ERNA

SEC source: 0001493152-26-041137 · ownership.xml · derivative · entry 2

Bristol James Arthur · CIK 0001715153 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,083

Underlying: Common Stock · 5,083 shares

Expires 2036-08-31

F2 · derivative.exercise_date: Represents options to purchase shares of the registrant's common stock in lieu of prorated director's cash compensation for 2026 pursuant to the Director's Compensation Plan effective August 15, 2026, granted under the Issuer's 2026 Omnibus Equity Incentive Plan. Subject to continued service, 100% of the stock options will vest on December 31, 2026.

SEC source: 0001493152-26-041137 · ownership.xml · derivative · entry 1

Bristol James Arthur · CIK 0001715153 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,320

Underlying: Common Stock · 8,320 shares

Expires 2036-08-31

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-26-041135 · ownership.xml · derivative · entry 2

Cicala Peter · CIK 0002011534 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,083

Underlying: Common Stock · 5,083 shares

Expires 2036-08-31

F2 · derivative.exercise_date: Represents options to purchase shares of the registrant's common stock in lieu of prorated director's cash compensation for 2026 pursuant to the Director's Compensation Plan effective August 15, 2026, granted under the Issuer's 2026 Omnibus Equity Incentive Plan. Subject to continued service, 100% of the stock options will vest on December 31, 2026.

SEC source: 0001493152-26-041135 · ownership.xml · derivative · entry 1

Cicala Peter · CIK 0002011534 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,943

Underlying: Common Stock · 5,943 shares

Expires 2036-08-31

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-26-041133 · ownership.xml · derivative · entry 1

Polinsky David · CIK 0001726896 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,083

Underlying: Common Stock · 5,083 shares

Expires 2036-08-31

F1 · price: Represents options to purchase shares of the registrant's common stock in lieu of prorated director's cash compensation for 2026 pursuant to the Director's Compensation Plan effective August 15, 2026, granted under the Issuer's 2026 Omnibus Equity Incentive Plan. Subject to continued service, 100% of the stock options will vest on December 31, 2026.

F1 · derivative.exercise_date: Represents options to purchase shares of the registrant's common stock in lieu of prorated director's cash compensation for 2026 pursuant to the Director's Compensation Plan effective August 15, 2026, granted under the Issuer's 2026 Omnibus Equity Incentive Plan. Subject to continued service, 100% of the stock options will vest on December 31, 2026.

SEC source: 0001493152-26-041132 · ownership.xml · derivative · entry 1

Wexler William A. · CIK 0001927975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,943

Underlying: Common Stock · 5,943 shares

Expires 2036-08-31

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-26-041131 · ownership.xml · derivative · entry 1

Ratner Elena · CIK 0002049829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,944

Underlying: Common Stock · 5,944 shares

Expires 2036-08-31

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-26-041130 · ownership.xml · derivative · entry 1

Luther Sanjeev · CIK 0001933592 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,848

Underlying: Common Stock · 118,848 shares

Expires 2036-08-31

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001104659-26-016680 · tm265959-2_4seq1.xml · derivative · entry 2

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,000,000

Underlying: Common Stock · 4,000,000 shares

Expires not disclosed

F1 · kind: These shares and warrants were purchased by the reporting person in the Issuer's follow-on offering pursuant to a prospectus supplement dated February 6, 2026, which closed on February 10, 2026.

F2 · price: The combined purchase price in the Offering per share of Common Stock and accompanying warrant was $0.50.

F3 · derivative.expiration_date: The warrants will expire on the earlier of (i) February 10, 2031 or (ii) the 180th calendar day following the public release by the Company of clinical trial data from the first cohort of the Phase 1 study of ERNA-101.

SEC source: 0001104659-26-016680 · tm265959-2_4seq1.xml · nonDerivative · entry 1

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,779,440

F1 · kind: These shares and warrants were purchased by the reporting person in the Issuer's follow-on offering pursuant to a prospectus supplement dated February 6, 2026, which closed on February 10, 2026.

F2 · price: The combined purchase price in the Offering per share of Common Stock and accompanying warrant was $0.50.

SEC source: 0001641172-25-018063 · ownership.xml · derivative · entry 2

Gurrola Sandra M · CIK 0001618457 · Sr. VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock.

