ALDX

SEC source: 0000950170-23-031786 · ownership.xml · derivative · entry 1

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,222

Underlying: Common Stock · 21,222 shares

Expires 2033-06-29

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031781 · ownership.xml · derivative · entry 3

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,464

Underlying: Common Stock · 1,464 shares

Expires 2033-06-29

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031781 · ownership.xml · derivative · entry 2

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,372

Underlying: Common Stock · 1,372 shares

Expires 2033-06-29

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Audit Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031781 · ownership.xml · derivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,222

Underlying: Common Stock · 21,222 shares

Expires 2033-06-29

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031775 · ownership.xml · derivative · entry 2

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 915

Underlying: Common Stock · 915 shares

Expires 2033-06-29

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031775 · ownership.xml · derivative · entry 1

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,222

Underlying: Common Stock · 21,222 shares

Expires 2033-06-29

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-23-016709 · doc4.xml · derivative · entry 2

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,604 shares

Expires 2023-09-07

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.

F1 · derivative.exercise_date: The stock option is fully vested.

SEC source: 0000899243-23-016709 · doc4.xml · nonDerivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,248

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: 0000950170-24-116048 · ownership.xml · nonDerivative · entry 2

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 922

F1 · kind: The purchases reported herein were executed under the trading discretion of an investment advisor in a managed account, without any instruction from or knowledge of the Reporting Person. The Reporting Person only recently become aware of these transactions.

SEC source: 0000899243-23-006746 · doc4.xml · derivative · entry 1

Greenberg Bruce · CIK 0001928391 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,028

Underlying: Common Stock · 110,028 shares

Expires 2033-02-27

F1 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2023.

SEC source: 0000899243-23-006748 · doc4.xml · derivative · entry 1

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,258

Underlying: Common Stock · 220,258 shares

Expires 2033-02-27

F1 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2023.

SEC source: 0000899243-23-006742 · doc4.xml · derivative · entry 2

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-02-27

F2 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2023.

SEC source: 0000899243-23-006742 · doc4.xml · nonDerivative · entry 1

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,455,285

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on January 1, 2023, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.

SEC source: 0001062993-22-017733 · form4.xml · nonDerivative · entry 2

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,350,085

F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.765 to $7.99 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F3 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-017733 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,335,085

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.90 to $7.66 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F3 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-017623 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,235,085

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.12 to $7.47 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-017559 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,138,085

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.45 to $7.25 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-017481 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,997,085

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.83 to $6.30 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-017393 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,901,985

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.70 to $5.90 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-017281 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,801,985

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.375 to $5.695 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-017202 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,389,579

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.97 to $5.10 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-017083 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,245,394

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.035 to $5.0395, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-22-016987 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,023,271

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.985 to $5.005, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of purchased at each separate price within such range.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0000899243-22-026345 · doc4.xml · nonDerivative · entry 1

Greenberg Bruce · CIK 0001928391 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,900

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on July 15, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.

SEC source: 0000899243-22-026346 · doc4.xml · derivative · entry 1

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 604,308

Underlying: Common Stock · 604,308 shares

Expires not disclosed

F1 · derivative.exercise_price: Subject to and conditioned upon the acceptance by the U.S. Food and Drug Administration of the Issuer's submission of a New Drug Application for reproxalap, the bonus units vest ratably in equal annual installments over a four-year period beginning on July 15, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The Reporting Person will be entitled to receive a cash payment for each vested bonus unit, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the closing price per share of the Company's common stock on The Nasdaq Capital Market on the payment date.

F1 · derivative.exercise_date: Subject to and conditioned upon the acceptance by the U.S. Food and Drug Administration of the Issuer's submission of a New Drug Application for reproxalap, the bonus units vest ratably in equal annual installments over a four-year period beginning on July 15, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The Reporting Person will be entitled to receive a cash payment for each vested bonus unit, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the closing price per share of the Company's common stock on The Nasdaq Capital Market on the payment date.

F1 · derivative.expiration_date: Subject to and conditioned upon the acceptance by the U.S. Food and Drug Administration of the Issuer's submission of a New Drug Application for reproxalap, the bonus units vest ratably in equal annual installments over a four-year period beginning on July 15, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The Reporting Person will be entitled to receive a cash payment for each vested bonus unit, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the closing price per share of the Company's common stock on The Nasdaq Capital Market on the payment date.

SEC source: 0000899243-22-026344 · doc4.xml · derivative · entry 3

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,473

Underlying: Common Stock · 69,473 shares

Expires not disclosed

F3 · derivative.exercise_price: Subject to and conditioned upon the acceptance by the U.S. Food and Drug Administration of the Issuer's submission of a New Drug Application for reproxalap, the bonus units vest ratably in equal annual installments over a four-year period beginning on July 15, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The Reporting Person will be entitled to receive a cash payment for each vested bonus unit, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the closing price per share of the Company's common stock on The Nasdaq Capital Market on the payment date.

