ECOR

SEC source: 0001641172-25-009897 · ownership.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,401

F1 · shares: The price in Column 4 is a weighted average of shares purchased at prices ranging from $4.73 to $4.80. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price.

F2 · balance_after: Consists of 202,051 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 46,526 shares that have vested pursuant to previously issued Deferred Stock Units (DSUs); and 5,528 shares issuable pursuant to DSUs that vest monthly through September 3, 2025; provided that such DSUs vest in full on the earlier of (i) one business day prior to the Issuer's next annual stockholder meeting, and (ii) the date immediately prior to a change of control, in each case, provided the RP remains in service with the Issuer through the applicable vesting date.

SEC source: 0001193805-25-000315 · e664286_4-errico.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 256,401

F1 · shares: The price in Column 4 is a weighted average of shares purchased at prices ranging from $8.095 to $8.1298. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price.

F2 · balance_after: Consists of 192,051 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 43,762 shares that have vested pursuant to previously issued Deferred Stock Units (DSUs); and 8,292 shares issuable pursuant to DSUs that vest monthly through September 3, 2025; provided that such DSUs vest in full on the earlier of (i) one business day prior to the Issuer's next annual stockholder meeting, and (ii) the date immediately prior to a change of control, in each case, provided the RP remains in service with the Issuer through the applicable vesting date.

SEC source: 0001193805-25-000318 · e664287_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,565

F1 · balance_after: Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F2 · balance_after: Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 16,667 of such shares have vested and (ii) 33,333 of such shares will potentially vest in one-half increments on each of August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes an additional 40,000 shares issuable pursuant to previously issued Restricted Stock Units: 40,000 of such shares will potentially vest in one-third increments on each of January 18, 2026, January 18, 2027, and January 18, 2028. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-25-000076 · e664143_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,565

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

F2 · balance_after: Includes an additional 75,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 25,000 of such shares have vested and (ii) 50,000 of such shares will potentially vest in one-half increments on each of January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes an additional 50,000 shares issuable pursuant to previously issued Restricted Stock Units: (i) 16,667 of such shares have vested and (ii) 33,333 of such shares will potentially vest in one-half increments on each of August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-25-000051 · e664139_4-lev.xml · nonDerivative · entry 1

Lev Joshua S. · CIK 0002036609 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,333

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

F2 · balance_after: Includes 16,333 shares of Common Stock issuable pursuant to previously issued restricted stock units: (i) 5,334 of such shares have vested; (ii) 333 shares of which will vest by February 9, 2025;and (iii) 10,666 shares of which will vest (a) with respect to 5,333 shares of Common Stock on each of January 12, 2026, and January 12, 2027; provided that (x) the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (y) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

SEC source: 0000908834-24-000213 · form4.xml · nonDerivative · entry 1

Theofilos Charles Steve · CIK 0002003243 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 454,202

F1 · kind: Represents a grant of Deferred Stock Units ("DSUs") which vest in 12 equal monthly installments commencing on the one-month anniversary of the grant date; provided, however, that the DSUs shall vest in full on the earlier of (i) the one-year anniversary of the grant date, (ii) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, (iii) the date of the Reporting Person's death, or (iv) the date immediately prior to a change of control resulting in the termination of affiliation of the Reporting Person, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F2 · balance_after: Includes 25,210 shares of common stock underlying DSUs which were granted by the Issuer to the Reporting Person on January 1, 2024. As previously reported in the Form 4 filed by the Reporting Person on January 3, 2024, such DSUs vest (i) in 12 equal monthly installments commencing on the three-month anniversary of the grant date and (ii) in full on the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001193805-24-001094 · e663870_4-errico.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,401

F1 · shares: Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F2 · balance_after: Consists of 192,051 shares of common stock beneficially owned directly by the Reporting Person; 1,296 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person's family members; 5,000 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person; and includes 35,471 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-001095 · e663871_4-cuneo.xml · derivative · entry 1

