COCP

SEC source: 0001493152-26-036396 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,993,551

F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.972 to $0.9898, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-036169 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,983,551

F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.87 to $0.9499, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-027054 · ownership.xml · derivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 235,000

Underlying: Common Stock · 235,000 shares

Expires 2036-06-03

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options vest in four equal annual installments, with the first such installment to vest on June 3, 2027, subject in each case to continued employment with the Issuer on the applicable vesting date and subject to potential accelerated vesting upon a Change in Control or termination for Cause, as such terms are defined in the 2025 Equity Incentive Plan.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Board of Directors. The options were granted under the Issuer's 2025 Equity Incentive Plan and the exercisability of the options is subject to execution of the Issuer's standard form of Stock Option Agreement. The options vest in four equal annual installments, with the first such installment to vest on June 3, 2027, subject in each case to continued employment with the Issuer on the applicable vesting date and subject to potential accelerated vesting upon a Change in Control or termination for Cause, as such terms are defined in the 2025 Equity Incentive Plan.

SEC source: 0001493152-26-008039 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,908,551

F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.98 to $1.00, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-005773 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,888,551

F1 · price: The price reported in Column 4 is a weighted average price. These securities were purchased in multiple transactions ranging from $0.8899 to $0.9880, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares purchased at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-002035 · ownership.xml · derivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,615

Underlying: Common Stock · 24,615 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

SEC source: 0001493152-26-002037 · ownership.xml · derivative · entry 1

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,410

Underlying: Common Stock · 16,410 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

SEC source: 0001683168-26-000263 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,615

Underlying: Common Stock · 24,615 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

SEC source: 0001493152-26-002042 · ownership.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,410

Underlying: Common Stock · 16,410 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

SEC source: 0001493152-26-002038 · ownership.xml · derivative · entry 1

Lee Sam · CIK 0001602074 · President and Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,229

Underlying: Common Stock · 49,229 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as an officer of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as an officer of the Issuer on each applicable vesting date.

SEC source: 0001493152-26-002036 · ownership.xml · derivative · entry 1

Martin James Joseph · CIK 0001510224 · Co-CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,229

Underlying: Common Stock · 49,229 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as an officer of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as an officer of the Issuer on each applicable vesting date.

SEC source: 0001493152-26-002033 · ownership.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,410

Underlying: Common Stock · 16,410 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

SEC source: 0001493152-26-002034 · ownership.xml · derivative · entry 1

Japour Anthony J · CIK 0001773088 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,410

Underlying: Common Stock · 16,410 shares

Expires 2036-01-09

F1 · security: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

F1 · derivative.exercise_date: The grant of the Issuer's non-qualified stock options was exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder, as it was approved by the Issuer's Compensation Committee of the Board of Directors. The non-qualified stock options are granted under the Issuer's 2025 Equity Incentive Plan and the exercisability shall be subject to execution of the Issuer's form of Non-Qualified Stock Option Agreement. The non-qualified stock options shall vest as follows: one-half shall vest and become exercisable on January 9, 2027 and the remaining half shall vest and become exercisable in eight equal quarterly installments commencing on March 31, 2027, subject to the Reporting Person continuing to serve as a director of the Issuer on each applicable vesting date.

SEC source: 0001493152-26-000114 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,838,551

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9370 to $0.9519, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029796 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,788,551

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9635 to $0.9700, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029257 · ownership.xml · nonDerivative · entry 2

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,768,551

F1 · price: The price reported in Column 4 for December 24, 2025 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9641 to $0.9803, inclusive. The price reported in Column 4 for December 26, 2025 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9596 to $0.9837, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029257 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,728,551

F1 · price: The price reported in Column 4 for December 24, 2025 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9641 to $0.9803, inclusive. The price reported in Column 4 for December 26, 2025 is a weighted average price. These securities were sold in multiple transactions ranging from $0.9596 to $0.9837, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-025314 · ownership.xml · nonDerivative · entry 2

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,703,551

F1 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-025314 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,701,051

F1 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-025048 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,699,551

F1 · price: The price reported in Column 4 is a weighted average price. These securities were sold in multiple transactions ranging from $0.937 to $0.943, inclusive. The reporting person undertakes to provide to Cocrystal Pharma, Inc., any security holder of Cocrystal Pharma, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the preceding sentence.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-020222 · ownership.xml · derivative · entry 3