F3 · derivative.exercise_date: Subject to and conditioned upon the acceptance by the U.S. Food and Drug Administration of the Issuer's submission of a New Drug Application for reproxalap, the bonus units vest ratably in equal annual installments over a four-year period beginning on July 15, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The Reporting Person will be entitled to receive a cash payment for each vested bonus unit, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the closing price per share of the Company's common stock on The Nasdaq Capital Market on the payment date.

F3 · derivative.expiration_date: Subject to and conditioned upon the acceptance by the U.S. Food and Drug Administration of the Issuer's submission of a New Drug Application for reproxalap, the bonus units vest ratably in equal annual installments over a four-year period beginning on July 15, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The Reporting Person will be entitled to receive a cash payment for each vested bonus unit, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the closing price per share of the Company's common stock on The Nasdaq Capital Market on the payment date.

SEC source: 0000899243-22-026344 · doc4.xml · nonDerivative · entry 1

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,263

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on July 15, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.

SEC source: 0000899243-22-024133 · doc4.xml · nonDerivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,967

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.475 to $3.4756, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0000899243-22-024132 · doc4.xml · nonDerivative · entry 1

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,216,535

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.3591 to $3.3693, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of securities purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0000899243-22-021633 · doc4.xml · derivative · entry 3

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,624

Underlying: Common Stock · 1,624 shares

Expires 2032-06-06

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021633 · doc4.xml · derivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,917

Underlying: Common Stock · 13,917 shares

Expires 2032-06-06

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021633 · doc4.xml · derivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,812

Underlying: Common Stock · 53,812 shares

Expires 2032-06-06

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021638 · doc4.xml · derivative · entry 3

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,958

Underlying: Common Stock · 6,958 shares

Expires 2032-06-06

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Audit Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021638 · doc4.xml · derivative · entry 2

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,624

Underlying: Common Stock · 1,624 shares

Expires 2032-06-06

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021638 · doc4.xml · derivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,812

Underlying: Common Stock · 53,812 shares

Expires 2032-06-06

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021634 · doc4.xml · derivative · entry 3

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,479

Underlying: Common Stock · 3,479 shares

Expires 2032-06-06

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Audit Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021634 · doc4.xml · derivative · entry 2

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,639

Underlying: Common Stock · 4,639 shares

Expires 2032-06-06

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021634 · doc4.xml · derivative · entry 1

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,812

Underlying: Common Stock · 53,812 shares

Expires 2032-06-06

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021632 · doc4.xml · derivative · entry 3

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,711

Underlying: Common Stock · 3,711 shares

Expires 2032-06-06

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021632 · doc4.xml · derivative · entry 2

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,479

Underlying: Common Stock · 3,479 shares

Expires 2032-06-06

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Audit Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021632 · doc4.xml · derivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,812

Underlying: Common Stock · 53,812 shares

Expires 2032-06-06

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021637 · doc4.xml · derivative · entry 2

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,319

Underlying: Common Stock · 2,319 shares

Expires 2032-06-06

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021637 · doc4.xml · derivative · entry 1

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,812

Underlying: Common Stock · 53,812 shares

Expires 2032-06-06

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021626 · doc4.xml · derivative · entry 2

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,319

Underlying: Common Stock · 2,319 shares

Expires 2032-06-06

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-021626 · doc4.xml · derivative · entry 1

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,812

Underlying: Common Stock · 53,812 shares

Expires 2032-06-06

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-22-013174 · doc4.xml · derivative · entry 2

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2032-03-29

F3 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2022.

SEC source: 0000899243-22-013174 · doc4.xml · nonDerivative · entry 1

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,825

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on January 1, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.

F2 · balance_after: Includes 8,022 shares previously purchased under the Issuer's Employee Stock Purchase Plan.

SEC source: 0000899243-22-013176 · doc4.xml · derivative · entry 3

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,758

Underlying: Common Stock · 207,758 shares

Expires not disclosed

F3 · derivative.exercise_price: The bonus units vest in four (4) annual installments from the date of grant and entitle the Reporting Person to receive a cash payment, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the amount by which the then value of the Issuer's common stock exceeds the base value of $4.52.

F3 · derivative.exercise_date: The bonus units vest in four (4) annual installments from the date of grant and entitle the Reporting Person to receive a cash payment, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the amount by which the then value of the Issuer's common stock exceeds the base value of $4.52.

F3 · derivative.expiration_date: The bonus units vest in four (4) annual installments from the date of grant and entitle the Reporting Person to receive a cash payment, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the amount by which the then value of the Issuer's common stock exceeds the base value of $4.52.

SEC source: 0000899243-22-013176 · doc4.xml · derivative · entry 2

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2032-03-29

F2 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2022.

SEC source: 0000899243-22-013176 · doc4.xml · nonDerivative · entry 1

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,198,835

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on January 1, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.