CUNEO F PETER · CIK 0001221901 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,783

Underlying: Common Stock · 27,783 shares

Expires 2034-09-03

F1 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001193805-24-001092 · e663868_4-gandolfo.xml · nonDerivative · entry 1

GANDOLFO JOHN P · CIK 0001200155 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,287

F1 · shares: Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F2 · balance_after: Includes 48,438 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-001091 · e663867_4-patton.xml · nonDerivative · entry 1

PATTON THOMAS M · CIK 0001310306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,771

F1 · shares: Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F2 · balance_after: Includes 12,967 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

F3 · balance_after: Includes 35,471 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-001093 · e663869_4-wilber.xml · nonDerivative · entry 1

Wilber Patricia · CIK 0001917356 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,697

F1 · shares: Represents a grant of Restricted Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Restricted Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F2 · balance_after: Includes 8,334 shares that have vested pursuant to previously issued Restricted Stock Units; 1,666 of shares will vest monthly through March 15, 2025, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

F3 · balance_after: Includes 21,739 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-001096 · e663872_4-goldstein.xml · derivative · entry 1

Goldstein Julie Ann · CIK 0001917358 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,845

Underlying: Common Stock · 19,845 shares

Expires 2034-09-03

F1 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting following the grant date, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001193805-24-001044 · e663689_4-errico.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,818

F1 · kind: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.015 to $6.20 per share. 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 purchased by him at each separate price on August 15, 2024.

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.015 to $6.20 per share. 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 purchased by him at each separate price on August 15, 2024.

F2 · balance_after: Consists of 192,051 shares of common stock beneficially owned directly by the Reporting Person; 1,296 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person's family members; 5,000 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person; and includes 35,471 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-000920 · e663776_4-cuneo.xml · derivative · entry 1

CUNEO F PETER · CIK 0001221901 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-07-11

F1 · derivative.exercise_date: The option generally vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2025, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001193805-24-000813 · e663724_4-gandolfo.xml · nonDerivative · entry 1

GANDOLFO JOHN P · CIK 0001200155 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,704

F1 · balance_after: Includes 44,815 shares that have vested pursuant to previously issued Deferred Stock Units; 3,623 additional shares issuable pursuant to previously issued Deferred Stock Units will vest monthly through August 4, 2024, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-000756 · e663687_4-patton.xml · derivative · entry 2

PATTON THOMAS M · CIK 0001310306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,850

Underlying: Common Stock · 3,850 shares

Expires 2029-06-05

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 7,701 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

SEC source: 0001193805-24-000756 · e663687_4-patton.xml · nonDerivative · entry 1

PATTON THOMAS M · CIK 0001310306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,188

F1 · shares: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 7,701 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

F2 · balance_after: Includes 12,967 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

F3 · balance_after: Includes 31,848 shares that have vested pursuant to previously issued Deferred Stock Units; 3,623 of such shares will vest monthly through August 4, 2024, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-000755 · e663686_4-goldberger.xml · derivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,252

Underlying: Common Stock · 19,252 shares

Expires 2029-06-05

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 38,505 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

SEC source: 0001193805-24-000755 · e663686_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 249,565

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 38,505 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

F2 · balance_after: Includes an additional previously issued 75,000 shares issuable pursuant to Restricted Stock Units that will potentially vest in one-third increments on each of January 16, 2025, January 16, 2026, and January 16, 2027. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

F3 · balance_after: Includes an additional previously issued 50,000 shares issuable pursuant to Restricted Stock Units that will potentially vest in one-third increments on each of August 4, 2024, August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-24-000758 · e663690_4-patricia.xml · derivative · entry 2

Wilber Patricia · CIK 0001917356 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,465

Underlying: Common Stock · 3,465 shares

Expires 2029-06-05

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 6,931 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

SEC source: 0001193805-24-000758 · e663690_4-patricia.xml · nonDerivative · entry 1

Wilber Patricia · CIK 0001917356 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,114

