ATXI

SEC source: 0001429260-26-000004 · form4-01062026_040109.xml · nonDerivative · entry 1

Fortress Biotech, Inc. · CIK 0001429260 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 439,733

F1 · shares: The Reporting Person is entitled to an annual dividend on its Class A Preferred Stock equal to 2.5% of the Issuer's fully diluted outstanding capitalization on December 31. 111,209 shares were granted by the Issuer to the reporting Person for the 2025 annual dividend.

SEC source: 0001415889-25-009621 · form4-04022025_040409.xml · nonDerivative · entry 1

Fortress Biotech, Inc. · CIK 0001429260 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 328,524

F1 · shares: The Issuer is required to grant to the Reporting Person an equity fee in shares of the Issuer's Common Stock equal to 2.5% of the gross amount of any debt or equity financing consummated by the Issuer. These shares were granted by the Issuer to the Reporting Person following the receipt of proceeds by the Issuer upon the exercise of warrants previously issued by the Issuer.

SEC source: 0001104659-24-125093 · tm2429982-1_4seq1.xml · nonDerivative · entry 1

Herskowitz Neil · CIK 0001298246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97

F1 · balance_after: Effective April 26, 2024, the Issuer effected a one-for-seventy-five reverse stock split of its common stock (the "Reverse Stock Split") and the amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-24-115424 · tm2427866-1_4seq1.xml · nonDerivative · entry 1

KRANZLER JAY D · CIK 0001055666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 559

SEC source: 0001104659-24-104931 · tm2425333-1_4seq1.xml · nonDerivative · entry 2

KRANZLER JAY D · CIK 0001055666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 620

F1 · balance_after: Effective April 26, 2024, the Issuer effected a one-for-seventy-five reverse stock split of its common stock (the "Reverse Stock Split") and the amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-24-104931 · tm2425333-1_4seq1.xml · nonDerivative · entry 1

KRANZLER JAY D · CIK 0001055666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123

F1 · balance_after: Effective April 26, 2024, the Issuer effected a one-for-seventy-five reverse stock split of its common stock (the "Reverse Stock Split") and the amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-24-102840 · tm2424771-7_4seq1.xml · derivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-09-23

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2025; (ii) one-third of the shares subject to the option vest on January 1, 2026; and (iii) one-third of the shares subject to the option vest on January 1, 2027.

SEC source: 0001104659-24-102835 · tm2424771-3_4seq1.xml · derivative · entry 1

KRANZLER JAY D · CIK 0001055666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-09-23

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2025; (ii) one-third of the shares subject to the option vest on January 1, 2026; and (iii) one-third of the shares subject to the option vest on January 1, 2027.

SEC source: 0001104659-24-102836 · tm2424771-4_4seq1.xml · nonDerivative · entry 1

MacLean Alexandra · CIK 0001940880 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 170,000

F1 · shares: Represents an award of 170,000 restricted stock units which will vest in equal installments at September 30, 2024, December 31, 2024, September 23, 2025, and September 23, 2026. The shares underlying the restricted stock units will not be settled until the earlier of the tenth business day of January of the year following certain terminations of service of the Reporting Person from the Issuer and Change in Control events (as defined in the Avenue Therapeutics, Inc. 2015 Incentive Plan); the amount will be distributed in the form of the Issuer's common stock.

F1 · balance_after: Represents an award of 170,000 restricted stock units which will vest in equal installments at September 30, 2024, December 31, 2024, September 23, 2025, and September 23, 2026. The shares underlying the restricted stock units will not be settled until the earlier of the tenth business day of January of the year following certain terminations of service of the Reporting Person from the Issuer and Change in Control events (as defined in the Avenue Therapeutics, Inc. 2015 Incentive Plan); the amount will be distributed in the form of the Issuer's common stock.

SEC source: 0001104659-24-102833 · tm2424771d1_4seq1.xml · derivative · entry 1

Charles Faith L. · CIK 0001853985 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-09-23

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2025; (ii) one-third of the shares subject to the option vest on January 1, 2026; and (iii) one-third of the shares subject to the option vest on January 1, 2027.

