ALT

SEC source: 0001104659-24-009539 · tm244961-2_4seq1.xml · derivative · entry 4

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,325

Underlying: Common Stock, par value $0.0001 · 26,775 shares

Expires not disclosed

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_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F5 · derivative.exercise_date: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F5 · derivative.expiration_date: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-009539 · tm244961-2_4seq1.xml · nonDerivative · entry 2

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 264,333

F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs.

SEC source: 0001104659-24-009539 · tm244961-2_4seq1.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 276,030

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 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

SEC source: 0001104659-24-009538 · tm244961-1_4seq1.xml · derivative · entry 4

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,825

Underlying: Common Stock, par value $0.0001 · 9,275 shares

Expires not disclosed

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_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F5 · derivative.exercise_date: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F5 · derivative.expiration_date: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-009538 · tm244961-1_4seq1.xml · nonDerivative · entry 2

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,391

F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs.

SEC source: 0001104659-24-009538 · tm244961-1_4seq1.xml · nonDerivative · entry 1

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,566

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 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

SEC source: 0001104659-24-007863 · tm244341-5_4seq1.xml · derivative · entry 2

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,400

Underlying: Common Stock, par value $0.0001 · 58,400 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-007863 · tm244341-5_4seq1.xml · derivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,200

Underlying: Common Stock, par value $0.0001 · 163,200 shares

Expires 2034-01-25

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 25, 2025 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 25, 2025, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-24-007862 · tm244341-4_4seq1.xml · derivative · entry 2

Jordt Raymond M · CIK 0001960780 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,400

Underlying: Common Stock, par value $0.0001 · 58,400 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-007862 · tm244341-4_4seq1.xml · derivative · entry 1

Jordt Raymond M · CIK 0001960780 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,200

Underlying: Common Stock, par value $0.0001 · 163,200 shares

Expires 2034-01-25

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 25, 2025 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 25, 2025, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-24-007861 · tm244341-3_4seq1.xml · derivative · entry 2

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,400

Underlying: Common Stock, par value $0.0001 · 58,400 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-007861 · tm244341-3_4seq1.xml · derivative · entry 1

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,200

Underlying: Common Stock, par value $0.0001 · 163,200 shares

Expires 2034-01-25

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 25, 2025 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 25, 2025, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-24-007860 · tm244341-2_4seq1.xml · derivative · entry 2

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 168,200

Underlying: Common Stock, par value $0.0001 · 168,200 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-007860 · tm244341-2_4seq1.xml · derivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 470,000

Underlying: Common Stock, par value $0.0001 · 470,000 shares

Expires 2034-01-25

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 25, 2025 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 25, 2025, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-24-007859 · tm244341-1_4seq1.xml · derivative · entry 2

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,400

Underlying: Common Stock, par value $0.0001 · 58,400 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-007859 · tm244341-1_4seq1.xml · derivative · entry 1

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 163,200

Underlying: Common Stock, par value $0.0001 · 163,200 shares

Expires 2034-01-25

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 25, 2025 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 25, 2025, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-24-001463 · tm242084-1_4seq1.xml · derivative · entry 3

Jordt Raymond M · CIK 0001960780 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,125

Underlying: Common Stock, par value $0.0001 · 9,375 shares

Expires not disclosed

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_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on January 1, 2024, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on January 1, 2024, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-001463 · tm242084-1_4seq1.xml · nonDerivative · entry 2

Jordt Raymond M · CIK 0001960780 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,704

F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs.

SEC source: 0001104659-24-001463 · tm242084-1_4seq1.xml · nonDerivative · entry 1

Jordt Raymond M · CIK 0001960780 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,207

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 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

SEC source: 0001104659-24-000424 · tm241507-1_4seq1.xml · derivative · entry 3

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock, par value $0.0001 · 12,500 shares

Expires not disclosed

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_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-24-000424 · tm241507-1_4seq1.xml · nonDerivative · entry 2

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,291

F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs.

SEC source: 0001104659-24-000424 · tm241507-1_4seq1.xml · nonDerivative · entry 1

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,335

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 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

SEC source: 0001104659-23-105382 · tm2327241-1_4seq1.xml · derivative · entry 1

Pisano Wayne · CIK 0001743611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-105401 · tm2327241-7_4seq1.xml · derivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-105393 · tm2327241-4_4seq1.xml · derivative · entry 1

GILL JOHN · CIK 0001409939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-105402 · tm2327241-8_4seq1.xml · derivative · entry 1

Schafer Klaus · CIK 0001705904 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-105399 · tm2327241-6_4seq1.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-105395 · tm2327241-5_4seq1.xml · derivative · entry 1

Sohn Catherine A. · CIK 0001555132 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-105390 · tm2327241-3_4seq1.xml · derivative · entry 1

SAYARE MITCHEL · CIK 0001201196 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-105387 · tm2327241-2_4seq1.xml · derivative · entry 1

Jorkasky Diane · CIK 0001527204 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-092080 · tm2323899-1_4seq1.xml · nonDerivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 29,785

F1 · shares: Represents Common Stock purchased and immediately transferred to Pacific Biopharma Associates, LLC.