F1 · shares: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 6,931 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

F2 · balance_after: Includes 7,500 shares that have vested pursuant to previously issued Restricted Stock Units; 2,500 of shares will vest monthly through March 15, 2025, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

F3 · balance_after: Includes 18,116 shares that have vested pursuant to previously issued Restricted Stock Units; 3,623 of shares will vest monthly through August 2, 2024, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-000757 · e663688_4-goldstein.xml · derivative · entry 2

Goldstein Julie Ann · CIK 0001917358 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,850

Underlying: Common Stock · 3,850 shares

Expires 2029-06-05

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 7,701 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

SEC source: 0001193805-24-000757 · e663688_4-goldstein.xml · nonDerivative · entry 1

Goldstein Julie Ann · CIK 0001917358 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,380

F1 · shares: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 7,701 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

F2 · balance_after: Includes 7,500 shares that have vested pursuant to previously issued Deferred Stock Units; 2,500 of such shares will vest monthly through March 15, 2025, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

F3 · balance_after: Includes 1,665 shares held in NeuroSpine Ventures; an entity in which the Reporting Person has no voting or dispositive power over the shares. Accordingly, the Reporting Person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0000908834-24-000162 · form4.xml · derivative · entry 7

Theofilos Charles Steve · CIK 0002003243 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 770,119

Underlying: Common Stock · 770,119 shares

Expires not disclosed

F6 · price: On June 5, 2024, in a private placement effected pursuant to a securities purchase agreement between the Issuer and certain investors, the Issuer issued to HH Management (i) common stock warrants (the "June 2024 Warrants") to purchase 385,059 shares of common stock at an exercise price of $6.43 per share (subject to adjustment) and (ii) prefunded common stock warrants (the "June 2024 Prefunded Warrants") to purchase 770,119 shares of common stock at an exercise price of $0.001 per share (subject to adjustment). Each June 2024 Prefunded Warrant and 1/2 June 2024 Warrant was purchased for a combined effective purchase price of $6.4924.

F8 · derivative.exercise_date: The holder of these June 2024 Prefunded Warrants is HH Management, of which Kathryn Theofilos, the reporting person's spouse, is the manager. The June 2024 Prefunded Warrants are exercisable as of their issuance, subject to the Beneficial Ownership Limitation, and will expire on the date they are exercised in full. The filing of this Form 4 shall not be deemed an admission that the reporting person is the beneficial owner of any June 2024 Prefunded Warrants or any shares of common stock issuable upon their exercise.

F8 · derivative.expiration_date: The holder of these June 2024 Prefunded Warrants is HH Management, of which Kathryn Theofilos, the reporting person's spouse, is the manager. The June 2024 Prefunded Warrants are exercisable as of their issuance, subject to the Beneficial Ownership Limitation, and will expire on the date they are exercised in full. The filing of this Form 4 shall not be deemed an admission that the reporting person is the beneficial owner of any June 2024 Prefunded Warrants or any shares of common stock issuable upon their exercise.

F8 · ownership.nature: The holder of these June 2024 Prefunded Warrants is HH Management, of which Kathryn Theofilos, the reporting person's spouse, is the manager. The June 2024 Prefunded Warrants are exercisable as of their issuance, subject to the Beneficial Ownership Limitation, and will expire on the date they are exercised in full. The filing of this Form 4 shall not be deemed an admission that the reporting person is the beneficial owner of any June 2024 Prefunded Warrants or any shares of common stock issuable upon their exercise.