F2 · derivative.exercise_date: On June 21, 2021, the reporting person was granted 118 restricted stock units, vesting in four substantially equal installments beginning on the first anniversary of the grant date.

F2 · derivative.expiration_date: On June 21, 2021, the reporting person was granted 118 restricted stock units, vesting in four substantially equal installments beginning on the first anniversary of the grant date.

SEC source: 0001641172-25-018063 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · Sr. VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110

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

F1 · price: Each restricted stock unit converts into one share of common stock.

SEC source: 0001104659-25-058644 · tm2517798-2_4seq1.xml · nonDerivative · entry 1

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,659,743

F1 · shares: On June 9, 2025, pursuant to a private placement offering by the Issuer and following the receipt of stockholder approval, the reporting person acquired 21,241,163 shares of the Issuer's Common Stock.

F2 · balance_after: On June 2, 2025, the Issuer paid a dividend to all holders of record of its Series A Preferred Stock on such date of $0.05 per share of Series A Preferred Stock. Pursuant to the terms of the Series A Preferred Stock, the Issuer elected to pay the dividend in an equivalent amount of Common Stock. As a result, the Reporting Person received 16,978 shares of the Issuer's Common Stock.

SEC source: 0001104659-25-032060 · tm2511399-2_4seq1.xml · nonDerivative · entry 1

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,401,602

F1 · shares: On April 2, 2025, pursuant to a private placement offering by the Issuer, the reporting person acquired 3,768,397 shares of the Issuer's Common Stock.

F2 · balance_after: On December 3, 2024, the Issuer paid a dividend to all holders of record of its Series A Preferred Stock on such date of $0.05 per share of Series A Preferred Stock. Pursuant to the terms of the Series A Preferred Stock, the Issuer elected to pay the dividend in an equivalent amount of common stock. As a result, the Reporting Person received 5,082 shares of the Issuer's common stock.

SEC source: 0001493152-25-005722 · ownership.xml · derivative · entry 1

Wexler William A. · CIK 0001927975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,533

Underlying: Common Stock · 124,533 shares

Expires 2035-02-07

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-25-005721 · ownership.xml · derivative · entry 1

Gurrola Sandra M · CIK 0001618457 · Sr. VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2035-02-07

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-25-005720 · ownership.xml · derivative · entry 1

Bristol James Arthur · CIK 0001715153 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,074

Underlying: Common Stock · 72,074 shares

Expires 2035-02-07

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-25-005718 · ownership.xml · derivative · entry 1

Luther Sanjeev · CIK 0001933592 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,123,350

Underlying: Common Stock · 1,123,350 shares

Expires 2035-02-07

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-25-005719 · ownership.xml · derivative · entry 1

Cicala Peter · CIK 0002011534 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,485

Underlying: Common Stock · 51,485 shares

Expires 2035-02-07

F1 · derivative.exercise_date: Subject to continued service, one-third of the shares underlying the stock option will vest on the first anniversary of the grant date, and the remaining shares underlying the stock option will vest in 24 substantially equal monthly installments thereafter.

SEC source: 0001493152-25-002206 · ownership.xml · derivative · entry 1

Ratner Elena · CIK 0002049829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,078

Underlying: Common Stock · 140,078 shares

Expires 2035-01-13

F1 · derivative.exercise_date: The stock option shall vest over three years with 1/3 of the underlying shares vesting on the one-year anniversary of the grant date and the remaining underlying shares vesting in 24 substantially equal monthly installments thereafter.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 17

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,125,976 shares

Expires 2028-12-15

F1 · derivative.exercise_price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · derivative.exercise_price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F1 · date: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · date: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 16

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,475,524 shares

Expires 2028-07-14

F1 · date: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · date: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 15

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 523,512 shares

Expires 2028-06-02

F1 · date: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · date: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 14

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,237,762 shares

Expires 2028-07-14

F1 · date: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · date: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 13

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,125,976 shares

Expires 2028-12-15

F1 · date: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · date: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 12

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,737,252 shares

Expires 2025-09-24

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

F12 · derivative.exercise_date: The Notes are automatically converted into shares of Common Stock upon the obtaining of Stockholder Approval (as defined in the Notes) and cannot be converted into Common Stock prior to obtaining Stockholder Approval.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · nonDerivative · entry 6

