DRMA

SEC source: 0001493152-26-039046 · ownership.xml · derivative · entry 3

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,040

Underlying: Common Stock · 102,040 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire two years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire two years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

SEC source: 0001493152-26-039046 · ownership.xml · derivative · entry 2

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,040

Underlying: Common Stock · 102,040 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47.

F3 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire five years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire five years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

SEC source: 0001493152-26-039046 · ownership.xml · nonDerivative · entry 1

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 232,463

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47.

F3 · balance_after: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire five years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 10

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,360,544

Underlying: Common Stock · 1,360,544 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F6 · derivative.expiration_date: The pre-funded warrant has no expiration date.

F3 · derivative.underlying_shares: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 9

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 170,068

Underlying: Common Stock · 170,068 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 8

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 170,068

Underlying: Common Stock · 170,068 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F3 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 7

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,360,544

Underlying: Common Stock · 1,360,544 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 6

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,360,544

Underlying: Common Stock · 1,360,544 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F3 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · nonDerivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 292,631

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-028884 · ownership.xml · nonDerivative · entry 1

Scott Kathleen D. · CIK 0001794284 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001493152-26-010630 · ownership.xml · nonDerivative · entry 1

Bedoya-Toro Munera Maria E · CIK 0001400048 · SVP, Regulatory Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,012

SEC source: 0001493152-26-000703 · ownership.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001493152-26-000696 · ownership.xml · derivative · entry 1

Nardo Christopher J. · CIK 0001870247 · Senior VP, CDO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001493152-26-000701 · ownership.xml · derivative · entry 1

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001493152-26-000698 · ownership.xml · derivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001493152-26-000704 · ownership.xml · derivative · entry 1

Bedoya-Toro Munera Maria E · CIK 0001400048 · SVP, Regulatory Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001493152-26-000699 · ownership.xml · derivative · entry 1

WIERENGA WENDELL · CIK 0001239956 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001493152-26-000697 · ownership.xml · derivative · entry 1

Scott Kathleen D. · CIK 0001794284 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001493152-26-000702 · ownership.xml · derivative · entry 1

Sandler Andrew Seth · CIK 0001596060 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001493152-26-000695 · ownership.xml · derivative · entry 1

Mento Steven J · CIK 0001324466 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001493152-26-000700 · ownership.xml · derivative · entry 1

FISHER MARY · CIK 0001272360 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001493152-26-000694 · ownership.xml · derivative · entry 1

Bradrick Brittany · CIK 0001904176 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001493152-25-029470 · ownership.xml · derivative · entry 5

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,874

Underlying: Common Stock · 7,874 shares

Expires not disclosed

F6 · kind: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F6 · price: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F6 · derivative.exercise_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F6 · derivative.expiration_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · derivative.underlying_shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F3 · balance_after: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

SEC source: 0001493152-25-029470 · ownership.xml · derivative · entry 4

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,874 shares

Expires not disclosed

F6 · kind: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F6 · price: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F6 · derivative.exercise_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F6 · derivative.expiration_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · derivative.underlying_shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

SEC source: 0001493152-25-029470 · ownership.xml · derivative · entry 3

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,549

Underlying: Common Stock · 122,549 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F5 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire two years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire two years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

SEC source: 0001493152-25-029470 · ownership.xml · derivative · entry 2

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 122,549

Underlying: Common Stock · 122,549 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire five years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants issued in the Private Placement. This warrant will expire five years from the effective date of stockholder approval and cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

SEC source: 0001493152-25-029470 · ownership.xml · nonDerivative · entry 1

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,423

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F3 · balance_after: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 12

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,740

Underlying: Common Stock · 78,740 shares

Expires not disclosed

F7 · kind: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F7 · price: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F7 · derivative.exercise_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F7 · derivative.expiration_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · derivative.underlying_shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F3 · balance_after: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 11

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 78,740 shares

Expires not disclosed

F7 · kind: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F7 · price: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F7 · derivative.exercise_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F7 · derivative.expiration_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · derivative.underlying_shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 10

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 122,549

Underlying: Common Stock · 122,549 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F5 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 9

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 122,549

Underlying: Common Stock · 122,549 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 8

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Family Trust

Disclosed balance after: 490,496

Underlying: Common Stock · 490,496 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F5 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 7

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Family Trust

Disclosed balance after: 490,496

Underlying: Common Stock · 490,196 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · nonDerivative · entry 2

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 122,563

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F3 · balance_after: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · nonDerivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Family Trust

Disclosed balance after: 490,255

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F3 · balance_after: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-25-000690 · section16.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hale BioPharma Ventures LLC

Disclosed balance after: 80,957

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F4 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-25-000690 · section16.xml · derivative · entry 5

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hale BioPharma Ventures LLC

Disclosed balance after: 78,741

Underlying: Common Stock · 78,741 shares

Expires not disclosed

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F3 · derivative.exercise_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-25-000692 · section16.xml · derivative · entry 2

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,741

Underlying: Common Stock · 78,741 shares

Expires not disclosed

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F3 · derivative.exercise_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants issued in the private placement. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants issued in the private placement. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

SEC source: 0001654954-25-000692 · section16.xml · nonDerivative · entry 1

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,741

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

SEC source: 0001654954-25-000693 · section16.xml · derivative · entry 2

FISHER MARY · CIK 0001272360 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,851

Underlying: Common Stock · 196,851 shares

Expires not disclosed

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F3 · derivative.exercise_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

SEC source: 0001654954-25-000693 · section16.xml · nonDerivative · entry 1

FISHER MARY · CIK 0001272360 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 196,946

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

SEC source: 0001654954-25-000691 · section16.xml · derivative · entry 7

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 787,402

Underlying: Common Stock · 787,402 shares

Expires not disclosed

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F3 · derivative.exercise_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-25-000691 · section16.xml · nonDerivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 799,508

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F4 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-25-000410 · section16.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001654954-25-000413 · section16.xml · derivative · entry 1

Nardo Christopher J. · CIK 0001870247 · Senior VP, CDO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001654954-25-000399 · section16.xml · derivative · entry 1

Van Hoose Kyri K. · CIK 0001860885 · SVP, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: (1) The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001654954-25-000414 · section16.xml · derivative · entry 1

Sandler Andrew Seth · CIK 0001596060 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001654954-25-000411 · section16.xml · derivative · entry 1

Bedoya-Toro Munera Maria E · CIK 0001400048 · SVP, Regulatory Affairs

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001654954-25-000412 · section16.xml · derivative · entry 1

Bradrick Brittany · CIK 0001904176 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001654954-25-000409 · section16.xml · derivative · entry 1

WIERENGA WENDELL · CIK 0001239956 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.