BTAI

SEC source: 0001104659-24-100751 · tm2424255-6_4seq1.xml · nonDerivative · entry 4

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 51,666

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-100751 · tm2424255-6_4seq1.xml · nonDerivative · entry 3

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 52,816

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-100747 · tm2424255-1_4seq1.xml · nonDerivative · entry 2

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,907

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2023.

SEC source: 0001104659-24-100749 · tm2424255-3_4seq1.xml · nonDerivative · entry 3

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,204

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-100752 · tm2424255-7_4seq1.xml · nonDerivative · entry 3

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,203

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on December 14, 2023.

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · nonDerivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,133

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-100746 · tm2424255-5_4seq1.xml · nonDerivative · entry 2

Wiley Matthew T. · CIK 0001759703 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,033

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-100751 · tm2424255-6_4seq1.xml · derivative · entry 8

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 3,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F5 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F5 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100751 · tm2424255-6_4seq1.xml · nonDerivative · entry 2

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 53,648

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100749 · tm2424255-3_4seq1.xml · derivative · entry 5

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,625

Underlying: Common Stock · 563 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100749 · tm2424255-3_4seq1.xml · nonDerivative · entry 2

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,560

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100752 · tm2424255-7_4seq1.xml · derivative · entry 5

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,625

Underlying: Common Stock · 563 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100752 · tm2424255-7_4seq1.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,558

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · derivative · entry 5

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,625

Underlying: Common Stock · 563 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · nonDerivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 9,478

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100746 · tm2424255-5_4seq1.xml · derivative · entry 3

Wiley Matthew T. · CIK 0001759703 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 12,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 12,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100746 · tm2424255-5_4seq1.xml · nonDerivative · entry 1

Wiley Matthew T. · CIK 0001759703 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,248

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100751 · tm2424255-6_4seq1.xml · derivative · entry 7

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 15,657

Underlying: Common Stock · 2,609 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 41,750 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 41,750 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100751 · tm2424255-6_4seq1.xml · nonDerivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 50,148

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100747 · tm2424255-1_4seq1.xml · derivative · entry 3

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,127

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100747 · tm2424255-1_4seq1.xml · nonDerivative · entry 1

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,045

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100749 · tm2424255-3_4seq1.xml · derivative · entry 4

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,127

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100749 · tm2424255-3_4seq1.xml · nonDerivative · entry 1

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,997

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100752 · tm2424255-7_4seq1.xml · derivative · entry 4

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,127

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100752 · tm2424255-7_4seq1.xml · nonDerivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,995

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · derivative · entry 4

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,127

Underlying: Common Stock · 521 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 14, 2022, the Reporting Person was granted 8,337 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-100748 · tm2424255-2_4seq1.xml · nonDerivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,915

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-25-030686 · tm2511097-6_4seq1.xml · derivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 6,250 shares

Expires 2034-07-22

F1 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F2 · derivative.exercise_date: The Reporting Person was granted an option to purchase 6,250 shares of common stock, which vests as to 50% on each of the first and second anniversaries of the grant date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-25-030688 · tm2511097-7_4seq1.xml · derivative · entry 1

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common Stock · 1,875 shares

Expires 2034-07-22

F1 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F2 · derivative.exercise_date: The Reporting Person was granted an option to purchase 1,875 shares of common stock, which vests as to 50% on each of the first and second anniversaries of the grant date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. Due to the Reporting Person's termination of employment, the unvested Stock Option was forfeited.

SEC source: 0001104659-25-030685 · tm2511097-5_4seq1.xml · derivative · entry 2

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common Stock · 1,875 shares

Expires 2034-07-22

F2 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F4 · derivative.exercise_date: The Reporting Person was granted an option to purchase 1,875 shares of common stock, which vests as to 50% on each of the first and second anniversaries of the grant date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-25-030685 · tm2511097-5_4seq1.xml · derivative · entry 1

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 625

Underlying: Common Stock · 625 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F3 · derivative.exercise_date: The RSUs will vest and settle as to 100% of the total number of RSUs on the first anniversary of the grant date, subject to the Reporting Person's continuous employment with the Issuer through such date.

F3 · derivative.expiration_date: The RSUs will vest and settle as to 100% of the total number of RSUs on the first anniversary of the grant date, subject to the Reporting Person's continuous employment with the Issuer through such date.

