AVTX

SEC source: 0000919574-21-003033 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,920,000

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 · kind: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons on April 15, 2021 into shares of the Issuer's Common Stock, $0.001 par value. This transaction is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) promulgated under the Exchange Act.

F3 · price: Pursuant to a conversion election, the reported securities were converted by the Reporting Persons on April 15, 2021 into shares of the Issuer's Common Stock, $0.001 par value. This transaction is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b-6(b) promulgated under the Exchange Act.

F1 · ownership.direct: The reported securities of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

SEC source: 0001192482-21-000303 · edgar.xml · derivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,881

Underlying: Common Stock · 70,881 shares

Expires 2031-04-01

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted. If employment is terminated prior to the end of the calendar quarter in which the option was granted, the number of shares underlying such stock option that reflects the percentage of calendar days remaining in such calendar quarter after such employment termination date shall be forfeited and deemed cancelled.

SEC source: 0001247024-21-000010 · edgar.xml · derivative · entry 1

KAPLAN GILLA · CIK 0001247024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,650

Underlying: Common Stock · 7,650 shares

Expires 2031-03-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001247024-21-000011 · edgar.xml · derivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,173

Underlying: Common Stock · 4,173 shares

Expires 2031-03-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001653222-21-000002 · edgar.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,564

Underlying: Common Stock · 5,564 shares

Expires 2031-03-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001653222-21-000001 · edgar.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,799

Underlying: Common Stock · 4,799 shares

Expires 2031-03-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001653224-21-000001 · edgar.xml · derivative · entry 1

Gutry Phil · CIK 0001653224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,783

Underlying: Common Stock · 3,783 shares

Expires 2031-03-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000194 · edgar.xml · derivative · entry 1

Greenway Schond L. · CIK 0001848205 · CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-03-01

F1 · derivative.exercise_date: The stock option will vest over four years, with the first 25% vesting on the first anniversary of the grant date, and the remainder vesting in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each such vesting date.

SEC source: 0001192482-21-000120 · edgar.xml · derivative · entry 1

Sullivan Christopher Ryan · CIK 0001810417 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2031-01-26

F1 · derivative.exercise_date: The stock option will vest over four years, with the first 25% vesting on the first anniversary of the grant date, and the remainder vesting in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each such vesting date.

SEC source: 0001192482-21-000117 · edgar.xml · derivative · entry 1

Harrell James Archie Jr · CIK 0001738462 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-01-26

F1 · derivative.exercise_date: The stock option will vest over four years, with the first 25% vesting on the first anniversary of the grant date, and the remainder vesting in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each such vesting date.

SEC source: 0001192482-21-000119 · edgar.xml · derivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

Underlying: Common Stock · 850,000 shares

Expires 2031-01-26

F1 · derivative.exercise_date: The stock option will vest over four years, with the first 25% vesting on the first anniversary of the grant date, and the remainder vesting in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each such vesting date.

SEC source: 0001192482-21-000118 · edgar.xml · derivative · entry 1

NEIL GARRY ARTHUR · CIK 0001586785 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires 2031-01-26

F1 · derivative.exercise_date: The stock option will vest over four years, with the first 25% vesting on the first anniversary of the grant date, and the remainder vesting in equal monthly installments over the following 36 months, subject to the reporting person's continued service on each such vesting date.

SEC source: 0000919574-21-000248 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 32,634,285

SEC source: 0000919574-21-000248 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,634,285

F1 · ownership.direct: The reported securities of Cerecor Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001192482-21-000047 · edgar.xml · derivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,798

Underlying: Common Stock · 64,798 shares

Expires 2031-01-04

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000036 · edgar.xml · derivative · entry 1

KAPLAN GILLA · CIK 0001247024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,216

Underlying: Common Stock · 7,216 shares

Expires 2030-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000028 · edgar.xml · derivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,254

Underlying: Common Stock · 4,254 shares

Expires 2030-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000038 · edgar.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,472

Underlying: Common Stock · 5,472 shares

Expires 2030-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000032 · edgar.xml · derivative · entry 1

Gutry Phil · CIK 0001653224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,877

Underlying: Common Stock · 3,877 shares

Expires 2030-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-21-000030 · edgar.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,919

Underlying: Common Stock · 4,919 shares

Expires 2030-12-31

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000818 · edgar.xml · nonDerivative · entry 1

Sullivan Christopher Ryan · CIK 0001810417 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,049

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001192482-20-000820 · edgar.xml · nonDerivative · entry 1

Harrell James Archie Jr · CIK 0001738462 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,180

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0001192482-20-000816 · edgar.xml · nonDerivative · entry 1

NEIL GARRY ARTHUR · CIK 0001586785 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,680

F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan.

