CTSO

SEC source: 0001104659-21-050384 · tm2113016d1_4.xml · derivative · entry 1

BATOR MICHAEL G. · CIK 0001647591 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,250

Underlying: Common Stock · 17,250 shares

Expires 2031-04-12

F1 · derivative.exercise_date: The stock options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan. The shares underlying the stock options will vest in four equal parts on 4/12/2021, 6/30/2021, 9/30/2021 and 12/31/2021, subject to the reporting person's continued service as of the applicable vesting date.

SEC source: 0001104659-21-000337 · tm211481d1_4seq1.xml · derivative · entry 3

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,793

Underlying: Common Stock · 7,857 shares

Expires 2027-02-24

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.

F5 · derivative.exercise_date: These stock options were originally granted on February 24, 2017 and became exercisable upon achievement of certain performance goals as determined in the discretion of the Compensation Committee of the Board of Directors of the Company.

SEC source: 0001104659-21-000337 · tm211481d1_4seq1.xml · nonDerivative · entry 1

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,013

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 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon a "Change In Control" of CytoSorbents Corporation (the "Company"), as defined in the Company's 2014 Long-Term Incentive Plan (the "Plan"): (a) 15,700 RSUs granted on February 24, 2017, (b) 47,000 RSUs granted on June 7, 2016, (c) 110,000 RSUs granted on April 8, 2015, and (d) 8,800 RSUs granted on March 15, 2018;

F2 · balance_after: (ii) the following RSUs (which vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the Reporting Person's continued service as of the applicable vesting date), and will be settled into common stock, par value $0.001 per share (the "Common Stock") of the Company upon vesting: (a) 28,667 RSUs granted on February 28, 2020 and unvested as of the date hereof, (b) 14,334 RSUs granted on July 22, 2019 and unvested as of the date hereof and (c) 1,358 RSUs granted on March 4, 2019 and unvested as of the date hereof; and

F3 · balance_after: (iii) 107,154 shares of Common Stock owned by the Reporting Person.

SEC source: 0001104659-20-124504 · tm2035834-1_4.xml · derivative · entry 3

Kraus Al · CIK 0001368152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,000 shares

Expires 2021-01-06

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

F3 · derivative.exercise_date: These options were originally granted to Mr. Kraus on January 6, 2011 as compensation for services rendered. The grant became fully vested on January 6, 2020.

SEC source: 0001104659-20-124504 · tm2035834-1_4.xml · nonDerivative · entry 2

Kraus Al · CIK 0001368152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,046

F1 · shares: These shares were sold in multiple transactions and multiple lots for the same price for this sale have been combined.

F2 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon vesting upon a "Change In Control" of CytoSorbents Corporation (the "Company") as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 55,000 RSUs granted on April 8, 2015, (b) 5,000 RSUs granted on June 7, 2016, (c) 6,000 RSUs granted on February 24, 2017 and (d) 3,300 RSUs granted on March 15, 2018; and (ii) 55,746 shares of common stock owned by the reporting person.

SEC source: 0001104659-20-124504 · tm2035834-1_4.xml · nonDerivative · entry 1

Kraus Al · CIK 0001368152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,046

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.

SEC source: 0001104659-20-097228 · tm2029102-1_4.xml · derivative · entry 2

Jones Edward Raymond · CIK 0001396246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2020-12-31

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.

SEC source: 0001104659-20-097228 · tm2029102-1_4.xml · nonDerivative · entry 1

Jones Edward Raymond · CIK 0001396246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,800

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 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon vesting upon a "Change In Control" of CytoSorbents Corporation (the "Company") as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 55,000 RSUs granted on April 8, 2015, (b) 5,000 RSUs granted on June 7, 2016, (c) 6,000 RSUs granted on February 24, 2017 and (d) 3,300 RSUs granted on March 15, 2018; and (ii) 9,500 shares of common stock owned by the reporting person.

SEC source: 0001104659-20-090308 · tm2026522d1_4.xml · derivative · entry 3

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,650

Underlying: Common Stock · 10,000 shares

Expires 2027-02-24

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.