SEC source: 0001104659-24-102839 · tm2424771-6_4seq1.xml · derivative · entry 1

Herskowitz Neil · CIK 0001298246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-09-23

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2025; (ii) one-third of the shares subject to the option vest on January 1, 2026; and (iii) one-third of the shares subject to the option vest on January 1, 2027.

SEC source: 0001104659-24-102837 · tm2424771-5_4seq1.xml · derivative · entry 1

Oltmans Curtis Gale · CIK 0001714982 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-09-23

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2025; (ii) one-third of the shares subject to the option vest on January 1, 2026; and (iii) one-third of the shares subject to the option vest on January 1, 2027.

SEC source: 0001104659-24-102834 · tm2424771-2_4seq1.xml · nonDerivative · entry 1

Jin David · CIK 0001930732 · Interim PFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,000

F1 · shares: Represents an award of 65,000 restricted stock units which will vest in equal installments at September 30, 2024, December 31, 2024, September 23, 2025, and September 23, 2026. The shares underlying the restricted stock units will not be settled until the earlier of the tenth business day of January of the year following certain terminations of service of the Reporting Person from the Issuer and the consummation of a Change in Control event (as defined in the Avenue Therapeutics, Inc. 2015 Incentive Plan); the amount will be distributed in the form of the Issuer's common stock.

F1 · balance_after: Represents an award of 65,000 restricted stock units which will vest in equal installments at September 30, 2024, December 31, 2024, September 23, 2025, and September 23, 2026. The shares underlying the restricted stock units will not be settled until the earlier of the tenth business day of January of the year following certain terminations of service of the Reporting Person from the Issuer and the consummation of a Change in Control event (as defined in the Avenue Therapeutics, Inc. 2015 Incentive Plan); the amount will be distributed in the form of the Issuer's common stock.

SEC source: 0001104659-24-048303 · tm2412005-1_4seq1.xml · nonDerivative · entry 1

Fortress Biotech, Inc. · CIK 0001429260 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,547,393

F1 · shares: The Issuer is required to grant to the Reporting Person an equity fee in shares of the Issuer's Common Stock equal to 2.5% of the gross amount of any debt or equity financing consummated by the Issuer. 413,507 shares were granted by the Issuer to the Reporting Person following the closing of an equity financing.

SEC source: 0001104659-24-000853 · tm241755-1_4seq1.xml · nonDerivative · entry 1

Fortress Biotech, Inc. · CIK 0001429260 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,133,886

F1 · shares: The Issuer is required to grant to the Reporting Person an equity fee in shares of the Issuer's Common Stock equal to 2.5% of the gross amount of any debt or equity financing consummated by the Issuer. 415,728 shares were granted by the Issuer to the Reporting Person following the closing of an equity financing.

F2 · shares: The Reporting Person is entitled to an annual dividend on its Class A Preferred Stock equal to 2.5% of the Issuer's fully diluted outstanding capitalization on December 31. 1,685,768 shares were granted by the Issuer to the Reporting Person for the 2023 annual dividend.

SEC source: 0001553350-23-000471 · davidow.xml · nonDerivative · entry 6

Davidow Robert L · CIK 0002002210 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 80,000

F6 · ownership.nature: Consists of shares of common stock held by the Reporting Person's wife.

SEC source: 0001553350-23-000471 · davidow.xml · nonDerivative · entry 5

Davidow Robert L · CIK 0002002210 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Shared investment authority

Disclosed balance after: 147,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.13 to $0.15, inclusive. Each sale price was below the purchase prices for the shares, and the reporting person engaged in the transactions for tax purposes and to cause his holdings to fall below 10% of the outstanding shares of the issuer's common stock and thereby cease being subject to the requirements of Section 16 of the Securities Exchange Act of 1934. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, 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 above.

F5 · ownership.nature: Consists of shares of commons stock held in accounts maintained for the benefit of certain individuals or trusts over which the Reporting Person has shared dispositive authority.

SEC source: 0001553350-23-000471 · davidow.xml · nonDerivative · entry 4

Davidow Robert L · CIK 0002002210 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Shared investment and voting authority

Disclosed balance after: 215,800

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.13 to $0.15, inclusive. Each sale price was below the purchase prices for the shares, and the reporting person engaged in the transactions for tax purposes and to cause his holdings to fall below 10% of the outstanding shares of the issuer's common stock and thereby cease being subject to the requirements of Section 16 of the Securities Exchange Act of 1934. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, 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 above.

