Miller Carleton M

SEC source: 0001493152-23-045787 · ownership.xml · derivative · entry 3

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,961 shares

Expires 2030-01-22

F3 · kind: On December 21, 2023, the Reporting Person voluntarily agreed to relinquish a previously issued option to purchase 30,461 shares of Common Stock granted to the Reporting Person on January 22, 2020, which includes 12,500 Performance-Vested Options and 17,961 Time-Vested Options.

F5 · derivative.exercise_date: The Time-Vested Option would have become exercisable in full by January 22, 2024.

SEC source: 0001493152-23-045787 · ownership.xml · derivative · entry 2

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2030-01-22

F3 · kind: On December 21, 2023, the Reporting Person voluntarily agreed to relinquish a previously issued option to purchase 30,461 shares of Common Stock granted to the Reporting Person on January 22, 2020, which includes 12,500 Performance-Vested Options and 17,961 Time-Vested Options.

F4 · derivative.exercise_date: The Performance-Vested Option would have vested in three equal tranches of 500,000 shares upon the Issuer's attainment, on or before the fifth anniversary of the award date, of specified cumulative EBITDA performance conditions in the Option Agreement dated as of January 22, 2020, subject in each case to the Reporting Person's continued employment by the Issuer on the applicable vesting date. None of these options have vested.

SEC source: 0001493152-23-045787 · ownership.xml · nonDerivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,079

F1 · shares: Reflects the issuance of 30,006 shares of Common Stock, net of shares witheld to pay taxes, upon vesting and delivery to the Reporting Person of the time-based tranche of 14,970 restricted stock units awarded in March 2021 and 23,673 restricted stock units awarded in February 2022.

F2 · balance_after: Includes 38,643 shares of Common Stock that have vested pursuant to previously issued restricted stock units; also includes an additional 82,124 shares of Common Stock issuable pursuant to restricted stock units that will potentially vest by December 1, 2026. All such vested and unvested shares were previously reported on a Form 4 at the time of grant.

SEC source: 0001493152-22-036619 · ownership.xml · nonDerivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,583,912

F1 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $0.5138 to $0.61 per share. 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 bought by him at each separate price on December 23, 2022.

F2 · balance_after: Includes 1,247,881 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 2,315,601 shares issuable pursuant to Restricted Stock Units that will potentially vest by December 1, 2026. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001493152-22-036543 · ownership.xml · nonDerivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,444,398

F1 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $0.475 to $0.50 per share. 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 bought by him at each separate price on December 22, 2022.

F2 · balance_after: Includes 1,247,881 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 2,315,601 shares issuable pursuant to Restricted Stock Units that will potentially vest by December 1, 2026. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001493152-22-036217 · ownership.xml · nonDerivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,333,304

F1 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $0.4342 to $0.47 per share. 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 bought by him at each separate price on December 20, 2022.

F2 · balance_after: Includes 1,247,881 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 2,315,601 shares issuable pursuant to Restricted Stock Units that will potentially vest by December 1, 2026. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001493152-22-035992 · ownership.xml · nonDerivative · entry 2

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,239,284

F2 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $0.3999 to $0.45 per share. 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 bought by him at each separate price on December 19, 2022.

F3 · balance_after: Includes 1,247,881 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 2,315,601 shares issuable pursuant to Restricted Stock Units that will potentially vest by December 1, 2026. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001493152-22-035992 · ownership.xml · nonDerivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,879,001

F1 · price: The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $0.36 to $0.41 per share. 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 bought by him at each separate price on December 16, 2022.

SEC source: 0001493152-22-017284 · ownership.xml · nonDerivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,533,912

F1 · shares: Reflects the netting of 256,602 shares to pay withholding taxes due to vesting and delivery to the reporting person of the (i) performance-based tranche of 898,665 restricted stock units and (ii) time-based tranche of 249,442 restricted stock units awarded in March 2021.

F2 · balance_after: Includes 2,415,375 of shares issuable pursuant to previously reported restricted stock units that have not yet vested and been settled.

SEC source: 0001493152-22-005029 · ownership.xml · nonDerivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,775,546

F1 · security: Restricted Stock Units ("RSUs").

F2 · shares: Each RSU represents a contingent right to receive one share of common stock of the Issuer.

F3 · shares: 258,269 of the RSUs vest on February 16, 2022, and 21,522.4167 of the RSUs vest in substantially equal monthly increments over the 36-month period thereafter. 1,033,076 of the RSUs vest in three equal tranches on or prior to December 31, 2026, subject to the Issuer achieving certain revenue levels in any trailing four-quarter fiscal period. The RSUs will become fully vested if, during the 13 month period commencing on a Change In Control of the Issuer, the Issuer terminates the Reporting Person's employment without Cause or he terminates his employment for Good Reason (as such terms defined in the Reporting "Person's" Employment Agreement).