SEC source: 0000908834-24-000162 · form4.xml · derivative · entry 6

Theofilos Charles Steve · CIK 0002003243 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 385,059

Underlying: Common Stock · 385,059 shares

Expires not disclosed

F6 · price: On June 5, 2024, in a private placement effected pursuant to a securities purchase agreement between the Issuer and certain investors, the Issuer issued to HH Management (i) common stock warrants (the "June 2024 Warrants") to purchase 385,059 shares of common stock at an exercise price of $6.43 per share (subject to adjustment) and (ii) prefunded common stock warrants (the "June 2024 Prefunded Warrants") to purchase 770,119 shares of common stock at an exercise price of $0.001 per share (subject to adjustment). Each June 2024 Prefunded Warrant and 1/2 June 2024 Warrant was purchased for a combined effective purchase price of $6.4924.

F7 · derivative.exercise_date: The holder of these June 2024 Warrants is HH Management, of which Kathryn Theofilos, the reporting person's spouse, is the manager. The June 2024 Warrants are exercisable as of their issuance, subject to the Beneficial Ownership Limitation (as defined below), and will expire on June 5, 2029. The June 2024 Warrants may not be exercised if the holder, together with its affiliates and any persons who are members of a Section 13(d) group with the holder, would beneficially own more than 9.99% of the number of shares of common stock outstanding immediately after giving effect to such exercise (the "Beneficial Ownership Limitation"). The filing of this Form 4 shall not be deemed an admission that the reporting person is the beneficial owner of any June 2024 Warrants or any shares of common stock issuable upon their exercise.

F7 · derivative.expiration_date: The holder of these June 2024 Warrants is HH Management, of which Kathryn Theofilos, the reporting person's spouse, is the manager. The June 2024 Warrants are exercisable as of their issuance, subject to the Beneficial Ownership Limitation (as defined below), and will expire on June 5, 2029. The June 2024 Warrants may not be exercised if the holder, together with its affiliates and any persons who are members of a Section 13(d) group with the holder, would beneficially own more than 9.99% of the number of shares of common stock outstanding immediately after giving effect to such exercise (the "Beneficial Ownership Limitation"). The filing of this Form 4 shall not be deemed an admission that the reporting person is the beneficial owner of any June 2024 Warrants or any shares of common stock issuable upon their exercise.

F7 · ownership.nature: The holder of these June 2024 Warrants is HH Management, of which Kathryn Theofilos, the reporting person's spouse, is the manager. The June 2024 Warrants are exercisable as of their issuance, subject to the Beneficial Ownership Limitation (as defined below), and will expire on June 5, 2029. The June 2024 Warrants may not be exercised if the holder, together with its affiliates and any persons who are members of a Section 13(d) group with the holder, would beneficially own more than 9.99% of the number of shares of common stock outstanding immediately after giving effect to such exercise (the "Beneficial Ownership Limitation"). The filing of this Form 4 shall not be deemed an admission that the reporting person is the beneficial owner of any June 2024 Warrants or any shares of common stock issuable upon their exercise.

SEC source: 0001193805-24-000767 · e663689_4-errico.xml · derivative · entry 2

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,252

Underlying: Common Stock · 19,252 shares

Expires 2029-06-05

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 38,505 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

SEC source: 0001193805-24-000767 · e663689_4-errico.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,818

F1 · kind: On June 5, 2024, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 38,505 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $6.4925 per Unit, inclusive of $6.43 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is immediately exercisable from the date of issuance at an exercise price of $6.43 per share, and expires five years after issuance.

F2 · balance_after: Consists of 192,051 shares of common stock beneficially owned directly by the Reporting Person; 1,296 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person's family members; and includes 31,848 shares that have vested pursuant to previously issued Deferred Stock Units, and 3,623 of such shares will vest through August 4, 2024, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-24-000057 · e619192_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,060

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

F2 · balance_after: Includes an additional previously issued 50,000 shares issuable pursuant to Restricted Stock Units that will potentially vest in one-third increments on each of August 4, 2024, August 4, 2025, and August 4, 2026. All such unvested shares were previously reported on a Form 4 filing at the time of grant.