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 719,426

Underlying: Common Stock · 719,426 shares

Expires 2028-01-28

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F1 · derivative.exercise_date: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-020222 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,679,551

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F2 · ownership.nature: These shares are held by Frost Gamma Investments Trust, of which Phillip Frost M.D., is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. Dr. Frost is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. Dr. Frost is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-020221 · ownership.xml · derivative · entry 2

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 719,426

Underlying: Common Stock · 719,426 shares

Expires 2028-01-28

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F1 · derivative.exercise_date: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

SEC source: 0001493152-25-020221 · ownership.xml · nonDerivative · entry 1

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,383,009

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F2 · balance_after: Includes shares of common stock issuable upon vesting of restricted stock units.

SEC source: 0001493152-25-020219 · ownership.xml · derivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-01-28

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F1 · derivative.exercise_date: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

SEC source: 0001493152-25-020219 · ownership.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,400

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F1 · price: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock.The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F2 · balance_after: Includes shares of common stock issuable upon vesting of restricted stock units.

SEC source: 0001493152-25-020218 · ownership.xml · derivative · entry 2

Martin James Joseph · CIK 0001510224 · Co-CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,196

Underlying: Common Stock · 7,196 shares

Expires 2028-01-28

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F1 · derivative.exercise_date: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

SEC source: 0001493152-25-020218 · ownership.xml · nonDerivative · entry 1

Martin James Joseph · CIK 0001510224 · Co-CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,167

F1 · security: The Reporting Person purchased units at $1.39 per unit with each unit consisting of one share of common stock and a warrant to purchase two shares of common stock. The shares of common stock and warrants purchased are exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by a Special Committee of the Board of Directors of the Issuer, which Special Committee consisted of two non-employee directors. The warrants were exercisable upon issuance.

F2 · balance_after: Includes shares of common stock issuable upon vesting of restricted stock units.

SEC source: 0001493152-24-040901 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,100

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001493152-24-040899 · ownership.xml · nonDerivative · entry 1

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,023,296

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001493152-24-040903 · ownership.xml · nonDerivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,109

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001493152-24-040905 · ownership.xml · nonDerivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,660,242

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001493152-24-040902 · ownership.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,400

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001493152-24-040904 · ownership.xml · nonDerivative · entry 1

Lee Sam · CIK 0001602074 · President and Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,355

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001493152-24-040900 · ownership.xml · nonDerivative · entry 1

Martin James Joseph · CIK 0001510224 · Co-CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,569

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001493152-24-040898 · ownership.xml · nonDerivative · entry 1

Japour Anthony J · CIK 0001773088 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,924

F1 · security: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

F1 · price: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The grant is exempt from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 thereunder, as it was approved by the Board of Directors of the Issuer. One half of the RSUs are fully vested, with the balance vesting in eight equal quarterly installments on the last day of each quarter commencing with the quarter ending September 30, 2025, subject to continued services for the Company as of each applicable vesting date. Shares of common stock will be delivered to the Reporting Person promptly upon vesting, unless the Reporting Person elects to defer delivery. The RSUs were granted under the Issuer's 2015 Equity Incentive Plan and will vest in full upon a Change of Control as defined in such Plan.

SEC source: 0001493152-23-025086 · ownership.xml · derivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,333

Underlying: Common Stock · 19,333 shares

Expires 2033-07-18

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 18, 2024 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-23-025080 · ownership.xml · derivative · entry 1

Hassan Fred · CIK 0001110744 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,333

Underlying: Common Stock · 7,333 shares

Expires 2033-07-18

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 18, 2024 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-23-025083 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,417

Underlying: Common Stock · 24,417 shares

Expires 2033-07-18

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 18, 2024 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-23-025085 · ownership.xml · derivative · entry 1

Japour Anthony J · CIK 0001773088 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,567

Underlying: Common Stock · 13,567 shares

Expires 2033-07-18

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 18, 2024 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-23-025084 · ownership.xml · derivative · entry 1

Martin James Joseph · CIK 0001510224 · Co-CEO and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-07-18

F1 · security: The stock options were issued pursuant to the 2015 Equity Incentive Plan and are intended to be incentive stock options within the meaning of Section 422 of the Internal Revenue Code (the "Code").