F4 · derivative.exercise_date: These stock options were originally granted on February 24, 2017 and became exercisable upon achievement of certain performance goals as determined in the discretion of the Compensation Committee of the Board of Directors of the Company.

SEC source: 0001104659-20-090308 · tm2026522d1_4.xml · nonDerivative · entry 1

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,156

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 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon a "Change In Control" of CytoSorbents Corporation (the "Company"), as defined in the Company's 2014 Long-Term Incentive Plan (the "Plan"): (a) 15,700 RSUs granted on February 24, 2017, (b) 47,000 RSUs granted on June 7, 2016, (c) 110,000 RSUs granted on April 8, 2015, and (d) 8,800 RSUs granted on March 15, 2018; (continue with footnote 2)

F2 · balance_after: (ii) the following RSUs (which vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the Reporting Person's continued service as of the applicable vesting date), and will be settled into common stock, par value $0.001 per share (the "Common Stock") of the Company upon vesting: (a) 28,667 RSUs granted on February 28, 2020 and unvested as of the date hereof, (b) 14,334 RSUs granted on July 22, 2019 and unvested as of the date hereof and (c) 1,358 RSUs granted on March 4, 2019 and unvested as of the date hereof; and (iii) 99,297 shares of Common Stock owned by the Reporting Person.

SEC source: 0001104659-20-058219 · tm2019006d2_4.xml · derivative · entry 2

Capponi Vincent · CIK 0001368151 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,123 shares

Expires 2020-05-05

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

F3 · derivative.exercise_date: These stock options were originally granted on May 5, 2010 and became exercisable at the discretion of the Board of Directors of the Company based on criteria including (but not limited to) a timely completion of the sepsis trial, raising capital for the Company, and partnering and business development.

SEC source: 0001104659-20-058219 · tm2019006d2_4.xml · nonDerivative · entry 1

Capponi Vincent · CIK 0001368151 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,772

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 · balance_after: Includes: (i) the following RSUs that will be settled into common stock, par value $0.0001 per share (the "Common Stock") upon vesting upon a "Change In Control" of CytoSorbents Corporation (the "Company") as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 17,900 RSUs granted on February 24, 2017, (b) 54,000 RSUs granted on June 7, 2016, (c) 125,000 RSUs granted on April 8, 2015 and (d) 10,100 RSUs granted on March 15, 2018; (continue with footnote 2)

F2 · balance_after: (ii) the following RSUs (which vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date) and will settle into Common Stock upon vesting: (a) 36,067 RSUs granted on February 28, 2020 and unvested on the date hereof; (b) 36,067 RSUs granted on July 22, 2019 and unvested on the date hereof; and (c) 1,540 RSUs granted on March 4, 2019 and unvested on the date hereof; and (iii) 147,098 shares of Common Stock owned by the reporting person.

SEC source: 0001104659-20-058217 · tm2019006d1_4.xml · derivative · entry 2

Chan Phillip P. · CIK 0001442786 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,100 shares

Expires 2030-05-05

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

F3 · derivative.exercise_date: These stock options were originally granted on May 5, 2010 and became exercisable at the discretion of the Board of Directors of the Company based on criteria including (but not limited to) a timely completion of the sepsis trial, raising capital for the Company, and partnering and business development.

SEC source: 0001104659-20-058217 · tm2019006d1_4.xml · nonDerivative · entry 1

Chan Phillip P. · CIK 0001442786 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 714,682

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 · balance_after: Includes: (i) the following RSUs that will be settled into common stock, par value $0.0001 per share (the "Common Stock") upon vesting upon a "Change In Control" of CytoSorbents Corporation (the "Company") as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 10,300 RSUs granted on March 15, 2018, (b) 18,700 RSUs granted on February 24, 2017, (c) 57,000 RSUs granted on June 7, 2016 and (d) 130,000 RSUs granted on April 8, 2015; (continue with footnote 2)

F2 · balance_after: (ii) the following RSUs (which vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date) and will settle into Common Stock upon vesting: (a) 40,000 RSUs granted on February 28, 2020 and unvested on the date hereof, (b) 40,000 RSUs granted on July 22, 2019 and unvested on the date hereof, and (c) 1,834 RSUs granted on March 4, 2019 and unvested on the date hereof; and (iii) 416,848 shares of Common Stock owned by the reporting person.

