Faulkes Martin Charles

SEC source: 0001477932-24-000410 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director · Executive Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,740,207

F1 · shares: On September 28, 2023, the reporting person was awarded 53,000 restricted stock units ("RSUs") under the Issuer's 2015 Stock Incentive Plan, subject to vesting upon the achievement of certain corporate performance goals on or prior to December 31, 2023 and June 30, 2024 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 22,525 RSUs vesting. The RSUs are further subject to a 3-year time-based vesting schedule, vesting in three installments of 7,509 units, 7,508 units, and 7,508 units on each of September 28, 2024, September 28, 2025 and September 28, 2026, respectively. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of RSUs that have vested.

SEC source: 0001477932-23-007774 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director · Executive Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,717,682

F1 · shares: On October 19, 2023, the reporting person was awarded 50,000 restricted stock units under the Issuer's 2015 Stock Incentive Plan, subject to vesting upon the achievement of a closing stock price target above $5.00 per share of the Issuer's common stock for a minimum of thirty consecutive trading days prior to October 19, 2026, and also subject to time-based vesting in a single installment six months after the timely achievement of the target, if at all. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.

SEC source: 0001477932-23-007442 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,667,682

F1 · shares: Represents the aggregate number of shares of common stock retained by VolitionRx for cancellation to satisfy the tax withholding obligations of the reporting person upon settlement of 13,000 restricted stock units. No shares were sold by the reporting person or VolitionRx in such transaction.

SEC source: 0001477932-23-006576 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,673,532

SEC source: 0001477932-23-005789 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,663,816

F1 · shares: Represents the aggregate number of shares of common stock retained by VolitionRx for cancellation to satisfy the tax withholding obligations of the reporting person upon settlement of 12,062 restricted stock units. No shares were sold by the reporting person or VolitionRx in such transaction.

SEC source: 0001477932-23-005119 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,669,243

F1 · shares: On October 4, 2022, the reporting person was awarded 39,000 restricted stock units ("RSUs") under the Issuer's 2015 Stock Incentive Plan, subject to vesting upon the achievement of certain corporate performance goals on or prior to December 31, 2022 and June 30, 2023 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 17,550 RSUs vesting. The RSUs are further subject to a 3-year time-based vesting schedule, vesting in three equal installments of 5,850 units on each of October 4, 2023, October 4, 2024 and October 4, 2025, respectively. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of RSUs that have vested. As reported in October 2022 and January 2023 respectively, the rights with respect to 6,825 RSUs and 14,625 RSUs subject to the award previously vested and remain subject to time-based vesting.

SEC source: 0001477932-23-000271 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,651,693

F1 · shares: On October 4, 2022, the reporting person was awarded 39,000 restricted stock units under the Issuer's 2015 Stock Incentive Plan, subject to vesting upon the achievement of certain corporate performance goals on or prior to December 31, 2022 and June 30, 2023 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 14,625 restricted stock units vesting. The restricted stock units are further subject to a 3-year time-based vesting schedule, vesting in three equal installments of 4,875 units on each of October 4, 2023, October 4, 2024 and October 4, 2025, respectively. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested. As reported in October 2022, the rights with respect to 6,825 restricted stock units subject to the award previously vested and remain subject to time-based vesting.

SEC source: 0001477932-22-009385 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,637,068

SEC source: 0001477932-22-007691 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,582,068

F1 · shares: On October 4, 2022, the reporting person was awarded 39,000 restricted stock units under the Issuer's 2015 Stock Incentive Plan, subject to vesting upon the achievement of certain corporate performance goals on or prior to December 31, 2022 and June 30, 2023 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 6,825 restricted stock units vesting. The restricted stock units are further subject to a 3-year time-based vesting schedule, vesting in three equal installments of 2,275 units on each of October 4, 2023, October 4, 2024 and October 4, 2025, respectively. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.

SEC source: 0001477932-22-007486 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,575,243

F1 · shares: On October 4, 2022, the reporting person was awarded 50,000 restricted stock units under the Issuer's 2015 Stock Incentive Plan, subject to vesting upon the achievement of a closing stock price target above $5.00 per share of the Issuer's common stock for a minimum of ten consecutive trading days prior to October 4, 2025, and also subject to time-based vesting in a single installment six months after the timely achievement of the target, if at all. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.

SEC source: 0001477932-22-005691 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,525,243

F1 · shares: Represents the aggregate number of shares of common stock retained by VolitionRx for cancellation to satisfy the tax withholding obligations of the reporting person upon settlement of 12,063 restricted stock units. No shares were sold by the reporting person or VolitionRx in such transaction.