SEC source: 0001493152-21-009490 · ownership.xml · nonDerivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,478

SEC source: 0001493152-21-005472 · ownership.xml · derivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,497,330

Underlying: Common Stock · 1,497,330 shares

Expires not disclosed

F1 · security: Restricted Stock Units ("RSUs").

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock of the Issuer.

F3 · derivative.exercise_date: 199,555 of the RSUs vest on March 3, 2022, and 399,110 of the RSUs vest in substantially equal monthly increments over the 24-month period thereafter. 898,665 of the RSUs vest in three equal tranches on or prior to December 31, 2025, subject to the Issuer achieving certain revenue levels in any trailing four-quarter fiscal period. The RSUs will become fully vested if, during the 13 month period commencing on a change in control of the Issuer, the Issuer terminates the Reporting Person's employment without Cause (as defined in the Reporting Person's Employment Agreement) or he terminates his employment for Good Reason (as defined in the Reporting Person's Employment Agreement).

F3 · derivative.expiration_date: 199,555 of the RSUs vest on March 3, 2022, and 399,110 of the RSUs vest in substantially equal monthly increments over the 24-month period thereafter. 898,665 of the RSUs vest in three equal tranches on or prior to December 31, 2025, subject to the Issuer achieving certain revenue levels in any trailing four-quarter fiscal period. The RSUs will become fully vested if, during the 13 month period commencing on a change in control of the Issuer, the Issuer terminates the Reporting Person's employment without Cause (as defined in the Reporting Person's Employment Agreement) or he terminates his employment for Good Reason (as defined in the Reporting Person's Employment Agreement).

SEC source: 0001493152-20-001050 · ownership.xml · derivative · entry 2

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,155,481

Underlying: Common Stock · 2,155,481 shares

Expires not disclosed

F2 · derivative.exercise_date: Pursuant to the Notice of Grant of Stock Option for Time-Vested Options and Stock Option Agreement by and between the Issuer and the Reporting Person, dated as of January 22, 2020, 25% of the Time-Vested Option vests on January 22, 2021 and the remaining 75% vests in substantially equal monthly installments over the 36-month period following such date, subject to the Reporting Person's continued employment by the Issuer on the applicable vesting date. These options were granted outside of the Issuer's existing equity compensation plans as an inducement material to the Reporting Person's becoming an employee of the Issuer, in accordance with Nasdaq Listing Rule 5635(c)(4).

F2 · derivative.expiration_date: Pursuant to the Notice of Grant of Stock Option for Time-Vested Options and Stock Option Agreement by and between the Issuer and the Reporting Person, dated as of January 22, 2020, 25% of the Time-Vested Option vests on January 22, 2021 and the remaining 75% vests in substantially equal monthly installments over the 36-month period following such date, subject to the Reporting Person's continued employment by the Issuer on the applicable vesting date. These options were granted outside of the Issuer's existing equity compensation plans as an inducement material to the Reporting Person's becoming an employee of the Issuer, in accordance with Nasdaq Listing Rule 5635(c)(4).

SEC source: 0001493152-20-001050 · ownership.xml · derivative · entry 1

Miller Carleton M · CIK 0001292833 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Pursuant to the Notice of Grant of Stock Option for Performance-Vested Options and Stock Option Agreement by and between the Issuer and the Reporting Person, dated as of January 22, 2020, the Performance-Vested Option vests in three equal tranches of 500,000 shares upon the Issuer's attainment, on or before the fifth anniversary of such date, of specified cumulative EBITDA performance conditions, subject in each case to the Reporting Person's continued employment by the Issuer on the applicable vesting date. These options were granted outside of the Issuer's existing equity compensation plans as an inducement material to the Reporting Person's becoming an employee of the Issuer, in accordance with Nasdaq Listing Rule 5635(c)(4).

F1 · derivative.expiration_date: Pursuant to the Notice of Grant of Stock Option for Performance-Vested Options and Stock Option Agreement by and between the Issuer and the Reporting Person, dated as of January 22, 2020, the Performance-Vested Option vests in three equal tranches of 500,000 shares upon the Issuer's attainment, on or before the fifth anniversary of such date, of specified cumulative EBITDA performance conditions, subject in each case to the Reporting Person's continued employment by the Issuer on the applicable vesting date. These options were granted outside of the Issuer's existing equity compensation plans as an inducement material to the Reporting Person's becoming an employee of the Issuer, in accordance with Nasdaq Listing Rule 5635(c)(4).