SEC source: 0001104659-20-053381 · tm2018085-1_4.xml · derivative · entry 3

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 10,000 shares

Expires 2023-04-04

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 · kind: Stock option exercise conducted pursuant to a 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F6 · derivative.exercise_date: These stock options were originally granted on April 4, 2013 and became exercisable based on the achievement of certain milestones connected to the Company's operations, subject to approval by the Board of Directors.

SEC source: 0001104659-20-053381 · tm2018085-1_4.xml · nonDerivative · entry 2

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 417,649

F2 · kind: Open market sale conducted pursuant to a 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Exchange Act.

F3 · price: The price reported reflects a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.00 to $10.01

F4 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon vesting upon a "Change In Control" of CytoSorbents Corporation (the "Company") as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 17,900 RSUs granted on February 24, 2017, (b) 54,000 RSUs granted on June 7, 2016, (c) 125,000 RSUs granted on April 8, 2015 and (d) 10,100 RSUs granted on March 15, 2018;

F5 · balance_after: (ii) the following RSUs (which vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date) and will settle into common stock, par value $0.001 per share (the "Common Stock") of the Company upon vesting: (a) 36,067 RSUs granted on February 28, 2020 and unvested on the date hereof; (b) 36,067 RSUs granted on July 22, 2019 and unvested on the date hereof; and (c) 1,540 RSUs granted on March 4, 2019 and unvested on the date hereof; and (iii) 136,975 shares of common stock owned by the reporting person.

SEC source: 0001104659-20-053381 · tm2018085-1_4.xml · nonDerivative · entry 1

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,649

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 · kind: Stock option exercise conducted pursuant to a 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

SEC source: 0001104659-20-056881 · tm2018632-3_4.xml · derivative · entry 2

Deliargyris Efthymios · CIK 0001751617 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,500

Underlying: Common Stock · 85,500 shares

Expires 2030-04-12

F1 · date: Dr. Deliargyris was appointed as Chief Medical Officer of CytoSorbents Corporation (the "Company"), effective May 1, 2020. This Form 4 is being filed to report certain transactions made in connection with that certain Employment Agreement, dated April 12, 2020, by and between Dr. Deliargyris and the Company (the "Employment Agreement").

F3 · derivative.exercise_date: Reflects the grant of a stock option to purchase 85,500 shares of the Company's Common Stock. The shares underlying the stock option will vest over four years from the date of the grant, with (i) 30,000 shares underlying such option vesting immediately on the date of grant and becoming exercisable on October 12, 2020, and (ii) the remaining 55,000 shares underlying such option vesting and becoming exercisable in three approximately equal installments on the first, second and third anniversary of the date of grant, in each case, subject to the Reporting Person's employment on the applicable vesting date.

SEC source: 0001104659-20-056881 · tm2018632-3_4.xml · nonDerivative · entry 1

Deliargyris Efthymios · CIK 0001751617 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

F1 · date: Dr. Deliargyris was appointed as Chief Medical Officer of CytoSorbents Corporation (the "Company"), effective May 1, 2020. This Form 4 is being filed to report certain transactions made in connection with that certain Employment Agreement, dated April 12, 2020, by and between Dr. Deliargyris and the Company (the "Employment Agreement").

F2 · shares: Reflects the grant of (i) 120,000 restricted stock units, which shall fully vest as of and only upon a Change of Control (as defined in the Employment Agreement) and subject to the Reporting Person's continued employment as of the consummation of the Change of Control and (ii) 20,000 restricted stock units, which vest upon the earlier of (a) a Change of Control and (b) April 12, 2024, in each case, subject to the Reporting Person's continued employment as of the applicable vesting date. The restricted stock units will automatically settle into shares of the Company's common stock, $0.001 par value per share (the "Common Stock") upon vesting.

