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Ownership percentages were obtained from Schedule 13G filings and reflect the number of shares of Common Stock held as of December 31, 2019, except as otherwise stated.
(1)
Includes 5,000 shares of Common Stock purchased in the open market on February 28, 2020, March 2, 2020 and March 3, 2020.
(2)
Includes shares of Common Stock issuable pursuant to presently exercisable stock options granted to Ms. Burdett of 3,325 shares.
(3)
Includes 3,325 shares of Common Stock issued pursuant to an exercise of stock options on March 4, 2020.
(4)
Includes 16,522 shares of Common Stock issuable pursuant to presently exercisable stock options and stock options that will become exercisable within 60 days of March 2, 2020; also includes 11,970 shares underlying RSAs granted under the 2012 Stock Plan that carry full voting rights and 10,960 shares underlying PSAs granted under the 2012 Stock Plan that carry full voting rights.
(5)
Includes 169,714 shares of Common Stock issuable pursuant to presently exercisable stock options and stock options that will become exercisable within 60 days of March 2, 2020.
(6)
Includes 13,353 shares of Common Stock issuable pursuant to presently exercisable stock options and stock options that will become exercisable within 60 days of March 2, 2020; also includes 11,529 shares underlying RSAs granted under the 2012 Stock Plan that carry full voting rights and 15,120 shares underlying PSAs granted under the 2012 Stock Plan that carry full voting rights; and also includes 17,194 shares of Common Stock purchased in the open market on February 28, 2020 and March 3, 2020.
(7)
Includes 56,391 shares underlying RSAs granted under the Inducement Restricted Share Award Agreement dated November 20, 2019 pursuant to the inducement grant exception under NYSE Listing Company Manual Rule 303A.08 (“Rule 303A.08”) that carry full voting rights; also includes 51,020 shares underlying PSAs granted under the Inducement Performance Share Award Agreement dated November 20, 2019 pursuant to Rule 303A.08 that carry full voting rights; and also includes 9,340 shares of Common Stock purchased in the open market on March 3, 2020.
(8)
Includes 24,812 shares of Common Stock issuable pursuant to presently exercisable stock options and stock options that will become exercisable within 60 days of March 2, 2020, also includes 4,490 shares underlying RSAs granted under the 2012 Stock Plan that carry full voting rights and 10,960 shares underlying PSAs granted under the 2012 Stock Plan that carry full voting rights; and also includes 7,500 shares of Common Stock purchased in the open market on February 28, 2020.
(9)
Includes 24,576 shares of Common Stock issuable pursuant to presently exercisable stock options and stock options that will become exercisable within 60 days of March 2, 2020; also includes 6,125 shares underlying RSAs granted under the 2012 Stock Plan that carry full voting rights and 13,060 shares underlying PSAs granted under the 2012 Stock Plan that carry full voting rights.
(10)
Includes 252,302 shares of Common Stock issuable pursuant to presently exercisable stock options and stock options that will become exercisable within 60 days of March 2, 2020; and also includes 90,505 shares underlying RSAs granted under the 2012 Stock Plan or Rule 303A.08 that carry full voting rights and 109,666 shares underlying PSAs granted under the 2012 Stock Plan or Rule 303A.08 that carry full voting rights; and also includes 15,006 shares of Common Stock purchased in the open market on March 3, 2020, March 4, 2020 and March 6, 2020.
(11)
Based on information reported in Amendment No. 10 to Schedule 13G dated February 3, 2020 and filed with the SEC on February 4, 2020 by BlackRock, Inc. (“BlackRock”), a holding company. As set forth in said filing, BlackRock had sole voting power with respect to 2,713,497 shares and sole dispositive power over all of the shares held.
(12)
Based on information reported in Amendment No. 20 to Schedule 13G dated and filed with the SEC on February 12, 2020 by Dimensional Fund Advisors LP (“Dimensional”), an investment adviser reporting on behalf of certain Funds. As set forth in said filing, Dimensional had sole voting power with respect to 1,352,683 shares and sole dispositive power with respect to 1,402,173 shares held. Dimensional disclaims beneficial ownership of all securities of the Issuer held in the Funds.
(13)
Based on information reported in a Schedule 13G Amendment dated February 10, 2020 and filed with the SEC on February 11, 2020, by The Vanguard Group (“Vanguard”), an investment advisor. As set forth in said filings, Vanguard had sole voting power with respect to 16,581 shares and sole dispositive power with respect to 1,141,191 shares held.
(14)
Based on information reported in a Schedule 13G dated and filed with the SEC on February 13, 2020 by Neuberger Berman Group LLC (“Neuberger”), an investment adviser. As set forth in said filing, Neuberger does not have sole voting power or sole dispositive power over any shares held.
DELINQUENT SECTION 16(a) REPORTS
Section 16(a) of the Exchange Act requires the Company’s executive officers, Directors, persons who own more than 10% of a registered class of the Company’s equity securities, and certain entities associated with the foregoing (“Reporting Persons”) to file reports of ownership and changes in ownership on Forms 3, 4 and 5 (“Beneficial Ownership Reports”) with the SEC and furnish copies of such reports to the Company. Based solely on the reports received by the Company and on written representations from reporting persons, except as noted below, the Company believes that the Directors, executive officers and greater than 10% beneficial owners all complied with the Section 16(a) filing requirements during the fiscal year ended December 31, 2019. On October 30, 2019, due to an administrative error, each of the eight (8) non-employee Directors filed amended Forms 4 to correct the number of shares granted to each of them by the Company on October 26, 2019 that were originally reported on Forms 4 filed on October 28, 2019.