F2 · ownership.nature: Represents Common Stock held by Pacific Biopharma Associates, LLC, of which the reporting person is the President.

SEC source: 0001104659-23-086908 · tm2322669-5_4seq1.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 249,255

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2023 through July 31, 2023.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2023.

SEC source: 0001104659-23-086907 · tm2322669-4_4seq1.xml · nonDerivative · entry 1

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,835

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2023 through July 31, 2023.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2023.

SEC source: 0001104659-23-086905 · tm2322669-3_4seq1.xml · nonDerivative · entry 1

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,002

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2023 through July 31, 2023.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2023.

SEC source: 0001104659-23-086904 · tm2322669-2_4seq1.xml · nonDerivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,424

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2023 through July 31, 2023.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2023.

SEC source: 0001104659-23-086899 · tm2322669-1_4seq1.xml · nonDerivative · entry 1

Jordt Raymond M · CIK 0001960780 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,832

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2023 through July 31, 2023.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2023.

SEC source: 0001104659-23-036758 · tm2310588d1_4seq1.xml · nonDerivative · entry 1

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,010

SEC source: 0001104659-23-036172 · tm2310423-1_4seq1.xml · nonDerivative · entry 1

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,311

SEC source: 0001104659-23-037190 · tm2310588d1_4seq1.xml · nonDerivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 29,484

F1 · shares: Represents Common Stock purchased and immediately transferred to Pacific Biopharma Associates, LLC.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.265 to $4.28, inclusive. The reporting person undertakes to provide to Altimmune, Inc., any security holder of Altimmune, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Includes 20,151 shares of Common Stock previously owned directly by the reporting person which were transferred to Pacific Biopharma Associates, LLC.

F4 · ownership.nature: Represents Common Stock held by Pacific Biopharma Associates, LLC, of which the reporting person is the President.

SEC source: 0001104659-23-037128 · tm2310588-4_4seq1.xml · derivative · entry 1

Sohn Catherine A. · CIK 0001555132 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,000

Underlying: Common Stock, par value $0.0001 · 47,000 shares

Expires 2033-03-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in 36 substantially equal monthly installments following March 23, 2023, subject to the reporting person's continued service through the applicable vesting

SEC source: 0001104659-23-011214 · tm235551-3_4seq1.xml · derivative · entry 4

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,325

Underlying: Common Stock, par value $0.0001 · 7,775 shares

Expires not disclosed

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_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs become vested in substantially equal annual installments over the 4 years following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs become vested in substantially equal annual installments over the 4 years following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-23-011214 · tm235551-3_4seq1.xml · nonDerivative · entry 2

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,856

F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs.

SEC source: 0001104659-23-011214 · tm235551-3_4seq1.xml · nonDerivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,231

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 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

SEC source: 0001104659-23-011211 · tm235551-2_4seq1.xml · derivative · entry 3

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,325

Underlying: Common Stock, par value $0.0001 · 7,775 shares

Expires not disclosed

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_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs become vested in substantially equal annual installments over the 4 years following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs become vested in substantially equal annual installments over the 4 years following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-23-011211 · tm235551-2_4seq1.xml · nonDerivative · entry 2

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,311

F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs.

SEC source: 0001104659-23-011211 · tm235551-2_4seq1.xml · nonDerivative · entry 1

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,675

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 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

SEC source: 0001104659-23-011206 · tm235551-1_4seq1.xml · derivative · entry 3

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,850

Underlying: Common Stock, par value $0.0001 · 18,950 shares

Expires not disclosed

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_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs become vested in substantially equal annual installments over the 4 years following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs become vested in substantially equal annual installments over the 4 years following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-23-011206 · tm235551-1_4seq1.xml · nonDerivative · entry 2

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,129

F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs.

SEC source: 0001104659-23-011206 · tm235551-1_4seq1.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,551

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 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

SEC source: 0001104659-23-009975 · tm235311-4_4seq1.xml · derivative · entry 5

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,332

Underlying: Common Stock, par value $0.0001 · 6,166 shares

Expires not disclosed

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.

F3 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F5 · derivative.exercise_date: The RSUs become vested in substantially equal annual installments over the 4 years following February 1, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F5 · derivative.expiration_date: The RSUs become vested in substantially equal annual installments over the 4 years following February 1, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.