F2 · balance_after: Reflects the grant of (i) 120,000 restricted stock units, which shall fully vest as of and only upon a Change of Control (as defined in the Employment Agreement) and subject to the Reporting Person's continued employment as of the consummation of the Change of Control and (ii) 20,000 restricted stock units, which vest upon the earlier of (a) a Change of Control and (b) April 12, 2024, in each case, subject to the Reporting Person's continued employment as of the applicable vesting date. The restricted stock units will automatically settle into shares of the Company's common stock, $0.001 par value per share (the "Common Stock") upon vesting.

SEC source: 0001104659-20-032715 · tm2011575d4_form4.xml · derivative · entry 5

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,123

Underlying: Common Stock · 4,677 shares

Expires 2020-05-05

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 · kind: Stock option exercise conducted pursuant to a 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F5 · derivative.exercise_date: These stock options were originally granted on May 5, 2010 and vested at the discretion of the Company's Board of Directors based on satisfying certain criteria including a timely completion of the sepsis trial, raising capital for the Company, and partnering and business development.

SEC source: 0001104659-20-032715 · tm2011575d4_form4.xml · derivative · entry 4

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,800

Underlying: Common Stock · 6,500 shares

Expires 2020-05-05

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 · kind: Stock option exercise conducted pursuant to a 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F5 · derivative.exercise_date: These stock options were originally granted on May 5, 2010 and vested at the discretion of the Company's Board of Directors based on satisfying certain criteria including a timely completion of the sepsis trial, raising capital for the Company, and partnering and business development.

SEC source: 0001104659-20-032715 · tm2011575d4_form4.xml · nonDerivative · entry 3

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 417,649

F2 · kind: Open market sale conducted pursuant to a 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Exchange Act.

F3 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon vesting upon a "Change In Control" of CytoSorbents Corporation (the "Company") as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 17,900 RSUs granted on February 24, 2017, (b) 54,000 RSUs granted on June 7, 2016, (c) 125,000 RSUs granted on April 8, 2015 and (d) 10,100 RSUs granted on March 15, 2018; and (ii) the following RSUs (which vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date) and will settle into common stock, par value $0.001 per share (the "Common Stock") of the Company upon vesting: (a) 36,067 RSUs granted on February 28, 2020 and unvested on the date hereof; (b) 36,067 RSUs granted on July 22, 2019 and unvested on the date hereof; (continued in footnote 4)

F4 · balance_after: (continued from footnote 3) and (c) 1,540 RSUs granted on March 4, 2019 and unvested on the date hereof; and (iii) 136,975 shares of common stock owned by the reporting person.

SEC source: 0001104659-20-032715 · tm2011575d4_form4.xml · nonDerivative · entry 2

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 422,326

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 · kind: Stock option exercise conducted pursuant to a 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

SEC source: 0001104659-20-032715 · tm2011575d4_form4.xml · nonDerivative · entry 1

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 417,649

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 · kind: Stock option exercise conducted pursuant to a 10b5-1 trading plan adopted by the reporting person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

SEC source: 0001104659-20-028650 · tm2011575d2_form4.xml · derivative · entry 1

BATOR MICHAEL G. · CIK 0001647591 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-02-28

F1 · derivative.exercise_date: Includes 15,000 stock options granted on 2/28/2020 and reported on this Form 4. These options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and will vest in four equal parts on 3/31/2020, 6/30/2020, 9/30/2020 and 12/31/2020.

F1 · balance_after: Includes 15,000 stock options granted on 2/28/2020 and reported on this Form 4. These options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and will vest in four equal parts on 3/31/2020, 6/30/2020, 9/30/2020 and 12/31/2020.

SEC source: 0001104659-20-028657 · tm2011575d4_form4.xml · derivative · entry 2

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,000

Underlying: Common Stock · 68,000 shares

Expires 2030-02-28

F3 · derivative.exercise_date: The stock options were granted pursuant to the Plan. The shares underlying the stock options vest as to one-quarter of the award on each of the date of grant, the first anniversary of the date of grant, the second anniversary of the date of grant and the third anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date.

