CNSP

SEC source: 0001683168-23-007109 · ownership.xml · derivative · entry 1

Keyes Jeffry R. · CIK 0001557736 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,428

Underlying: Common Stock · 39,475 shares

Expires 2033-09-22

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest on the earlier of the one-year anniversary of the date of issuance or the date of the 2024 annual meeting, subject to the grantee's continued service to the Company on the vesting date.

SEC source: 0001683168-23-007111 · ownership.xml · derivative · entry 1

Gumulka Jerzy · CIK 0001793252 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,428

Underlying: Common Stock · 39,475 shares

Expires 2033-09-22

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest on the earlier of the one-year anniversary of the date of issuance or the date of the 2024 annual meeting, subject to the grantee's continued service to the Company on the vesting date.

SEC source: 0001683168-23-007110 · ownership.xml · derivative · entry 1

Evans Carl Anthony · CIK 0001792582 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,428

Underlying: Common Stock · 39,475 shares

Expires 2033-09-22

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest on the earlier of the one-year anniversary of the date of issuance or the date of the 2024 annual meeting, subject to the grantee's continued service to the Company on the vesting date.

SEC source: 0001683168-23-007108 · ownership.xml · derivative · entry 2

Cockroft Bettina M. · CIK 0001900452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,074

Underlying: Common Stock · 9,475 shares

Expires 2033-09-22

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F3 · derivative.exercise_date: The stock options set forth in this table vest on the earlier of the one-year anniversary of the date of issuance or the date of the 2024 annual meeting, subject to the grantee's continued service to the Company on the vesting date.

SEC source: 0001683168-23-007106 · ownership.xml · derivative · entry 1

Andraczke Andrzej · CIK 0001792732 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,428

Underlying: Common Stock · 39,475 shares

Expires 2033-09-22

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest on the earlier of the one-year anniversary of the date of issuance or the date of the 2024 annual meeting, subject to the grantee's continued service to the Company on the vesting date.

SEC source: 0001683168-23-007108 · ownership.xml · derivative · entry 1

Cockroft Bettina M. · CIK 0001900452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,599

Underlying: Common Stock · 6,500 shares

Expires 2033-09-14

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest in 36 equal monthly installments. The stock option was approved by the compensation committee of the company's board of directors on August 4, 2023, subject to shareholder approval of the 2020 Stock Plan under which the option was granted. The shareholders of the company approved the plan at the company's annual meeting on September 14, 2023.

SEC source: 0001683168-23-006001 · ownership.xml · nonDerivative · entry 1

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,772

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.2196 to $1.2999. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001683168-23-005828 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,010

SEC source: 0001683168-23-003078 · ownership.xml · derivative · entry 1

Cockroft Bettina M. · CIK 0001900452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,300

Underlying: Common Stock · 8,300 shares

Expires 2023-05-05

F2 · price: The options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in 36 equal monthly installments succeeding the issuance date, or May 5, 2023, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001683168-23-005536 · ownership.xml · derivative · entry 1

Cockroft Bettina M. · CIK 0001900452 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,099

Underlying: Common Stock · 2,099 shares

Expires 2033-05-05

F2 · price: The options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in 36 equal monthly installments succeeding the issuance date, or May 5, 2023, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0001683168-23-002829 · ownership.xml · derivative · entry 2

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,248

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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · price: On April 28, 2022, the reporting person received 8,335 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.exercise_date: On April 28, 2022, the reporting person received 8,335 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.expiration_date: On April 28, 2022, the reporting person received 8,335 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

SEC source: 0001683168-23-002829 · ownership.xml · nonDerivative · entry 1

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,772

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: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001683168-23-002830 · ownership.xml · derivative · entry 2

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,201

Underlying: Common Stock · 1,250 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · price: On April 28, 2022, the reporting person received 20,000 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.exercise_date: On April 28, 2022, the reporting person received 20,000 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.expiration_date: On April 28, 2022, the reporting person received 20,000 restricted stock units vesting as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

SEC source: 0001683168-23-002830 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,260

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: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001683168-23-002562 · ownership.xml · nonDerivative · entry 1

Gumulka Jerzy · CIK 0001793252 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,673

SEC source: 0001683168-23-002495 · ownership.xml · nonDerivative · entry 1

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,251

SEC source: 0001683168-23-002405 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,010

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.677 to $0.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001683168-23-002424 · ownership.xml · nonDerivative · entry 1

Gumulka Jerzy · CIK 0001793252 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,173

SEC source: 0001683168-23-002095 · ownership.xml · derivative · entry 1

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,768

Underlying: Common stock · 6,067 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one shares of Issuer common stock.

F3 · price: Issued in connection with the reporting person's employment with the Company.

F2 · derivative.exercise_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 50% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $6.00 (subject to pro rata adjustment for stock splits or similar events); and (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $24.00 (subject to pro rata adjustment for stock splits or similar events).