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,628,123

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

F8 · shares: Shares issued as a result the conversion of the Issuer's 12.0% Senior Convertible Notes due September 24, 2025 (the "September Notes") consisting of (i) 2,737,252 shares of Common Stock issued upon conversion of the principal amount of the September Notes and (ii) 82,294 shares issued upon conversion of the interest accrued on the September Notes.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · nonDerivative · entry 5

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,808,577

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F7 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of December 15, 2028.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · nonDerivative · entry 4

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,245,589

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F6 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's 12.0% Senior Convertible Notes due December 12, 2028 in the aggregate principal amount of $3,000,000 plus applicable interest.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · nonDerivative · entry 3

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,824,766

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F5 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of July 14, 2028.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · nonDerivative · entry 2

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,587,004

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F4 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's 6.0% Senior Convertible Promissory Notes due 2028 in the aggregate principal amount of $3,300,000 plus applicable interest.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · nonDerivative · entry 1

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 818,221

F1 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to (i) exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number), and

F2 · price: (ii) exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collective, the "Exchange Transactions"). Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval (as defined in the Exchange Agreement), which occurred on October 29, 2024.

F3 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of June 2, 2028.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 11

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 2,737,252 shares

Expires 2025-09-24

F11 · derivative.exercise_price: The reporting person entered into a Note Purchase Agreement with the Issuer on September 24, 2024, pursuant to which the reporting person acquired $1,368,626 principal amount of September Notes.

F12 · derivative.exercise_date: The Notes are automatically converted into shares of Common Stock upon the obtaining of Stockholder Approval (as defined in the Notes) and cannot be converted into Common Stock prior to obtaining Stockholder Approval.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · derivative · entry 10

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,125,976 shares

Expires 2028-12-15

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F3 · date: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · date: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F3 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · derivative · entry 9

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,475,524 shares

Expires 2028-07-14

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F3 · date: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · date: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F3 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · derivative · entry 8

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 523,512 shares

Expires 2028-06-02

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F3 · date: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · date: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F3 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · derivative · entry 7

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,237,762 shares

Expires 2028-07-14

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F4 · date: The Reporting Person also agreed pursuant to the Exchange Agreement to exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collectively with the Warrant Exchange, the "Exchange Transactions").

F5 · date: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F4 · price: The Reporting Person also agreed pursuant to the Exchange Agreement to exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collectively with the Warrant Exchange, the "Exchange Transactions").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · derivative · entry 6

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,125,976 shares

Expires 2028-12-15

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F4 · date: The Reporting Person also agreed pursuant to the Exchange Agreement to exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collectively with the Warrant Exchange, the "Exchange Transactions").

F5 · date: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F4 · price: The Reporting Person also agreed pursuant to the Exchange Agreement to exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collectively with the Warrant Exchange, the "Exchange Transactions").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · nonDerivative · entry 5

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,808,577

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F3 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F10 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of December 15, 2028.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · nonDerivative · entry 4

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,245,589

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F4 · price: The Reporting Person also agreed pursuant to the Exchange Agreement to exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collectively with the Warrant Exchange, the "Exchange Transactions").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F9 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's 12.0% Senior Convertible Notes due December 12, 2028 in the aggregate principal amount of $3,000,000 plus applicable interest.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · nonDerivative · entry 3

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,824,766

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F3 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F8 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of July 14, 2028.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · nonDerivative · entry 2

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,587,004

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F4 · price: The Reporting Person also agreed pursuant to the Exchange Agreement to exchange all their convertible notes for shares of Common Stock at an exchange ratio equal to (A) the sum expressed in U.S. dollars of (1) the principal amount of the applicable convertible note, plus (2) all accrued and unpaid interest thereon through the date the applicable convertible note is exchanged plus (3) all interest that would have accrued through, but not including, the maturity date of applicable convertible note if it was outstanding from the date such convertible note is exchanged through its maturity date, divided by (B) $1.00 (rounded up to the nearest whole number) (collectively with the Warrant Exchange, the "Exchange Transactions").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F7 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's 6.0% Senior Convertible Promissory Notes due 2028 in the aggregate principal amount of $3,300,000 plus applicable interest.

SEC source: 0001104659-25-045416 · tm2514116-1_4aseq1.xml · nonDerivative · entry 1

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 818,221

F1 · date: On November 5, 2024, the Reporting Person filed a Form 4 that included an incorrect transaction date of October 29, 2024 for the Exchange Transactions (as defined below) based on the fact that under the Exchange Agreement (as defined below) consummation of the Exchange Transactions was conditioned upon Stockholder Approval (as defined in the Exchange Agreement). This amendment is being filed to reflect the correct transaction date for the Exchange Transactions of September 24, 2024 based on the analysis set forth in footnote 2 below.