SEC source: 0001104659-20-028657 · tm2011575d4_form4.xml · nonDerivative · entry 1

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 420,849

F1 · shares: These shares represent restricted stock units ("RSUs") which shall vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

F2 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon vesting upon a "Change In Control" of CytoSorbents Corporation as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan (the "Plan"): (a) 17,900 RSUs granted on February 24, 2017, (b) 54,000 RSUs granted on June 7, 2016, (c) 125,000 RSUs granted on April 8, 2015 and (d) 10,100 RSUs granted on March 15, 2018; and (ii) the following RSUs subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting: (a) 54,100 RSUs granted on February 28, 2020 as reported on this Form 4; (b) 36,067 RSUs granted on July 22, 2019 and unvested on the date hereof; and (c) 3,080 RSUs granted on March 4, 2019 and unvested on the date hereof; and (iii) 120,602 shares of common stock owned by the reporting person.

SEC source: 0001104659-20-028656 · tm2011575d8_form4.xml · derivative · entry 1

Sobel Alan D. · CIK 0001639386 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-02-28

F1 · derivative.exercise_date: Includes 15,000 stock options granted on 2/28/2020 and reported on this Form 4. These options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and will vest in four equal parts on 3/31/2020, 6/30/2020, 9/30/2020 and 12/31/2020.

F1 · balance_after: Includes 15,000 stock options granted on 2/28/2020 and reported on this Form 4. These options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and will vest in four equal parts on 3/31/2020, 6/30/2020, 9/30/2020 and 12/31/2020.

SEC source: 0001104659-20-028655 · tm2011575d7_form4.xml · derivative · entry 1

Kraus Al · CIK 0001368152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-02-28

F1 · derivative.exercise_date: Includes 30,000 stock options granted on 2/28/2020 and reported on this Form 4. These options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and will vest in four equal parts on 3/31/2020, 6/30/2020, 9/30/2020 and 12/31/2020.

F1 · balance_after: Includes 30,000 stock options granted on 2/28/2020 and reported on this Form 4. These options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and will vest in four equal parts on 3/31/2020, 6/30/2020, 9/30/2020 and 12/31/2020.

SEC source: 0001104659-20-028654 · tm2011575d3_form4.xml · derivative · entry 3

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-02-28

F4 · derivative.exercise_date: The stock options were granted pursuant to the Plan. The shares underlying the stock options vest as to one-quarter of the award on each of the date of grant, the first anniversary of the date of grant, the second anniversary of the date of grant and the third anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date.

SEC source: 0001104659-20-028654 · tm2011575d3_form4.xml · nonDerivative · entry 1

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,828

F1 · shares: These shares represent restricted stock units ("RSUs") which shall vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

F2 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon a "Change In Control" of CytoSorbents Corporation (the "Company"), as defined in the Company's 2014 Long-Term Incentive Plan (the "Plan"): (a) 15,700 RSUs granted on February 24, 2017, (b) 47,000 RSUs granted on June 7, 2016, (c) 110,000 RSUs granted on April 8, 2015, and (d) 8,800 RSUs granted on March 15, 2018; (ii) the following RSUs subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting: (a) 43,000 RSUs granted on February 28, 2020 and reported on this Form 4, (b) 28,667 RSUs granted on July 22, 2020 and unvested as of the date hereof and (c) 2,714 RSUs granted on March 4, 2019 and unvested as of the date hereof; and (iii) 72,947 shares of common stock owned by the reporting person.

SEC source: 0001104659-20-028652 · tm2011575d6_form4.xml · derivative · entry 1

Jones Edward Raymond · CIK 0001396246 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-02-28

F1 · derivative.exercise_date: Includes 15,000 stock options granted on 2/28/2020 and reported on this Form 4. These options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and will vest in four equal parts on 3/31/2020, 6/30/2020, 9/30/2020 and 12/31/2020.

F1 · balance_after: Includes 15,000 stock options granted on 2/28/2020 and reported on this Form 4. These options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and will vest in four equal parts on 3/31/2020, 6/30/2020, 9/30/2020 and 12/31/2020.

SEC source: 0001104659-20-028648 · tm2011575d5_form4.xml · derivative · entry 2

Chan Phillip P. · CIK 0001442786 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-02-28

F3 · derivative.exercise_date: The stock options were granted pursuant to the Plan. The shares underlying the stock options vest as to one-quarter of the award on each of the date of grant, the first anniversary of the date of grant, the second anniversary of the date of grant and the third anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date.

