(4)
Includes (a) 20,718 shares of common stock, (b) 392,618 shares of common stock issuable upon the exercise of options to purchase common stock (and excludes 232,331 shares of common stock issuable upon the exercise of options to purchase common stock that will not be vested within 60 days of April 1, 2022) and (c) 274,000 shares of restricted stock, all of which have voting rights and none of which are vested or will vest within 60 days of April 1, 2022.
(5)
Includes (a) 5,000 shares of common stock, (b) 80,000 shares of common stock issuable upon the exercise of options to purchase common stock (and excludes 7,500 shares of common stock issuable upon the exercise of options to purchase common stock that will not be vested within 60 days of April 1, 2022) and (c) 5,000 shares of restricted stock, all of which have voting rights and none of which are vested or will vest within 60 days of April 1, 2022
(6)
Includes (a) 110,000 shares of common stock issuable upon the exercise of options to purchase common stock (and excludes 7,500 shares of common stock issuable upon the exercise of options to purchase common stock that will not be vested within 60 days of April 1, 2022) and (b) 5,000 shares of restricted stock, all of which have voting rights and none of which are vested or will vest within 60 days of April 1, 2022.
(7)
Includes (a) 117,865 shares of common stock issuable upon the exercise of options to purchase common stock (and excludes 7,500 shares of common stock issuable upon the exercise of options to purchase common stock that will not be vested within 60 days of April 1, 2022) and (b) 5,000 shares of restricted stock, all of which have voting rights and none of which are vested or will vest within 60 days of April 1, 2022.
(8)
Includes (a) 110,000 shares of common stock issuable upon the exercise of options to purchase common stock (and excludes 7,500 shares of common stock issuable upon the exercise of options to purchase common stock that will not be vested within 60 days of April 1, 2022) and (b) 5,000 shares of restricted stock, all of which have voting rights and none of which are vested or will vest within 60 days of April 1, 2022.
(9)
Includes (a) 122,055 shares of common stock issuable upon the exercise of options to purchase common stock (and excludes 7,500 shares of common stock issuable upon the exercise of options to purchase common stock that will not be vested within 60 days of April 1, 2022) and (b) 5,000 shares of restricted stock, all of which have voting rights and none of which are vested or will vest within 60 days of April 1, 2022.
(10)
Includes (a) 65,000 shares of common stock issuable upon the exercise of options to purchase common stock (and excludes 7,500 shares of common stock issuable upon the exercise of options to purchase common stock that will not be vested within 60 days of April 1, 2022) and (b) 5,000 shares of restricted stock, all of which have voting rights and none of which are vested or will vest within 60 days of April 1, 2022.
(11)
Includes (a) 604,268 shares of common stock, (b) 2,989,345 shares of common stock issuable upon the exercise of options to purchase common stock (and excludes 1,322,066 shares of common stock issuable upon the exercise of options to purchase common stock that will not be vested within 60 days of April 1, 2022) and (c) 1,308,822 shares of restricted stock, all of which have voting rights and will not be vested within 60 days of April 1, 2022.
(12)
Based solely on a Schedule 13G/A filed with the SEC on February 14, 2022, ETF Managers Group LLC has sole voting and dispositive power of 3,526,304 shares of common stock, and the ETFMG Alternative Harvest ETF, a series of the ETF Managers Trust, which is managed on a discretionary basis by ETF Managers Group LLC, has the right or the power to direct the receipt of dividends, or the proceeds from the sale of, the common stock. The address of ETF Managers Group LLC is 30 Maple Street, Suite 2, Summit, New Jersey 07091.
Changes in Control
We are not aware of or a party to any arrangements, including any pledge by any person of our securities, the operation of which may at a subsequent date result in a change of control.
CERTAIN RELATIONSHIPS AND RELATED PARTY TRANSACTIONS
Other than equity and other compensation, termination, change of control and other arrangements, which are described under “Executive Compensation” and “Director Compensation,” respectively, since