AQST

SEC source: 0001214659-24-017009 · marketforms-67097.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 826,478

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person. This amended Form 4 is being filed to revise the number of shares withheld by the issuer to satisfy tax withholding obligations originally reported on form 4 filed on March 12, 2024 .

SEC source: 0001214659-24-017008 · marketforms-67098.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,066

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person. This amended Form 4 is being filed to revise the number of shares withheld by the issuer to satisfy tax withholding obligations originally reported on form 4 filed on March 12, 2024 .

SEC source: 0001214659-24-004389 · marketforms-65141.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,040,371

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4 on December 16, 2023.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $5.00 to $5.60 per share. Full information regarding the number of shares sold at each price shall be provided upon request to the staff of the U.S. Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

SEC source: 0001214659-24-004307 · marketforms-64693.xml · derivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,250

Underlying: Common Stock · 41,250 shares

Expires 2034-03-07

F2 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004307 · marketforms-64693.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,065,371

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004308 · marketforms-64694.xml · derivative · entry 2

TOTH A ERNEST JR · CIK 0001280273 · SVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-03-07

F2 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004308 · marketforms-64694.xml · nonDerivative · entry 1

TOTH A ERNEST JR · CIK 0001280273 · SVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 260,000

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004309 · marketforms-64690.xml · derivative · entry 2

BRAENDER LORI J · CIK 0001752955 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,500

Underlying: Common Stock · 67,500 shares

Expires 2034-03-07

F2 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004309 · marketforms-64690.xml · nonDerivative · entry 1

BRAENDER LORI J · CIK 0001752955 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 323,761

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004306 · marketforms-64692.xml · derivative · entry 2

Kraus Carl N · CIK 0001946475 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,250

Underlying: Common Stock · 56,250 shares

Expires 2034-03-07

F2 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004306 · marketforms-64692.xml · nonDerivative · entry 1

Kraus Carl N · CIK 0001946475 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 262,500

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment

SEC source: 0001214659-24-004305 · marketforms-64682.xml · derivative · entry 2

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 363,900

Underlying: Common Stock · 363,900 shares

Expires 2034-03-07

F2 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004305 · marketforms-64682.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 883,302

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004304 · marketforms-65134.xml · derivative · entry 5

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,625

Underlying: Common Stock · 50,625 shares

Expires 2024-03-07

F4 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004304 · marketforms-65134.xml · nonDerivative · entry 4

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,186

F3 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004303 · marketforms-64689.xml · derivative · entry 2

Boyd Peter E. · CIK 0001739816 · See Remark

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,125

Underlying: Common Stock · 43,125 shares

Expires 2034-03-07

F3 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004303 · marketforms-64689.xml · nonDerivative · entry 1

Boyd Peter E. · CIK 0001739816 · See Remark

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 245,998

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

F2 · balance_after: The original Form 4, filed on 3/9/23, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported the inclusion of shares for 59,532 shares owned when in fact 59,748 shares of the Issuer's common stock were owned. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects an increase in the number of shares reported as beneficially owned by the reporting person by 216 shares.

SEC source: 0001214659-24-004302 · marketforms-64695.xml · derivative · entry 3

Wargacki Stephen · CIK 0001960165 · SVP, Research & Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,250

Underlying: Common Stock · 56,250 shares

Expires 2034-03-07

F4 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004302 · marketforms-64695.xml · nonDerivative · entry 2

Wargacki Stephen · CIK 0001960165 · SVP, Research & Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 270,919

F3 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-23-010922 · marketforms-61881.xml · derivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-010923 · marketforms-61879.xml · derivative · entry 1

TOTH A ERNEST JR · CIK 0001280273 · SVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-010927 · marketforms-61884.xml · derivative · entry 1

BRAENDER LORI J · CIK 0001752955 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-010926 · marketforms-61886.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,500

Underlying: Common Stock · 223,500 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-010925 · marketforms-61885.xml · derivative · entry 1

Boyd Peter E. · CIK 0001739816 · See Remark

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-010921 · marketforms-61882.xml · derivative · entry 1