SEC source: 0001104659-20-028648 · tm2011575d5_form4.xml · nonDerivative · entry 1

Chan Phillip P. · CIK 0001442786 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 711,178

F1 · shares: These shares represent restricted stock units ("RSUs") which shall vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

F2 · balance_after: Includes: (i) the following RSUs that will be settled into common stock upon vesting upon a "Change In Control," as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan (the "Plan"): (a) 10,300 RSUs granted on March 15, 2018, (b) 18,700 RSUs granted on February 24, 2017, (c) 57,000 RSUs granted on June 7, 2016 and (d) 130,000 RSUs granted on April 8, 2015; (ii) the following RSUs subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting: (a) 60,000 RSUs granted on February 28, 2020 as reported on this Form 4, (b) 40,000 RSUs granted on July 22, 2019 and unvested as of the date hereof and (c) 3,677 RSUs granted on March 4, 2019 and unvested as of the date hereof; and (iii) 391,511 shares of common stock owned by the reporting person.

SEC source: 0001104659-19-071352 · tm1924904d1_4.xml · nonDerivative · entry 1

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,895

F1 · balance_after: Includes (i) the following restricted stock units ("RSUs") that will be settled into common stock upon a "Change In Control" of the issuer, as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 8,800 RSUs granted on March 15, 2018, (b) 15,700 RSUs granted on February 24, 2017, (c) 47,000 RSUs granted on June 7, 2016, and (d) 110,000 RSUs granted on April 8, 2015; (ii) the following unvested RSUs that are subject to vesting in three equal annual installments with the first installment vesting on the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and that will be settled into common stock upon vesting: (a) 28,667 RSUs granted on July 22, 2019, (b) 11,567 RSUs granted on February 28, 2018, and (c) 2,714 RSUs granted on March 4, 2019; and (iii) 67,447 shares of common stock owned by the reporting person, inclusive of the 3,000 shares of common stock reported on this Form 4.

SEC source: 0001104659-19-070448 · tm1924679-1_4.xml · nonDerivative · entry 1

Chan Phillip P. · CIK 0001442786 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 657,688

F1 · balance_after: Includes: (i) the following restricted stock units ("RSUs") that will be settled into common stock upon vesting upon a "Change In Control" of the issuer as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan as follows: (a) 10,300 RSUs granted on March 15, 2018, (b) 18,700 RSUs granted on February 24, 2017, (c) 57,000 RSUs granted on June 7, 2016 and (d) 130,000 RSUs granted on April 8, 2015;

F2 · balance_after: (ii) the following RSUs subject to vesting in three equal annual installments with the first of such vesting beginning on the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and that will be settled into common stock upon vesting: (a) 40,000 RSUs granted on July 22, 2019, (b) 3,667 RSUs granted on March 4, 2019, and (c) 14,334 RSUs granted on February 28, 2018, all 58,001 of which are unvested as of the date hereof; and (iii) 383,687 shares of common stock owned by the reporting person, inclusive of the 16,500 shares of common stock reported on this Form 4.

SEC source: 0001104659-19-067732 · tm1923981d1_4.xml · nonDerivative · entry 1

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 21,000

F1 · ownership.nature: Includes (i) 10,000 shares held by the reporting person's husband in a 401(k) account (including the 1,000 shares reported on this Form 4) and (ii) 11,000 shares held by the reporting person's husband in an IRA account. The reporting person may be deemed the beneficial owner of all such shares.

SEC source: 0001144204-19-040422 · tv527863_4.xml · nonDerivative · entry 1

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 20,000

F1 · ownership.nature: Includes (i) 9,000 shares held by the reporting person's husband in a 401(k) account and (ii) 11,000 shares held by the reporting person's husband in an IRA account, including the 6,500 shares reported on this Form 4. The reporting person may be deemed the beneficial owner of such shares.

SEC source: 0001144204-19-040420 · tv527862_4.xml · derivative · entry 2

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,400

Underlying: Common Stock · 4,600 shares

Expires 2020-01-04

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

F3 · derivative.exercise_date: The option, representing a right to purchase a total of 20,000 shares of common stock (after giving effect to the issuer's twenty-five-for-one reverse split) became exercisable in five equal annual installments, with the first installment vesting on the date of grant.