F4 · ownership.nature: Consists of shares of common stock held in accounts maintained for the benefit of certain individuals or trusts over which the Reporting Person has shared voting and dispositive authority.

SEC source: 0001553350-23-000471 · davidow.xml · nonDerivative · entry 3

Davidow Robert L · CIK 0002002210 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Trustee for Juliet Davidow 2001 Trust and Alexander Davidow 2010 Trust

Disclosed balance after: 74,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.13 to $0.15, inclusive. Each sale price was below the purchase prices for the shares, and the reporting person engaged in the transactions for tax purposes and to cause his holdings to fall below 10% of the outstanding shares of the issuer's common stock and thereby cease being subject to the requirements of Section 16 of the Securities Exchange Act of 1934. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, 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 above.

F3 · ownership.nature: Consists of shares of common stock held in trusts for the benefit of the Reporting Person's children in which the Reporting Person is the trustee.

SEC source: 0001553350-23-000471 · davidow.xml · nonDerivative · entry 2

Davidow Robert L · CIK 0002002210 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Joint account with spouse

Disclosed balance after: 22,000

F2 · ownership.nature: Consists of shares of common stock held in a joint account with the Reporting Person's wife.

SEC source: 0001553350-23-000471 · davidow.xml · nonDerivative · entry 1

Davidow Robert L · CIK 0002002210 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 681,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $0.13 to $0.15, inclusive. Each sale price was below the purchase prices for the shares, and the reporting person engaged in the transactions for tax purposes and to cause his holdings to fall below 10% of the outstanding shares of the issuer's common stock and thereby cease being subject to the requirements of Section 16 of the Securities Exchange Act of 1934. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, 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 above.

SEC source: 0001437749-23-025643 · rdgdoc.xml · nonDerivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 354,318

SEC source: 0001437749-23-025640 · rdgdoc.xml · nonDerivative · entry 1

Fortress Biotech, Inc. · CIK 0001429260 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,032,390

SEC source: 0001104659-23-078096 · tm2320488d4_4seq1.xml · derivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-06-30

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2024; (ii) one-third of the shares subject to the option vest on January 1, 2025; and (iii) one-third of the shares subject to the option vest on January 1, 2026.

F2 · derivative.underlying_shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-23-078094 · tm2320488-3_4seq1.xml · derivative · entry 1

KRANZLER JAY D · CIK 0001055666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-06-30

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2024; (ii) one-third of the shares subject to the option vest on January 1, 2025; and (iii) one-third of the shares subject to the option vest on January 1, 2026.

F2 · derivative.underlying_shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-23-078101 · tm2320488d6_4seq1.xml · derivative · entry 1

Charles Faith L. · CIK 0001853985 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-06-30

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2024; (ii) one-third of the shares subject to the option vest on January 1, 2025; and (iii) one-third of the shares subject to the option vest on January 1, 2026.

F2 · derivative.underlying_shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-23-078088 · tm2320488d1_4seq1.xml · derivative · entry 1

Herskowitz Neil · CIK 0001298246 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-06-30

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2024; (ii) one-third of the shares subject to the option vest on January 1, 2025; and (iii) one-third of the shares subject to the option vest on January 1, 2026.

F2 · derivative.underlying_shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-23-078098 · tm2320488d5_4seq1.xml · derivative · entry 1

Jin David · CIK 0001930732 · Interim PFO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-06-30

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) 25% of the shares subject to the option vest on August 1, 2023; (ii) 25% of the shares subject to the option vest on August 1, 2024; (iii) 25% of the shares subject to the option vest on August 1, 2025; and (iv) 25% of the shares subject to the option vest on August 1, 2026.

F2 · derivative.underlying_shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-23-078090 · tm2320488-2_4seq1.xml · derivative · entry 1

Oltmans Curtis Gale · CIK 0001714982 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-06-30

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) one-third of the shares subject to the option vest on January 1, 2024; (ii) one-third of the shares subject to the option vest on January 1, 2025; and (iii) one-third of the shares subject to the option vest on January 1, 2026.