SEC source: 0001477932-22-004654 · form4.xml · derivative · entry 3

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,457

Underlying: Common Stock · 28,898 shares

Expires 2031-08-03

F3 · derivative.exercise_date: On August 3, 2021, the reporting person was granted an option to purchase 44,457 shares of common stock, subject to vesting upon achievement of certain corporate performance goals on or prior to July 1, 2022 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 28,898 shares vesting. The vested shares are further subject to a 2-year time based vesting schedule, vesting in two installments of 14,450 shares and 14,448 shares on each of August 3, 2022 and August 3, 2023, respectively. As reported in April 2022, the rights with respect to the remaining 15,559 shares subject to the award previously vested and remain subject to time-based vesting.

F3 · balance_after: On August 3, 2021, the reporting person was granted an option to purchase 44,457 shares of common stock, subject to vesting upon achievement of certain corporate performance goals on or prior to July 1, 2022 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 28,898 shares vesting. The vested shares are further subject to a 2-year time based vesting schedule, vesting in two installments of 14,450 shares and 14,448 shares on each of August 3, 2022 and August 3, 2023, respectively. As reported in April 2022, the rights with respect to the remaining 15,559 shares subject to the award previously vested and remain subject to time-based vesting.

SEC source: 0001477932-22-004654 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,530,068

F1 · shares: On August 3, 2021, the reporting person was awarded 24,125 restricted stock units, subject to vesting upon achievement of certain corporate performance goals on or prior to July 1, 2022 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 15,682 restricted stock units vesting. The restricted stock units are further subject to a 2-year time-based vesting schedule, vesting in two installments of 7,842 units and 7,840 units on each of August 3, 2022 and August 3, 2023, respectively. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested. As reported in April 2022, the rights with respect to the remaining 8,443 restricted stock units subject to the award previously vested and remain subject to time-based vesting.

SEC source: 0001477932-22-002187 · form4.xml · derivative · entry 3

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,559

Underlying: Common Stock · 15,559 shares

Expires 2031-08-03

F3 · derivative.exercise_date: On August 3, 2021, the reporting person was granted an option to purchase 44,457 shares of common stock, subject to vesting upon achievement of certain corporate performance goals on or prior to July 1, 2022 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 15,559 shares vesting. The vested shares are further subject to a 2-year time based vesting schedule, vesting in two installments of 7,779 shares and 7,780 shares on each of August 3, 2022 and August 3, 2023, respectively.

F3 · balance_after: On August 3, 2021, the reporting person was granted an option to purchase 44,457 shares of common stock, subject to vesting upon achievement of certain corporate performance goals on or prior to July 1, 2022 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 15,559 shares vesting. The vested shares are further subject to a 2-year time based vesting schedule, vesting in two installments of 7,779 shares and 7,780 shares on each of August 3, 2022 and August 3, 2023, respectively.

SEC source: 0001477932-22-002187 · form4.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,514,386

F1 · shares: On August 3, 2021, the reporting person was awarded 24,125 restricted stock units, subject to vesting upon achievement of certain corporate performance goals on or prior to July 1, 2022 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 8,443 restricted stock units vesting. The restricted stock units are further subject to a 2-year time-based vesting schedule, vesting in two installments of 4,221 units and 4,222 units on each of August 3, 2022 and August 3, 2023, respectively. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested.

SEC source: 0001477932-21-007863 · form4.xml · derivative · entry 6

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-01-23

F3 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on January 23, 2018, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on January 23, 2028 (ten years from the original date of grant).

F3 · price: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on January 23, 2018, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on January 23, 2028 (ten years from the original date of grant).

SEC source: 0001477932-21-007863 · form4.xml · derivative · entry 5

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2024-01-23

F3 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on January 23, 2018, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on January 23, 2028 (ten years from the original date of grant).

F3 · price: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on January 23, 2018, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on January 23, 2028 (ten years from the original date of grant).

SEC source: 0001477932-21-007863 · form4.xml · derivative · entry 4

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,467

Underlying: Common Stock · 33,467 shares

Expires 2027-03-30

F2 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on March 30, 2017, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on March 30, 2027 (ten years from the original date of grant).

F2 · price: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on March 30, 2017, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on March 30, 2027 (ten years from the original date of grant).

SEC source: 0001477932-21-007863 · form4.xml · derivative · entry 3

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,467 shares

Expires 2023-03-23

F2 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on March 30, 2017, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on March 30, 2027 (ten years from the original date of grant).