SEC source: 0001144204-19-040420 · tv527862_4.xml · nonDerivative · entry 1

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372,501

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 · balance_after: Includes (i) the following restricted stock units ("RSUs") that will be settled into common stock upon vesting upon a "Change In Control" of the issuer as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 10,100 RSUs granted on March 15, 2018, (b) 17,900 RSUs granted on February 24, 2017, (c) 54,000 RSUs granted on June 7, 2016 and (d) 125,000 RSUs granted on April 8, 2015; (ii) the following RSUs subject to vesting in three equal annual installments with the first of such vesting beginning on the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting: (a) 36,067 RSUs granted on July 22, 2019 and unvested as of the date hereof,

F2 · balance_after: (b) 3,080 granted on March 4, 2019 and unvested as of the date hereof and (c) 12,667 RSUs granted on February 28, 2018 and unvested as of the date hereof; and (iii) 113,687 shares of common stock owned by the reporting person, inclusive of the 4,600 shares of common stock reported on this Form 4.

SEC source: 0001144204-19-040629 · tv527919_4.xml · derivative · entry 2

Chan Phillip P. · CIK 0001442786 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,100

Underlying: Common Stock · 75,000 shares

Expires 2020-05-05

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

F3 · derivative.exercise_date: On May 5, 2010 the reporting person was granted an option to purchase a total of 134,000 shares of common stock (after giving effect to the issuer's twenty-five-for-one reverse split) which was to vest at the discretion of the issuer's Board of Directors based on satisfying certain criteria including, but not limited to, timely completion of the sepsis trial, raising capital for the issuer, and partnering and business development. The issuer's Board of Directors subsequently determined that approximately two-thirds of such performance criteria was achieved, resulting in vesting of 89,100 shares underlying the option.

SEC source: 0001144204-19-040629 · tv527919_4.xml · nonDerivative · entry 1

Chan Phillip P. · CIK 0001442786 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 641,188

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 · balance_after: Includes: (i) the following restricted stock units ("RSUs") that will be settled into common stock upon vesting upon a "Change In Control" of the issuer as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan as follows: (a) 10,300 RSUs granted on March 15, 2018, (b) 18,700 RSUs granted on February 24, 2017, (c) 57,000 RSUs granted on June 7, 2016 and (d) 130,000 RSUs granted on April 8, 2015;

F2 · balance_after: (ii) the following RSUs subject to vesting in three equal annual installments with the first of such vesting beginning on the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and that will be settled into common stock upon vesting: (a) 40,000 RSUs granted on July 22, 2019 which are unvested as of the date hereof, (b) 3,667 RSUs granted on March 4, 2019 which are unvested as of the date hereof, and (c) 14,334 RSUs granted on February 28, 2018 which are unvested as of the date hereof; and (iii) 367,187 shares of common stock owned by the reporting person, inclusive of the 75,000 shares of common stock reported on this Form 4.

SEC source: 0001144204-19-040380 · tv527778_4.xml · derivative · entry 2

Mortensen Eric R. · CIK 0001708454 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 5,000 shares

Expires 2027-05-11

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.

F2 · derivative.exercise_date: The option, representing a right to purchase a total of 40,000 shares of common stock, became exercisable as to one-half of the award on each of the first anniversary of the date of grant and the second anniversary of the date of grant.

SEC source: 0001144204-19-040380 · tv527778_4.xml · nonDerivative · entry 1

Mortensen Eric R. · CIK 0001708454 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,932

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 · balance_after: Includes (i) the following Restricted Stock Units ("RSUs") that will be settled into common stock upon a "Change In Control," as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan: (a) 20,000 RSUs granted on March 15, 2018 and (b) 100,000 RSUs granted on May 11, 2017; (ii) the following RSUs subject to vesting as to one-third of the award on each of the date of grant and the first and second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and that will be settled into common stock upon vesting: (a) 8,134 RSUs granted on July 22, 2019 and unvested as of the date hereof, (b) 3,080 RSUs granted on March 4, 2019 and unvested as of the date hereof and (c) 4,667 RSUs granted on February 28, 2018 and unvested as of the date hereof; and (iii) 13,051 shares of common stock owned by the reporting person, inclusive of the 5,000 shares of common stock reported on this Form 4.