F2 · derivative.underlying_shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-23-077528 · tm2320376-1_4seq1.xml · derivative · entry 1

MacLean Alexandra · CIK 0001940880 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2033-06-29

F1 · derivative.exercise_date: The option vests in accordance with the following schedule: (i) 25% of the shares subject to the option vest on August 1, 2023; (ii) 25% of the shares subject to the option vest on August 1, 2024; (iii) 25% of the shares subject to the option vest on August 1, 2025; and (iv) 25% of the shares subject to the option vest on August 1, 2026.

SEC source: 0001104659-23-041491 · tm2311448-2_4seq1.xml · nonDerivative · entry 1

Fortress Biotech, Inc. · CIK 0001429260 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 613,980

F1 · shares: The Issuer is required to grant to the Reporting Person an equity fee in shares of the Issuer's Common Stock equal to 2.5% of the gross amount of any debt or equity financing consummated by the Issuer. These shares were granted by the Issuer to the Reporting Person following the closing of an equity financing.

SEC source: 0001104659-23-000998 · tm231707-1_4seq1.xml · nonDerivative · entry 2

Fortress Biotech, Inc. · CIK 0001429260 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 561,561

F2 · shares: The Reporting Person is entitled to an annual dividend on its outstanding Class A Preferred Stock equal to 2.5% of the Issuer's fully diluted outstanding capitalization on December 31. These shares were granted by the Issuer to the Reporting Person for the 2022 annual dividend.

F4 · shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F4 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-23-000998 · tm231707-1_4seq1.xml · nonDerivative · entry 1

Fortress Biotech, Inc. · CIK 0001429260 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,245

F1 · shares: The Issuer is required to grant to the Reporting Person an equity fee in shares of the Issuer's Common Stock equal to 2.5% of the gross amount of any debt or equity financing consummated by the Issuer. These shares were granted by the Issuer to the Reporting Person following the closing of an equity financing.

F4 · shares: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

F4 · balance_after: Effective September 22, 2022, the Issuer effected a one-for-fifteen reverse stock split of its common stock (the "Reverse Stock Split"). The amount of common stock reflected on this Form 4 has been adjusted to reflect the Reverse Stock Split.

SEC source: 0001104659-22-108589 · tm2228236-1_4seq1.xml · nonDerivative · entry 1

InvaGen Pharmaceuticals, Inc. · CIK 0001759453 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: This Form 4 is being jointly filed on behalf of (i) InvaGen Pharmaceuticals Inc., a New York corporation ("InvaGen"), (ii) Cipla (EU) Limited, a company incorporated in the United Kingdom ("Cipla EU"), and (iii) Cipla Limited, a company incorporated in India ("Cipla Limited") (each of InvaGen, Cipla EU and Cipla Limited, a "Reporting Person", and collectively, the "Reporting Persons"). InvaGen is a wholly-owned direct subsidiary of Cipla EU. Cipla EU is a wholly-owned direct subsidiary of Cipla Limited. Because of the relationship of InvaGen to Cipla EU and Cipla Limited, each such Reporting Person may be deemed to beneficially own the securities covered by this Form 4.

F2 · shares: On September 22, 2022, the common stock of Avenue Therapeutics, Inc. (the "Issuer") reverse split 1-for-15, resulting in the 5,833,333 shares of common stock of the Issuer previously reported by the Reporting Persons becoming 388,888 shares of common stock of the Issuer.

F3 · price: On October 11, 2022, pursuant to the terms of the previously announced Stock Repurchase Agreement, dated July 25, 2022, among InvaGen, Fortress Biotech, Inc. and the Issuer, the Issuer repurchased 388,888 shares of common stock of the Issuer from InvaGen for an aggregate purchase price of $3,000,000 (the "Share Repurchase").

SEC source: 0001104659-21-151774 · tm2135922-4_4seq1.xml · nonDerivative · entry 1

Lu Lucy · CIK 0001542419 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 748,949

F1 · shares: This restricted stock unit award (RSU) vests on March 15, 2022. Each restricted stock unit is equivalent to one share of the Company's common stock.

F2 · balance_after: Includes 411,616 RSUs.

SEC source: 0001104659-21-151771 · tm2135922-3_4seq1.xml · nonDerivative · entry 1

Vazzano Joseph Walter · CIK 0001715291 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,757

F1 · shares: This restricted stock unit award (RSU) vests on March 15, 2022. Each RSU is equivalent to one share of the Company's common stock.