F2 · price: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on March 30, 2017, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on March 30, 2027 (ten years from the original date of grant).

SEC source: 0001477932-21-007863 · form4.xml · derivative · entry 2

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2026-04-15

F1 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on April 15, 2016, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on April 15, 2026 (ten years from the original date of grant).

F1 · price: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on April 15, 2016, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on April 15, 2026 (ten years from the original date of grant).

SEC source: 0001477932-21-007863 · form4.xml · derivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,000 shares

Expires 2022-04-15

F1 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on April 15, 2016, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on April 15, 2026 (ten years from the original date of grant).

F1 · price: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on April 15, 2016, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on April 15, 2026 (ten years from the original date of grant).

SEC source: 0001477932-21-006594 · form4.xml · derivative · entry 4

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-04-13

F2 · kind: The reported transactions involved a cancellation and reissuance of outstanding options upon agreement of the reporting person. The "old" options were originally granted on April 13, 2020 and vested in full at 12 months from the date of grant, and were exercisable until April 13, 2026. The "replacement" options are fully-vested on the date of grant and have an expiration date of April 13, 2030.

SEC source: 0001477932-21-006594 · form4.xml · derivative · entry 2

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,533

Underlying: Common Stock · 66,533 shares

Expires 2027-03-30

F1 · kind: The reported transactions involved a cancellation and reissuance of outstanding options upon agreement of the reporting person. The "old" options were originally granted on December 16, 2019, vested in full on the date of grant, and were exercisable until March 30, 2023. The "replacement" options are fully-vested on the date of grant and have an expiration date of March 30, 2027.

SEC source: 0001078782-21-000679 · primary_doc.xml · derivative · entry 2

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2025-07-23

F1 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on July 23, 2015, vested in full and were exercisable at 6 months from the date of grant, and as amended were exercisable for five years and six months from the date first exercisable. The "replacement" options are fully-vested and expire on July 23, 2025 (ten years from the date of grant).

F1 · price: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on July 23, 2015, vested in full and were exercisable at 6 months from the date of grant, and as amended were exercisable for five years and six months from the date first exercisable. The "replacement" options are fully-vested and expire on July 23, 2025 (ten years from the date of grant).

SEC source: 0001078782-21-000679 · primary_doc.xml · derivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2021-07-23

F1 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on July 23, 2015, vested in full and were exercisable at 6 months from the date of grant, and as amended were exercisable for five years and six months from the date first exercisable. The "replacement" options are fully-vested and expire on July 23, 2025 (ten years from the date of grant).

F1 · price: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on July 23, 2015, vested in full and were exercisable at 6 months from the date of grant, and as amended were exercisable for five years and six months from the date first exercisable. The "replacement" options are fully-vested and expire on July 23, 2025 (ten years from the date of grant).

SEC source: 0001078782-20-000687 · primary_doc.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,505,943

F1 · kind: The shares of Common Stock were sold by the reporting person in a private transaction to Lagoda Investment Management, L.P., an existing stockholder of the Issuer.

SEC source: 0001078782-20-000559 · primary_doc.xml · derivative · entry 7

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2020-08-18

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: 0001078782-20-000559 · primary_doc.xml · derivative · entry 6

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2020-08-18

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: 0001078782-20-000559 · primary_doc.xml · nonDerivative · entry 4

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,570,943

F1 · shares: Represents the aggregate number of shares of common stock retained by VolitionRx for cancellation as payment of the exercise price in a cashless exercise and to satisfy the tax withholding obligations of the Reporting Person. No shares were sold by the Reporting Person or VolitionRx in such cashless exercise transaction.

SEC source: 0001078782-20-000559 · primary_doc.xml · nonDerivative · entry 3

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,597,120

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: 0001078782-20-000559 · primary_doc.xml · nonDerivative · entry 2

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,567,120

F1 · shares: Represents the aggregate number of shares of common stock retained by VolitionRx for cancellation as payment of the exercise price in a cashless exercise and to satisfy the tax withholding obligations of the Reporting Person. No shares were sold by the Reporting Person or VolitionRx in such cashless exercise transaction.

SEC source: 0001078782-20-000559 · primary_doc.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,591,284

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: 0001078782-20-000263 · primary_doc.xml · derivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2026-04-13

F1 · derivative.exercise_date: A total of 70,000 Options were granted on April 13, 2020 under the Company's 2015 Stock Incentive Plan. The Options vest in full twelve months from the date of grant.