SEC source: 0001193805-24-000050 · e619191_4-posner.xml · nonDerivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,437

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

SEC source: 0000908834-24-000005 · form4.xml · nonDerivative · entry 1

Theofilos Charles Steve · CIK 0002003243 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 437,620

F1 · kind: Represents a grant of Deferred Stock Units which vest (i) in 12 equal monthly installments commencing on the three-month anniversary of the grant date and (ii) in full on the date immediately prior to a change of control, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001193805-23-001298 · e618942_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,060

F1 · balance_after: Includes 10,752 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 3,584 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023 and 50,000 shares issuable pursuant to Restricted Stock Units that will potentially vest in one-third increments on each of August 4, 2023, August 4, 2024, and August 4, 2025. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023.

SEC source: 0001193805-23-001145 · e618858_4-errico.xml · nonDerivative · entry 2

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 189,606

F2 · kind: Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2024, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F3 · balance_after: Consists of 171,762 shares of common stock beneficially owned directly by the Reporting Person; 1,296 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person's family members; and 13,732 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-23-001126 · e618855_4-cuneo.xml · derivative · entry 1

CUNEO F PETER · CIK 0001221901 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,383

Underlying: Common Stock · 36,383 shares

Expires 2033-08-08

F1 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2024, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001193805-23-001122 · e618853_4-gandolfo.xml · nonDerivative · entry 1

GANDOLFO JOHN P · CIK 0001200155 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,704

F1 · shares: Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2024, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F2 · balance_after: Includes 26,699 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-23-001128 · e618856_4-patton.xml · nonDerivative · entry 1

PATTON THOMAS M · CIK 0001310306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,487

F1 · shares: Represents a grant of Deferred Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Deferred Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2024, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F2 · balance_after: Includes 12,967 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

F3 · balance_after: Includes 13,732 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-23-001120 · e618852_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,560

F1 · shares: Represents a grant of Restricted Stock Units of the Issuer. The grant vests (i) with respect to 33% of the underlying shares of Common Stock on each of the first, second, and third anniversaries of the date of grant, in each case provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date, and (ii) if and to the extent not already vested, in the case of termination of the Reporting Person without "cause" or resignation for "good reason" within two years after a "change in control" as such terms are defined in the Issuer's Executive Severance Policy.

F2 · balance_after: Includes 10,752 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 3,584 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023.

SEC source: 0001193805-23-001124 · e618854_4-goldstein.xml · derivative · entry 1

Goldstein Julie Ann · CIK 0001917358 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,989

Underlying: Common Stock · 25,989 shares

Expires 2033-08-08

F1 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments from the grant date; provided, however, that the option shall become fully vested and exercisable on the date that is the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2024, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

SEC source: 0001193805-23-001067 · e618828_4-goldberger.xml · derivative · entry 2

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,495

Underlying: Common Stock · 25,495 shares

Expires 2029-02-02

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 50,991 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

SEC source: 0001193805-23-001067 · e618828_4-goldberger.xml · nonDerivative · entry 1

Goldberger Daniel S · CIK 0001382042 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,560

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 50,991 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

F2 · balance_after: Includes 10,752 shares that have vested pursuant to previously issued Restricted Stock Units; also includes an additional 3,584 shares issuable pursuant to Restricted Stock Units that will potentially vest on October 1, 2023. All such vested and unvested shares were previously reported on a Form 4 filing at the time of grant. Shares reported account for the 1-for-15 reverse stock split of the Issuer's common stock on February 15, 2023.

SEC source: 0001193805-23-001089 · e618835_4-moody.xml · derivative · entry 2

Moody Trevor J · CIK 0001737568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,331

Underlying: Common Stock · 11,331 shares

Expires 2029-02-02

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 22,662 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

SEC source: 0001193805-23-001089 · e618835_4-moody.xml · nonDerivative · entry 1

Moody Trevor J · CIK 0001737568 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,592

F1 · shares: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 22,662 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

F2 · balance_after: Includes 13,732 shares that have vested pursuant to previously issued Restricted Stock Units; all such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-23-001081 · e618829_4-errico.xml · derivative · entry 2