F2 · balance_after: Includes 100,505 RSUs.

SEC source: 0001104659-21-152200 · tm2135922-1_4seq1.xml · nonDerivative · entry 2

KRANZLER JAY D · CIK 0001055666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,683

F2 · shares: This restricted stock award (RSA) vests on March 15, 2022.

F3 · balance_after: Includes 85,668 shares of restricted stock.

SEC source: 0001104659-21-152200 · tm2135922-1_4seq1.xml · nonDerivative · entry 1

KRANZLER JAY D · CIK 0001055666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,683

F1 · shares: This restricted stock award (RSA) vests on December 17, 2024, three years after the date granted.

SEC source: 0001104659-21-152198 · tm2135922-2_4seq1.xml · nonDerivative · entry 2

Herskowitz Neil · CIK 0001298246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,744

F2 · shares: This RSA vests on March 15, 2022.

F3 · balance_after: Includes 85,668 shares of restricted stock.

SEC source: 0001104659-21-152198 · tm2135922-2_4seq1.xml · nonDerivative · entry 1

Herskowitz Neil · CIK 0001298246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,744

F1 · shares: This restricted stock award (RSA) vests on December 17, 2024, three years after the date granted.

SEC source: 0001104659-21-152195 · tm2135922-5_4seq1.xml · nonDerivative · entry 1

Oltmans Curtis Gale · CIK 0001714982 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,020

F1 · shares: This restricted stock award (RSA) vests on December 17, 2024, three years after the date granted.

SEC source: 0001104659-21-115916 · tm2127741-1_4seq1.xml · nonDerivative · entry 1

Vazzano Joseph Walter · CIK 0001715291 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,252

F1 · shares: On September 15, 2021, a total of 7,160 shares were sold by the Company at a weighted average sales price of $1.62 in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001104659-21-062774 · tm2115514d1_4.xml · nonDerivative · entry 1

Herskowitz Neil · CIK 0001298246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,724

F1 · balance_after: Includes 67,997 shares of restricted stock.

SEC source: 0001104659-20-097594 · tm2029210d1_4.xml · nonDerivative · entry 1

Vazzano Joseph Walter · CIK 0001715291 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,412

F1 · shares: On August 20, 2020, a total of 3,840 shares were sold by the Company at a weighted average sales price of $12.13 in order to satisfy the reporting person's tax withholding obligations. The reporting person had no discretion with respect to such sale, which was conducted automatically in accordance with the issuer's corporate policies.

SEC source: 0001104659-20-073825 · tm2022744d2_form4.xml · nonDerivative · entry 1

KRANZLER JAY D · CIK 0001055666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,663

F1 · shares: Common Stock vests upon the earliest to occur of the following: (i) Grantee's death or disability; (ii) a change in control of Avenue Therapeutics, Inc.; or (iii) the Second Stage Closing with InvaGen.

F2 · balance_after: Includes 84,663 shares of restricted stock.

SEC source: 0001104659-20-073824 · tm2022744d1_form4.xml · nonDerivative · entry 1

Herskowitz Neil · CIK 0001298246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,224

F1 · shares: Common Stock vests upon the earliest to occur of the following: (i) Grantee's death or disability; (ii) a change in control of Avenue Therapeutics, Inc.; or (iii) the Second Stage Closing with InvaGen.

F2 · balance_after: Includes 84,663 shares of restricted stock.

SEC source: 0001104659-20-031410 · tm2012321d1_form4.xml · nonDerivative · entry 3

Vazzano Joseph Walter · CIK 0001715291 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,252

SEC source: 0001104659-20-031410 · tm2012321d1_form4.xml · nonDerivative · entry 2

Vazzano Joseph Walter · CIK 0001715291 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,363

SEC source: 0001104659-20-031410 · tm2012321d1_form4.xml · nonDerivative · entry 1

Vazzano Joseph Walter · CIK 0001715291 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,263

SEC source: 0001104659-20-027510 · tm2011386d1_4.xml · nonDerivative · entry 2

Herskowitz Neil · CIK 0001298246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,224

F1 · balance_after: Includes 74,663 shares of restricted stock.