SEC source: 0000919574-20-007449 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,134,285

F1 · ownership.nature: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-007449 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,134,285

F2 · price: This constitutes the weighted average purchase price. The prices range from $2.42 to $2.48. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-007340 · ownership.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,114,285

F1 · ownership.nature: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-007340 · ownership.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,114,285

F4 · price: This constitutes the weighted average purchase price. The prices ranged from $2.35 to $2.44. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-007340 · ownership.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,099,285

F1 · ownership.nature: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-007340 · ownership.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,099,285

F3 · price: This constitutes the weighted average purchase price. The prices ranged from $2.36 to $2.42. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-007340 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,051,552

F1 · ownership.nature: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-007340 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,051,552

F2 · price: This constitutes the weighted average purchase price. The prices ranged from $2.27 to $2.35. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001192482-20-000774 · edgar.xml · derivative · entry 1

KAPLAN GILLA · CIK 0001247024 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-10-08

F1 · derivative.exercise_date: The stock option will vest in three substantially equal installments on October 8, 2021, 2022 and 2023, subject to the Reporting Person's continued service on each such vesting date.

SEC source: 0001192482-20-000761 · edgar.xml · derivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,674

Underlying: Common Stock · 76,674 shares

Expires 2030-10-01

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000753 · edgar.xml · derivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,325

Underlying: Common Stock · 4,325 shares

Expires 2030-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000759 · edgar.xml · derivative · entry 1

Gutry Phil · CIK 0001653224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,516

Underlying: Common Stock · 4,516 shares

Expires 2030-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000757 · edgar.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,099

Underlying: Common Stock · 5,099 shares

Expires 2030-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000755 · edgar.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,374

Underlying: Common Stock · 6,374 shares

Expires 2030-09-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0000919574-20-005749 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,014,285

F1 · ownership.nature: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-20-005749 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,014,285

F2 · price: This constitutes the weighted average purchase price. The prices ranged from $2.14 to $2.25. The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") are directly owned by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital. Armistice Capital and Steven Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001192482-20-000604 · edgar.xml · derivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,683

Underlying: Common Stock · 64,683 shares

Expires 2030-07-01

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000596 · edgar.xml · derivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,130

Underlying: Common Stock · 2,130 shares

Expires 2030-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000595 · edgar.xml · derivative · entry 1

Gutry Phil · CIK 0001653224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,812

Underlying: Common Stock · 3,812 shares

Expires 2030-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000594 · edgar.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,304

Underlying: Common Stock · 4,304 shares

Expires 2030-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000593 · edgar.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,005

Underlying: Common Stock · 4,005 shares

Expires 2030-06-30

F1 · shares: 100% of this stock option will immediately vest on the date that it is granted.

SEC source: 0001192482-20-000546 · edgar.xml · derivative · entry 2

BARER SOL J · CIK 0001247015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2030-06-18

F2 · derivative.exercise_price: Subject to the Reporting Person's continued service on such vesting date, the stock option will vest as follows: 1) 1/2 of the shares will vest on June 18, 2020, with an exercise price of $2.51; 2) the next 1/4 of the shares will vest upon the Issuer's stock price reaching a 50% premium to the Issuer's stock price on June 18, 2020, and will have the exercise price of the Issuer's stock price at that time; and 3) the final 1/4 of the shares will vest upon the Issuer's stock price reaching a 75% premium to the Issuer's stock price on June 18, 2020, and will have an exercise price of the Issuer's stock price at that time.

F2 · shares: Subject to the Reporting Person's continued service on such vesting date, the stock option will vest as follows: 1) 1/2 of the shares will vest on June 18, 2020, with an exercise price of $2.51; 2) the next 1/4 of the shares will vest upon the Issuer's stock price reaching a 50% premium to the Issuer's stock price on June 18, 2020, and will have the exercise price of the Issuer's stock price at that time; and 3) the final 1/4 of the shares will vest upon the Issuer's stock price reaching a 75% premium to the Issuer's stock price on June 18, 2020, and will have an exercise price of the Issuer's stock price at that time.

F2 · derivative.exercise_date: Subject to the Reporting Person's continued service on such vesting date, the stock option will vest as follows: 1) 1/2 of the shares will vest on June 18, 2020, with an exercise price of $2.51; 2) the next 1/4 of the shares will vest upon the Issuer's stock price reaching a 50% premium to the Issuer's stock price on June 18, 2020, and will have the exercise price of the Issuer's stock price at that time; and 3) the final 1/4 of the shares will vest upon the Issuer's stock price reaching a 75% premium to the Issuer's stock price on June 18, 2020, and will have an exercise price of the Issuer's stock price at that time.

SEC source: 0001192482-20-000546 · edgar.xml · derivative · entry 1

BARER SOL J · CIK 0001247015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-18

F1 · shares: This stock option will be fully vested and exercisable on June 18, 2021, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-20-000550 · edgar.xml · derivative · entry 1

Bruhn Suzanne Louise · CIK 0001517790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-18

F1 · shares: This stock option will be fully vested and exercisable on June 18, 2021, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-20-000548 · edgar.xml · derivative · entry 1

Persson Magnus · CIK 0001653222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-18

F1 · shares: This stock option will be fully vested and exercisable on June 18, 2021, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-20-000544 · edgar.xml · derivative · entry 1

Gutry Phil · CIK 0001653224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-18

F1 · shares: This stock option will be fully vested and exercisable on June 18, 2021, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001192482-20-000542 · edgar.xml · derivative · entry 1

Miller Joseph M · CIK 0001746372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-18

F1 · shares: This stock option will be fully vested and exercisable on June 18, 2021, subject to the Reporting Person's continued service on such vesting date.