F2 · derivative.exercise_date: The stock options vest and become exercisable as follows, subject in each case to the limitations on exercisability of incentive stock options under Section 422 of the Code: one-half will vest on July 18, 2024 and the remaining half will vest in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to continued employment on each applicable vesting date.

SEC source: 0001493152-23-025081 · ownership.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,333

Underlying: Common Stock · 7,333 shares

Expires 2033-07-18

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 18, 2024 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-23-025082 · ownership.xml · derivative · entry 1

Lee Sam · CIK 0001602074 · President and Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-07-18

F1 · security: The stock options were issued pursuant to the 2015 Equity Incentive Plan and are intended to be incentive stock options within the meaning of Section 422 of the Internal Revenue Code (the "Code").

F2 · derivative.exercise_date: The stock options vest and become exercisable as follows, subject in each case to the limitations on exercisability of incentive stock options under Section 422 of the Code: one-half will vest on July 18, 2024 and the remaining half will vest in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to continued employment on each applicable vesting date.

SEC source: 0001493152-23-025078 · ownership.xml · derivative · entry 1

Rubin Steven D · CIK 0001381874 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,233

Underlying: Common Stock · 17,233 shares

Expires 2033-07-18

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 18, 2024 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2024, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-23-011239 · ownership.xml · nonDerivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director · 10% owner

Frost Gamma Investments Trust · CIK 0001380896 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By Frost Gamma Investments Trust

Disclosed balance after: 1,319,838

F1 · shares: These securities were purchased in a private transaction with the Issuer.

F2 · balance_after: The amount of securities beneficially owned has been adjusted for the one-for-12 reverse stock split effective October 11, 2022.

F3 · ownership.nature: These securities are held by Frost Gamma Investments Trust, of which Phillip Frost, MD (the "Reporting Person") is the trustee. Frost Gamma L.P. is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma L.P. The general partner of Frost Gamma L.P. is Frost Gamma, Inc., and the sole stockholder of Frost Gamma, Inc. is Frost-Nevada Corporation. The Reporting Person is the sole stockholder of Frost-Nevada Corporation. The Reporting Person disclaims beneficial ownership of the securities held by Frost Gamma Investments Trust except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-22-021152 · ownership.xml · derivative · entry 1

FROST PHILLIP MD ET AL · CIK 0000898860 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2032-07-25

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 25, 2023 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2023, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-22-021147 · ownership.xml · derivative · entry 1

Kornberg Roger D. · CIK 0001444532 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2032-07-25

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 25, 2023 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2023, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-22-021187 · ownership.xml · derivative · entry 1

Japour Anthony J · CIK 0001773088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,000

Underlying: Common Stock · 148,000 shares

Expires 2032-07-25

F1 · derivative.exercise_date: The stock options were issued pursuant to the 2015 Equity Incentive Plan and vest as follows: one-half will vest and become exercisable on July 25, 2023 and the remaining half will vest and become exercisable in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2023, subject to the reporting person continuing to serve as a director of the Company on each applicable vesting date.

SEC source: 0001493152-22-021150 · ownership.xml · derivative · entry 1

Martin James Joseph · CIK 0001510224 · Co- Interim CEO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2032-07-25

F1 · security: The stock options were issued pursuant to the 2015 Equity Incentive Plan and are intended to be incentive stock options within the meaning of Section 422 of the Internal Revenue Code (the "Code").

F2 · derivative.exercise_date: The stock options vest and become exercisable as follows, subject in each case to the limitations on exercisability of incentive stock options under Section 422 of the Code: one-half will vest on July 25, 2023 and the remaining half will vest in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2023, subject to continued employment on each applicable vesting date.

SEC source: 0001493152-22-021148 · ownership.xml · derivative · entry 1

Lee Sam · CIK 0001602074 · President and Co-Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2032-07-25

F1 · security: The stock options were issued pursuant to the 2015 Equity Incentive Plan and are intended to be incentive stock options within the meaning of Section 422 of the Internal Revenue Code (the "Code").

F2 · derivative.exercise_date: The stock options vest and become exercisable as follows, subject in each case to the limitations on exercisability of incentive stock options under Section 422 of the Code: one-half will vest on July 25, 2023 and the remaining half will vest in eight equal quarterly installments on the last day of March, June, September, and December commencing on September 30, 2023, subject to continued employment on each applicable vesting date.