F2 · derivative.expiration_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 50% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $6.00 (subject to pro rata adjustment for stock splits or similar events); and (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $24.00 (subject to pro rata adjustment for stock splits or similar events).

SEC source: 0001683168-23-002096 · ownership.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,451

Underlying: Common stock · 16,467 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one shares of Issuer common stock.

F3 · price: Issued in connection with the reporting person's employment with the Company.

F2 · derivative.exercise_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 50% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $6.00 (subject to pro rata adjustment for stock splits or similar events); and (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $24.00 (subject to pro rata adjustment for stock splits or similar events).

F2 · derivative.expiration_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 50% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $6.00 (subject to pro rata adjustment for stock splits or similar events); and (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $24.00 (subject to pro rata adjustment for stock splits or similar events).

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 17

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 156,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 16

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 166,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 15

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 171,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 14

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 176,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 13

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 186,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 12

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 191,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 11

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 196,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 10

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 201,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 9

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 206,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 8

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 211,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 7

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 216,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 6

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 221,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 5

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 226,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0001683168-23-000026 · ownership.xml · derivative · entry 1

Charles Faith L. · CIK 0001853985 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 3,500 shares

Expires 2022-12-30

F2 · price: The options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest in 36 equal monthly installments succeeding the issuance date, or December 30, 2022, subject to the grantee's continued service on the Company's Board of Directors on each vesting date.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 4

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 231,807

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 3

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 234,605

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 2

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 240,105

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0000897069-23-001044 · form4.xml · nonDerivative · entry 1

Priebe Waldemar · CIK 0001678516 · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · See footnote

Disclosed balance after: 245,605

F1 · ownership.nature: Consists of: (i) shares of common stock held by a limited liability company; and (ii) shares held by Houston Pharmaceuticals, Inc.

SEC source: 0001683168-22-003053 · ownership.xml · derivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,349,500

Underlying: Common Stock · 600,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one shares of Issuer common stock.

F3 · price: Issued in connection with the reporting person's employment with the Company.

F2 · derivative.exercise_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.expiration_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

SEC source: 0001683168-22-003054 · ownership.xml · derivative · entry 1

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 681,000

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one shares of Issuer common stock.

F3 · price: Issued in connection with the reporting person's employment with the Company.

F2 · derivative.exercise_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

F2 · derivative.expiration_date: The restricted stock units set forth in this table vest as follows, subject to the grantee's continued service to the Company on each vesting date, (i) 25% of the grant will vest in four equal annual installments over 4 years; (ii) 25% of the grant will vest if within 24 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $2.00 (subject to pro rata adjustment for stock splits or similar events); (iii) 25% of the grant will vest if within 36 months from issuance the average the closing price of the Issuer common stock over a ten trading day period exceeds $4.00 (subject to pro rata adjustment for stock splits or similar events); and (iv) 25% of the grant will vest if within 24 months from issuance the Issuer achieves positive interim, clinical data as determined by its Board of Directors.

SEC source: 0001683168-22-001631 · ownership.xml · nonDerivative · entry 1

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,500

SEC source: 0001683168-22-001545 · ownership.xml · nonDerivative · entry 1

Evans Carl Anthony · CIK 0001792582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

SEC source: 0001683168-22-001495 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 940,298

SEC source: 0001683168-22-001546 · ownership.xml · nonDerivative · entry 1

Keyes Jeffry R. · CIK 0001557736 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,100

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.2685 to $2999. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001683168-21-006141 · ownership.xml · nonDerivative · entry 1

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,500

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.9400 to $0.947299. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001683168-21-005869 · ownership.xml · nonDerivative · entry 1

Downs Christopher · CIK 0001705978 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,500

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.14 to $1.155. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001683168-21-005823 · ownership.xml · nonDerivative · entry 1

Climaco John M · CIK 0001546797 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 905,298

SEC source: 0001683168-21-003001 · ownership.xml · derivative · entry 1

Keyes Jeffry R. · CIK 0001557736 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,559

Underlying: Common Stock · 32,000 shares

Expires 2031-07-15

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest on the earlier of the one-year anniversary of the date hereof or the date of the 2022 annual meeting, subject to the grantee's continued service to the Company on the vesting date.

SEC source: 0001683168-21-002999 · ownership.xml · derivative · entry 1

Andraczke Andrzej · CIK 0001792732 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,559

Underlying: Common Stock · 32,000 shares

Expires 2031-07-15

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest on the earlier of the one-year anniversary of the date hereof or the date of the 2022 annual meeting, subject to the grantee's continued service to the Company on the vesting date.

SEC source: 0001683168-21-003000 · ownership.xml · derivative · entry 1

Gumulka Jerzy · CIK 0001793252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,559

Underlying: Common Stock · 32,000 shares

Expires 2031-07-15

F2 · price: The stock options were issued in connection with the reporting person's Board of Director services to the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest on the earlier of the one-year anniversary of the date hereof or the date of the 2022 annual meeting, subject to the grantee's continued service to the Company on the vesting date.