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,803

Underlying: Common Stock · 22,803 shares

Expires 2029-02-02

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 45,607 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

SEC source: 0001193805-23-001081 · e618829_4-errico.xml · nonDerivative · entry 1

Errico Thomas J. · CIK 0001737633 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,867

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 45,607 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

F2 · balance_after: Consists of 150,023 shares of common stock beneficially owned directly by the Reporting Person; 1,296 shares of common stock beneficially owned by a trust for the benefit of the Reporting Person's family members; and 13,732 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-23-001087 · e618833_4-cuneo.xml · derivative · entry 2

CUNEO F PETER · CIK 0001221901 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,832

Underlying: Common Stock · 2,832 shares

Expires 2029-02-02

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 5,665 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

SEC source: 0001193805-23-001087 · e618833_4-cuneo.xml · nonDerivative · entry 1

CUNEO F PETER · CIK 0001221901 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,665

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 5,665 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

SEC source: 0001193805-23-001086 · e618832_4-patton.xml · derivative · entry 2

PATTON THOMAS M · CIK 0001310306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,524

Underlying: Common Stock · 5,524 shares

Expires 2029-02-02

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 11,049 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

SEC source: 0001193805-23-001086 · e618832_4-patton.xml · nonDerivative · entry 1

PATTON THOMAS M · CIK 0001310306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,748

F1 · shares: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 11,049 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

F2 · balance_after: Includes 12,967 shares that have vested pursuant to previously issued Restricted Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

F3 · balance_after: Includes 13,732 shares that have vested pursuant to previously issued Deferred Stock Units. All such vested shares were previously reported on Form 4 filings at the time of grant.

SEC source: 0001193805-23-001088 · e618834_4-goldstein.xml · derivative · entry 2

Goldstein Julie Ann · CIK 0001917358 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,997

Underlying: Common Stock · 16,997 shares

Expires 2029-02-02

F1 · kind: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 33,994 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

SEC source: 0001193805-23-001088 · e618834_4-goldstein.xml · nonDerivative · entry 1

Goldstein Julie Ann · CIK 0001917358 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,679

F1 · shares: On August 2, 2023, pursuant to a private placement offering by the Issuer, the Reporting Person acquired 33,994 Units, each Unit consisting of (i) one share of the Issuer's Common Stock and (ii) one Warrant to purchase one-half share of the Issuer's Common Stock. The combined purchase price in the Offering was $4.4125 per Unit, inclusive of $4.35 per share of Common Stock and $0.0625 per Warrant. Each Warrant entitles the holder thereof to purchase one half of a share of Common Stock, is exercisable beginning six months from the date of issuance at an exercise price of $4.35 per share, and expires five years from the initial exercise date.

F2 · balance_after: Includes 4,444 shares that have vested pursuant to previously issued Deferred Stock Units; 5,556 of shares will vest monthly through March 15, 2025. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.

F3 · balance_after: Includes 1,665 shares held in NeuroSpine Ventures; an entity in which the Reporting Person has no voting or dispositive power over the shares. Accordingly, the Reporting Person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001193805-23-001130 · e618857_4-patricia.xml · nonDerivative · entry 1

Wilber Patricia · CIK 0001917356 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,183

F1 · shares: Represents a grant of Restricted Stock Units as a part of an annual director award which vest in 12 equal monthly installments from the grant date; provided, however, that the Restricted Stock Units shall vest in full on the earlier of (i) the close of business one business day prior to the Issuer's next annual stockholder meeting on or after January 1, 2024, and (ii) the date immediately prior to a change of control, in each case, provided that the Reporting Person remains in continuous service with the Issuer or an affiliate through the applicable vesting date.

F2 · balance_after: Includes 4,444 shares that have vested pursuant to previously issued Restricted Stock Units; 5,556 of shares will vest monthly through March 15, 2025. All such vested and unvested shares were previously reported on Form 4 filings at the time of grant.