CVSI

SEC source: 0001572795-20-000005 · primary_doc.xml · nonDerivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,221,600

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.6116 to $0.624 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000005 · primary_doc.xml · nonDerivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,279,000

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.4951 to $0.719 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000004 · primary_doc.xml · nonDerivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 174,662

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.57 to $0.59 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F4 · balance_after: As of the date of this filing, the reporting person owns a total of 2,853,662 shares of common stock of the issuer, of which, the reporting person indirectly owns 174,662 shares of common stock of the issuer through Aegean Limited LLC, and directly owns 2,679,000 shares of common stock of the issuer.

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000004 · primary_doc.xml · nonDerivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 233,197

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.58 to $0.59 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001510964-20-000054 · wf-form4_159252769877664.xml · derivative · entry 1

MAROON JOSEPH C MD · CIK 0001221600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2030-06-15

F1 · derivative.exercise_date: The option is durational-based. 40,000 option shares vested on the date of grant and the remaining 150,000 option shares vest and become exercisable on June 16, 2021, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001510964-20-000058 · wf-form4_159252810555120.xml · derivative · entry 1

BLAKE PAUL · CIK 0001209719 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-06-15

F1 · derivative.exercise_date: The option is durational-based. 150,000 option shares vest and become exercisable on June 16, 2021, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001510964-20-000050 · wf-form4_159252635279457.xml · derivative · entry 1

GRAHAM TERRI F · CIK 0001189952 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The option is durational-based. 150,000 option shares vest and become exercisable on June 16, 2021, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001510964-20-000052 · wf-form4_159252746741724.xml · derivative · entry 1

MCNULTY JAMES A · CIK 0001275857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

Underlying: Common Stock · 230,000 shares

Expires 2030-06-15

F1 · derivative.exercise_date: The option is durational-based. 80,000 option shares vested on the date of grant and the remaining 150,000 option shares vest and become exercisable on June 16, 2021, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001510964-20-000056 · wf-form4_159252792276096.xml · derivative · entry 1

Altman Elizabeth Ann · CIK 0001792340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-06-15

F1 · derivative.exercise_date: The option is durational-based. 150,000 option shares vest and become exercisable on June 16, 2021, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001572795-20-000003 · primary_doc.xml · nonDerivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 283,197

F2 · balance_after: As of the date of this filing, the reporting person owns a total of 2,962,197 shares of common stock of the issuer, of which, the reporting person indirectly owns 283,197 shares of common stock of the issuer through Aegean Limited LLC, and directly owns 2,679,000 shares of common stock of the issuer.

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000003 · primary_doc.xml · nonDerivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 292,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001510964-20-000043 · wf-form4_158957760086388.xml · nonDerivative · entry 1

BLAKE PAUL · CIK 0001209719 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,801

F1 · price: The reporting person undertakes to provide CV Sciences, Inc., any security holder of CV Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased at each seperate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 23

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,679,000

F9 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.46 to $0.48 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F10 · balance_after: As of the date of this filing, the reporting person owns a total of 3,001,000 shares of common stock of the issuer, of which, the reporting person indirectly owns 322,000 shares of common stock of the issuer through Aegean Limited LLC, and directly owns 2,679,000 shares of common stock of the issuer.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 22

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,815,285

F8 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.47 to $0.49 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 21

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,924,524

F7 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.47 to $0.50 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 20

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,967,314

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 19

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,984,154

F6 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.52 to $0.54 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 18

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,068,729

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 17

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,074,379

F5 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.5 to $0.54 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 16

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,281,605

F4 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.51 to $0.52 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 15

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,324,379

F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.485 to $0.52 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 14

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,602,800

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.52 to $0.535 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 13

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 322,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001510964-20-000016 · wf-form4_158510102097096.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The option is durational-based. 500,000 option shares vested on the grant date, 500,000 option shares vest and become exercisable on April 15, 2020 and the remaining 500,000 option shares vest and become exercisable on July 15, 2020, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001510964-20-000018 · wf-form4_158510115632537.xml · derivative · entry 1

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The option is durational-based. 250,000 option shares vested on the grant date, 250,000 option shares vest and become exercisable on April 15, 2020 and the remaining 250,000 option shares vest and become exercisable on July 15, 2020, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 12

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 347,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 11

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 392,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001510964-20-000002 · wf-form4_158111791665586.xml · nonDerivative · entry 1

MAROON JOSEPH C MD · CIK 0001221600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 741,116

F1 · price: These shares were purchased in multiple transactions at price of $0.94 per share.