Marshall Ken W. · CIK 0001740092 · SVP, Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-010919 · marketforms-62126.xml · nonDerivative · entry 1

Kraus Carl N · CIK 0001946475 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment

SEC source: 0001214659-23-010924 · marketforms-61880.xml · derivative · entry 1

Wargacki Stephen · CIK 0001960165 · SVP, Research & Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,500

Underlying: Common Stock · 67,500 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-010920 · marketforms-61883.xml · derivative · entry 1

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-008794 · marketforms-61960.xml · derivative · entry 2

COSTA SANTO J · CIK 0001013419 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 21, 2024, subject to Mr. Costa's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-23-008797 · marketforms-61961.xml · derivative · entry 1

Krop Julie · CIK 0001643127 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 21, 2024, subject to Dr. Krop's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-23-008795 · marketforms-61962.xml · derivative · entry 1

Taglietti Marco · CIK 0001408870 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 21, 2024, subject to Dr. Taglietti's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-23-008793 · marketforms-61959.xml · derivative · entry 2

Cochran John · CIK 0001406773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 21, 2024, subject to Mr. Cochran's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-23-008796 · marketforms-61963.xml · derivative · entry 1

MORRIS TIMOTHY E · CIK 0001191286 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 21, 2024, subject to Mr. Morris' continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-23-008799 · marketforms-61958.xml · derivative · entry 2

BROWN GREGORY B · CIK 0001373585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 100% of the underlying shares vest June 21, 2024, subject to Dr. Brown's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001214659-23-006558 · marketforms-61240.xml · derivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006559 · marketforms-61241.xml · derivative · entry 1

TOTH A ERNEST JR · CIK 0001280273 · SVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006560 · marketforms-61242.xml · derivative · entry 1

Wargacki Stephen · CIK 0001960165 · SVP, Research & Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,500

Underlying: Common Stock · 67,500 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006557 · marketforms-61237.xml · derivative · entry 1

BRAENDER LORI J · CIK 0001752955 · SVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006556 · marketforms-61227.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,500

Underlying: Common Stock · 223,500 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006553 · marketforms-61239.xml · derivative · entry 1

Marshall Ken W. · CIK 0001740092 · SVP, Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006554 · marketforms-61238.xml · derivative · entry 1

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006555 · marketforms-61236.xml · derivative · entry 1

Boyd Peter E. · CIK 0001739816 · See Remark

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-24-004304 · marketforms-65134.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,936

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

F2 · balance_after: The original Form 3, filed on 1/1/23, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported the inclusion of shares vested that occurred on 3/10/22 as a total of 4,663 shares vested and owned when in fact 3,173 shares of the Issuer's common stock were owned, net of taxes withheld. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects a reduction in the number of shares reported as beneficially owned by the reporting person by 1,490 shares reflecting share withheld for the payment of taxes.

SEC source: 0001214659-24-004302 · marketforms-64695.xml · nonDerivative · entry 1

Wargacki Stephen · CIK 0001960165 · SVP, Research & Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,419

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

F2 · balance_after: The original Form 3, filed on 1/1/23, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported the inclusion of shares vested that occurred on 3/10/22 as a total of 4,663 shares vested and owned when in fact 3,107 shares of the Issuer's common stock were owned, net of taxes withheld. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects a reduction in the number of shares reported as beneficially owned by the reporting person by 1,556 shares reflecting share withheld for the payment of taxes.

SEC source: 0001214659-23-003692 · marketforms-59529.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 982,871

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-23-003688 · marketforms-59530.xml · nonDerivative · entry 1

TOTH A ERNEST JR · CIK 0001280273 · SVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-23-003695 · marketforms-59523.xml · nonDerivative · entry 1

Boyd Peter E. · CIK 0001739816 · See Remark

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,532

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-23-003694 · marketforms-59527.xml · nonDerivative · entry 1

Marshall Ken W. · CIK 0001740092 · SVP, Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-23-003693 · marketforms-59531.xml · nonDerivative · entry 1

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,747

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-23-003691 · marketforms-59518.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640,702

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.