SEC source: 0001144204-19-039650 · tv527557_4.xml · nonDerivative · entry 1

BLOCH KATHLEEN P. · CIK 0001409212 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,500

F1 · ownership.nature: Includes (i) 9,000 shares held by the reporting person's husband in a 401(k) account and (ii) 4,500 shares held by the reporting person's husband in an IRA account, including the 1,500 shares reported on this Form 4. The reporting person may be deemed the beneficial owner of such shares.

SEC source: 0001144204-19-035840 · tv525806_4.xml · derivative · entry 1

Kraus Al · CIK 0001368152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-07-22

F1 · derivative.exercise_date: Such options were granted pursuant to the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan and vest in four equal parts at the end of each calendar quarter. The grant gives effect to vesting which was to occur on March 31, 2019 and June 30, 2019. The remaining portion of the grant will vest on September 30, 2019 and December 31, 2019.

SEC source: 0001144204-19-035842 · tv525808_4.xml · derivative · entry 2

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,000

Underlying: Common Stock · 68,000 shares

Expires 2029-07-22

F3 · derivative.exercise_date: The stock option was granted pursuant to the Plan. The shares underlying the stock option vest as to one-quarter of the award on each of the date of grant, the first anniversary of the date of grant, the second anniversary of the date of grant and the third anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date.

SEC source: 0001144204-19-035842 · tv525808_4.xml · nonDerivative · entry 1

Capponi Vincent · CIK 0001368151 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,322

F1 · shares: These shares represent restricted stock units ("RSUs") which shall vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

F2 · balance_after: Includes (i) the following RSUs that will be settled into common stock upon vesting upon a "Change In Control" of CytoSorbents Corporation as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan (the "Plan"): (a) 17,900 RSUs granted on February 24, 2017, (b) 54,000 RSUs granted on June 7, 2016, (c) 125,000 RSUs granted on April 8, 2015 and (d) 10,100 RSUs granted on March 15, 2018; (ii) the following RSUs subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting: (a) 54,100 RSUs granted on July 22, 2019 and reported on this Form 4, (b) 12,667 RSUs granted on February 28, 2018 and unvested as of the date hereof and (c) 3,080 RSUs granted on March 4, 2019 and unvested as of the date hereof; and (iii) 99,475 shares of common stock owned by the reporting person.

SEC source: 0001144204-19-035841 · tv525807_4.xml · derivative · entry 2

Mortensen Eric R. · CIK 0001708454 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,700

Underlying: Common Stock · 48,700 shares

Expires 2029-07-22

F3 · derivative.exercise_date: The stock option was granted pursuant to the Plan. The shares underlying the stock option vest as to one-quarter of the award on each of the date of grant, the first anniversary of the date of grant, the second anniversary of the date of grant and the third anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date.

SEC source: 0001144204-19-035841 · tv525807_4.xml · nonDerivative · entry 1

Mortensen Eric R. · CIK 0001708454 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,612

F1 · shares: These shares represent restricted stock units ("RSUs") which shall vest as to one-third of the award on each of the date of grant, the first anniversary of the date of grant, and the second anniversary of the date of grant, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

F2 · balance_after: Includes (i) the following RSUs that will be settled into common stock upon a "Change In Control" of CytoSorbents Corporation, as defined in the Amended and Restated CytoSorbents Corporation 2014 Long-Term Incentive Plan (the "Plan"): (a) 20,000 RSUs granted on March 15, 2018 and (b) 100,000 RSUs granted on May 11, 2017; (ii) the following RSUs subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting: (a) 12,200 RSUs granted on July 22, 2019 and reported on this Form 4, (b) 4,667 RSUs granted on February 28, 2018 and unvested as of the date hereof and (c) 3,080 RSUs granted on March 4, 2019 and unvested as of the date hereof; and (iii) 5,665 shares of common stock owned by the reporting person.