SEC source: 0001477932-21-006594 · form4.xml · derivative · entry 3

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,000 shares

Expires 2026-04-13

F2 · kind: The reported transactions involved a cancellation and reissuance of outstanding options upon agreement of the reporting person. The "old" options were originally granted on April 13, 2020 and vested in full at 12 months from the date of grant, and were exercisable until April 13, 2026. The "replacement" options are fully-vested on the date of grant and have an expiration date of April 13, 2030.

SEC source: 0001078782-19-000925 · primary_doc.xml · derivative · entry 2

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 66,533 shares

Expires 2023-03-30

F1 · kind: The reported transactions involved a cancellation and reissuance of a portion of outstanding options upon agreement of the reporting person. The "old" options were originally granted on March 30, 2017 and vested in full at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested on the date of grant and have the same expiration date and exercise price as the "old" options.

SEC source: 0001078782-19-000925 · primary_doc.xml · derivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,467

Underlying: Common Stock · 100,000 shares

Expires 2023-03-30

F1 · kind: The reported transactions involved a cancellation and reissuance of a portion of outstanding options upon agreement of the reporting person. The "old" options were originally granted on March 30, 2017 and vested in full at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested on the date of grant and have the same expiration date and exercise price as the "old" options.

SEC source: 0001477932-21-006594 · form4.xml · derivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 66,533 shares

Expires 2023-03-30

F1 · kind: The reported transactions involved a cancellation and reissuance of outstanding options upon agreement of the reporting person. The "old" options were originally granted on December 16, 2019, vested in full on the date of grant, and were exercisable until March 30, 2023. The "replacement" options are fully-vested on the date of grant and have an expiration date of March 30, 2027.

SEC source: 0001078782-19-000687 · primary_doc.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,561,284

SEC source: 0001078782-19-000676 · primary_doc.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,551,284

SEC source: 0001078782-19-000517 · primary_doc.xml · nonDerivative · entry 2

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,501,284

SEC source: 0001078782-19-000517 · primary_doc.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,491,284

SEC source: 0001078782-19-000506 · primary_doc.xml · nonDerivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,422,015

SEC source: 0001078782-19-000129 · primary_doc.xml · derivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2025-02-11

F1 · derivative.exercise_date: A total of 50,000 Options were granted on February 11, 2019 under the Company's 2015 Stock Incentive Plan. The Options vest in full twelve months from the date of grant.

SEC source: 0001078782-18-001449 · primary_doc.xml · derivative · entry 6

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2021-07-23

F2 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on July 23, 2015 and vested in full at 6 months from the date of grant, and were exercisable for four years from the date first exercisable. The "replacement" options are fully-vested and expire on July 23, 2021.

SEC source: 0001078782-18-001449 · primary_doc.xml · derivative · entry 5

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2020-01-23

F2 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on July 23, 2015 and vested in full at 6 months from the date of grant, and were exercisable for four years from the date first exercisable. The "replacement" options are fully-vested and expire on July 23, 2021.

SEC source: 0001078782-18-001449 · primary_doc.xml · derivative · entry 4

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2020-08-18

F1 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on August 18, 2014 and vested in two equal installments at 6 months and at 18 months from the date of grant, and were exercisable for four years from the date first exercisable. The "replacement" options are fully-vested and both installments expire on August 18, 2020.

SEC source: 0001078782-18-001449 · primary_doc.xml · derivative · entry 3

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2020-08-18

F1 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on August 18, 2014 and vested in two equal installments at 6 months and at 18 months from the date of grant, and were exercisable for four years from the date first exercisable. The "replacement" options are fully-vested and both installments expire on August 18, 2020.

SEC source: 0001078782-18-001449 · primary_doc.xml · derivative · entry 2

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2020-02-18

F1 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on August 18, 2014 and vested in two equal installments at 6 months and at 18 months from the date of grant, and were exercisable for four years from the date first exercisable. The "replacement" options are fully-vested and both installments expire on August 18, 2020.

SEC source: 0001078782-18-001449 · primary_doc.xml · derivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2019-02-18

F1 · kind: The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on August 18, 2014 and vested in two equal installments at 6 months and at 18 months from the date of grant, and were exercisable for four years from the date first exercisable. The "replacement" options are fully-vested and both installments expire on August 18, 2020.

SEC source: 0001078782-18-000072 · primary_doc.xml · derivative · entry 1

Faulkes Martin Charles · CIK 0001577872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-01-23

F1 · derivative.exercise_date: A total of 50,000 Options were granted on January 23, 2018 under the Company's 2015 Stock Incentive Plan. The Options vest in full twelve months from the date of grant.