SEC source: 0001104659-25-030684 · tm2511097-4_4seq1.xml · derivative · entry 1

Wiley Matthew T. · CIK 0001759703 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common Stock · 1,875 shares

Expires 2034-07-22

F1 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F2 · derivative.exercise_date: The Reporting Person was granted an option to purchase 1,875 shares of common stock, which vests as to 50% on each of the first and second anniversaries of the grant date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates. Due to the Reporting Person's termination of employment, the unvested Stock Option was forfeited.

SEC source: 0001104659-25-030682 · tm2511097-3_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common Stock · 1,875 shares

Expires 2034-07-22

F2 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F4 · derivative.exercise_date: The Reporting Person was granted an option to purchase 1,875 shares of common stock, which vests as to 50% on each of the first and second anniversaries of the grant date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-25-030682 · tm2511097-3_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 625

Underlying: Common Stock · 625 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F3 · derivative.exercise_date: The RSUs will vest and settle as to 100% of the total number of RSUs on the first anniversary of the grant date, subject to the Reporting Person's continuous employment with the Issuer through such date.

F3 · derivative.expiration_date: The RSUs will vest and settle as to 100% of the total number of RSUs on the first anniversary of the grant date, subject to the Reporting Person's continuous employment with the Issuer through such date.

SEC source: 0001104659-25-030680 · tm2511097-2_4seq1.xml · derivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common Stock · 1,875 shares

Expires 2034-07-22

F1 · shares: The share amount has been adjusted to reflect the reverse stock split effective on February 7, 2025 whereby every sixteen shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F2 · derivative.exercise_date: The Reporting Person was granted an option to purchase 1,875 shares of common stock, which vests as to 50% on each of the first and second anniversaries of the grant date, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-072999 · tm2417544-1_4seq1.xml · nonDerivative · entry 3

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 47,539

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

F3 · price: The price reported in a weighted average price. The securities were sold in multiple transactions at a per share prices ranging from $1.275 to $1.295. The Reporting Person undertakes to provide upon request the Securities and Exchange Commission staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sole at each separate price within the range set forth in this footnote.

SEC source: 0001104659-24-073000 · tm2417544-2_4seq1.xml · nonDerivative · entry 2

O'Neill Vincent · CIK 0001672718 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,524

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2023.

SEC source: 0001104659-24-073002 · tm2417544-5_4seq1.xml · nonDerivative · entry 3

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,476

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-073004 · tm2417544-7_4seq1.xml · nonDerivative · entry 3

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,474

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted on December 14, 2023.

SEC source: 0001104659-24-073003 · tm2417544-6_4seq1.xml · nonDerivative · entry 2

Wiley Matthew T. · CIK 0001759703 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,498

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · nonDerivative · entry 3

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,394

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 14, 2023.

SEC source: 0001104659-24-072999 · tm2417544-1_4seq1.xml · derivative · entry 7

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 38,500

Underlying: Common Stock · 3,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F6 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F6 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 56,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-072999 · tm2417544-1_4seq1.xml · nonDerivative · entry 2

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 49,673

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-073002 · tm2417544-5_4seq1.xml · derivative · entry 5

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,188

Underlying: Common Stock · 562 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-073002 · tm2417544-5_4seq1.xml · nonDerivative · entry 2

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 5,848

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-073004 · tm2417544-7_4seq1.xml · derivative · entry 5

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,188

Underlying: Common Stock · 562 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-073004 · tm2417544-7_4seq1.xml · nonDerivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 13,846

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-073003 · tm2417544-6_4seq1.xml · derivative · entry 3

Wiley Matthew T. · CIK 0001759703 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,250

Underlying: Common Stock · 750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F3 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 12,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F3 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 12,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-24-073003 · tm2417544-6_4seq1.xml · nonDerivative · entry 1

Wiley Matthew T. · CIK 0001759703 · Chief Commercial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,742

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

SEC source: 0001104659-24-073001 · tm2417544-4_4seq1.xml · derivative · entry 5

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,188

Underlying: Common Stock · 562 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F4 · derivative.exercise_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F4 · derivative.expiration_date: On March 15, 2023, the Reporting Person was granted 9,000 RSUs, vesting as to 25% of the total number of RSUs on the first anniversary of March 15, 2023 and as to 6.25% of the total number of RSUs at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.