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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(
e.g.
, puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date (MM/DD/YY)
|
3A. Deemed Execution Date, if any (MM/DD/YY)
|
4. Transaction Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
|
6. Date Exercisable and Expiration Date
(MM/DD/YY)
|
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
|
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Founder Stock Options (Obligation to Sell) |
$
3.59 |
01/13/2021 |
|
X(
1
)(
5
) |
|
|
75,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
75,000 |
$
0 |
55,155 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/14/2021 |
|
X(
1
)(
5
) |
|
|
7,500 |
06/03/2020 |
12/31/2028 |
Common Stock |
7,500 |
$
0 |
3,086,100 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/15/2021 |
|
X(
1
)(
5
) |
|
|
7,500 |
06/03/2020 |
12/31/2028 |
Common Stock |
7,500 |
$
0 |
3,078,600 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/19/2021 |
|
X(
1
)(
5
) |
|
|
3,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
3,000 |
$
0 |
3,075,600 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/20/2021 |
|
X(
1
)(
5
) |
|
|
7,500 |
06/03/2020 |
12/31/2028 |
Common Stock |
7,500 |
$
0 |
3,068,100 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/21/2021 |
|
X(
1
)(
5
) |
|
|
3,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
3,000 |
$
0 |
3,065,100 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/22/2021 |
|
X(
1
)(
5
) |
|
|
3,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
3,000 |
$
0 |
3,062,100 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/25/2021 |
|
X(
1
)(
5
) |
|
|
42,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
42,000 |
$
0 |
3,010,100 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/26/2021 |
|
X(
1
)(
5
) |
|
|
7,500 |
06/03/2020 |
12/31/2028 |
Common Stock |
7,500 |
$
0 |
3,012,600 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/27/2021 |
|
X(
1
)(
5
) |
|
|
36,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
36,000 |
$
0 |
2,976,600 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/28/2021 |
|
X(
1
)(
5
) |
|
|
36,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
36,000 |
$
0 |
2,940,600 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
01/29/2021 |
|
X(
1
)(
5
) |
|
|
18,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
18,000 |
$
0 |
2,922,600 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
02/01/2021 |
|
X(
1
)(
5
) |
|
|
18,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
18,000 |
$
0 |
2,904,600 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
02/02/2021 |
|
X(
1
)(
5
) |
|
|
18,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
18,000 |
$
0 |
2,886,600 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
02/03/2021 |
|
X(
1
)(
5
) |
|
|
7,655 |
06/03/2020 |
12/31/2028 |
Common Stock |
7,655 |
$
0 |
2,878,945 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
02/04/2021 |
|
X(
1
)(
5
) |
|
|
20,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
20,000 |
$
0 |
2,858,945 |
I |
By M&M Residual, LLC (
3
) |
Founder Stock Options (Obligation to Sell) |
$
1.06 |
02/12/2021 |
|
X(
1
)(
5
) |
|
|
120,000 |
06/03/2020 |
12/31/2028 |
Common Stock |
120,000 |
$
0 |
2,738,945 |
I |
By M&M Residual, LLC (
3
) |
|