F2 · price: The reporting person undertakes to provide CV Sciences, Inc., any security holder of CV Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased at each seperate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 10

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 400,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 9

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 480,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 8

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 530,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 7

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 580,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 6

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 630,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 5

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 655,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 4

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 667,500

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 3

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 680,000

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 705,221

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001572795-20-000002 · primary_doc.xml · nonDerivative · entry 1

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Aegean Limited LLC

Disclosed balance after: 723,621

F1 · ownership.nature: The shares are directly held by Aegean Limited LLC, an entity owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of such shares except to the extent of the reporting person's pecuniary interest therein, if any.

SEC source: 0001510964-19-000082 · wf-form4_157782402829539.xml · derivative · entry 2

Mona Michael III · CIK 0001595068 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2028-03-19

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

F1 · derivative.exercise_date: The option is fully vested.

SEC source: 0001510964-19-000082 · wf-form4_157782402829539.xml · nonDerivative · entry 1

Mona Michael III · CIK 0001595068 · Director · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,230,000

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

SEC source: 0001510964-19-000079 · wf-form4_157714651123513.xml · nonDerivative · entry 2

MAROON JOSEPH C MD · CIK 0001221600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 715,116

F2 · price: The reporting person undertakes to provide CV Sciences, Inc., any security holder of CV Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased at each seperate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.07 to $1.09 per share, inclusive.

SEC source: 0001510964-19-000079 · wf-form4_157714651123513.xml · nonDerivative · entry 1

MAROON JOSEPH C MD · CIK 0001221600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 668,391

F1 · price: These shares were purchased in multiple transactions at price of $0.98 per share.

F2 · price: The reporting person undertakes to provide CV Sciences, Inc., any security holder of CV Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased at each seperate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

SEC source: 0001510964-19-000074 · wf-form4_157359269572210.xml · nonDerivative · entry 1

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · price: These shares were purchased in multiple transactions at a price of $1.65 per share.

F2 · price: The reporting person undertakes to provide CV Sciences, Inc., any security holder of CV Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased at the price set forth in footnote (1) to this Form 4.

SEC source: 0001510964-19-000068 · wf-form4_157316056381969.xml · nonDerivative · entry 1

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.47 to $1.49 per share, inclusive.

F2 · price: The reporting person undertakes to provide CV Sciences, Inc., any security holder of CV Sciences, Inc., or the staff of the Securities and Exchange Commission, upon request, the full information regarding the number of shares purchased at each seperate price within the ranges set forth in footnote (1) to this Form 4.

SEC source: 0001510964-20-000004 · wf-form5_158155408746591.xml · nonDerivative · entry 1

Altman Elizabeth Ann · CIK 0001792340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,181

F1 · kind: The reporting person owned 1,181 shares of common stock as of October 24, 2019, the date on which the reporting person became a director of CV Sciences, Inc. These shares should have been reported on Form 3.

SEC source: 0001683168-19-000765 · ownership.xml · derivative · entry 1

Grasser Joerg · CIK 0001763727 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: The option is durational-based. No option shares are vested on the date of grant and the remaining option shares vest and become exercisable as follows: (i) thirty-three percent (33%) of the option shares vest and become exercisable on the one (1) year anniversary of December 26, 2018, provided, however, that there has not been a termination of service as of such date and (ii) the balance of the option shares will vest and become exercisable in a series of twenty-four (24) successive equal monthly installments measured from the first anniversary of December 26, 2018, provided, however, that there has not been a termination of service as of each such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001510964-20-000012 · wf-form4_158465877181784.xml · derivative · entry 1

Dowling Joseph D · CIK 0001611860 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2029-02-19

F1 · derivative.exercise_date: The option is durational-based. 250,000 option shares vested on the date of grant and the remaining 250,000 option shares vest and become exercisable on May 20, 2019, provided, however, that there has not been a termination of service as of such date. In no event will the option become exercisable for any additional option shares after a termination of service.

SEC source: 0001683168-19-000097 · ownership.xml · derivative · entry 4

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2027-03-14

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

F1 · derivative.exercise_date: The stock option is fully vested on the date of grant.

SEC source: 0001683168-19-000097 · ownership.xml · derivative · entry 3

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 530,000 shares

Expires 2025-12-27

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

F1 · derivative.exercise_date: The stock option is fully vested on the date of grant.

SEC source: 0001683168-19-000097 · ownership.xml · nonDerivative · entry 2

Mona Michael Joseph Jr · CIK 0001572795 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 730,000

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