4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,095

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

F1 · balance_after: Represents the aggregate number of outstanding shares of common stock of the issuer received upon the reporting person's exercise of all common stock purchase warrants of the issuer (the "Warrant") reported in Table II above at $0.80 per share on October 7, 2019.

SEC source: 0001144204-19-012331 · tv515558_form4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,517

F1 · shares: Represents shares of restricted common stock forfeited by the reporting person to cover tax withholding obligations in connection with the release of such stock on March 1, 2019.

F2 · balance_after: Includes (i) 58,270 shares of restricted common stock which will be released on September 1, 2019, less (ii) 17 shares of common stock that were not reported as forfeited shares in the reporting person's Form 4 that was filed on September 5, 2018 due to an inadvertent administrative error.

SEC source: 0001144204-18-048188 · tv502418_4.xml · nonDerivative · entry 1

WILLIAMS GARY · CIK 0001250879 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,804

F1 · shares: Represents shares of restricted common stock forfeited by the reporting person to cover tax withholding obligations in connection with the release of such stock on September 1, 2018.

F2 · balance_after: Includes 116,540 shares of restricted common stock which will be released in two equal tranches on March 1, 2019 and September 1, 2019.