F2 · date: Upon review of the relevant facts and caselaw, the Reporting Person has determined that the Stockholder Approval was not a material condition for the Exchange Transactions as the Reporting Person and several other stockholders exchanging securities with the Company had entered into support agreements with the Issuer on September 24, 2024 (as disclosed in the Issuer's Current Report on Form 8-K filed with the SEC on September 25, 2024) pursuant to which each stockholder agreed to vote all of their eligible voting securities in favor of the Stockholder Approval. According to the Issuer's Definitive Proxy Statement filed with the SEC on October 7, 2024, the parties to the support agreements owned approximately 48% of the Issuer's outstanding Common Stock, which meant that the satisfaction of the condition was practically assured and the Reporting Person became irrevocably committed to the Exchange Transactions on September 24, 2024 after all parties entered into the support agreements.

F3 · price: The reporting person entered into an Exchange Agreement with the Issuer on September 24, 2024 (the "Exchange Agreement"), pursuant to which the reporting person agreed to exchange all their warrants to purchase shares of the Issuer's common stock, par value $0.005 per share ("Common Stock") at an exchange ratio of 0.5 of a share of Common Stock for every one share of Common Stock issuable upon exercise of the applicable warrant (rounded up to the nearest whole number) (the "Warrant Exchange").

F5 · price: Consummation of the Exchange Transactions was conditioned upon the Issuer obtaining Stockholder Approval, which occurred on October 29, 2024.

F6 · price: Shares issued pursuant to the Exchange Agreement in exchange for all of the reporting person's warrants to purchase shares of Common Stock at an exercise price of $1.43 per share with an expiration date of June 2, 2028.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 10

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,475,524

Underlying: Common Stock · 83,916 shares

Expires 2028-07-14

F10 · date: On September 23, 2024, the reporting person agreed to forgive a personal loan for $50,000 to a second investor (separate from the investor referenced in footnote 9) in the Issuer's July 2023 private placement in exchange for all of such invetsor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.

F10 · price: On September 23, 2024, the reporting person agreed to forgive a personal loan for $50,000 to a second investor (separate from the investor referenced in footnote 9) in the Issuer's July 2023 private placement in exchange for all of such invetsor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 9

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 41,958 shares

Expires 2028-07-14

F10 · date: On September 23, 2024, the reporting person agreed to forgive a personal loan for $50,000 to a second investor (separate from the investor referenced in footnote 9) in the Issuer's July 2023 private placement in exchange for all of such invetsor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.

F10 · price: On September 23, 2024, the reporting person agreed to forgive a personal loan for $50,000 to a second investor (separate from the investor referenced in footnote 9) in the Issuer's July 2023 private placement in exchange for all of such invetsor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 8

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,391,608

Underlying: Common Stock · 83,916 shares

Expires 2028-07-14

F9 · date: On September 23, 2024, the reporting person agreed to forgive a personal loan to an investor in the Issuer's July 2023 private placement for $50,000 in exchange for all of such investor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.

F9 · price: On September 23, 2024, the reporting person agreed to forgive a personal loan to an investor in the Issuer's July 2023 private placement for $50,000 in exchange for all of such investor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.

SEC source: 0001104659-24-114222 · tm2427444-1_4seq1.xml · derivative · entry 7

Cherington Charles · CIK 0001448698 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 41,958 shares

Expires 2028-07-14

F9 · date: On September 23, 2024, the reporting person agreed to forgive a personal loan to an investor in the Issuer's July 2023 private placement for $50,000 in exchange for all of such investor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.

F9 · price: On September 23, 2024, the reporting person agreed to forgive a personal loan to an investor in the Issuer's July 2023 private placement for $50,000 in exchange for all of such investor's warrants to purchase shares of Common Stock and 6.0% Senior Convertible Promissory Notes due 2028.

SEC source: 0001493152-24-025105 · ownership.xml · derivative · entry 3

Gurrola Sandra M · CIK 0001618457 · Sr. VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 437

Underlying: Common Stock · 437 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock.

F2 · derivative.exercise_date: On June 21, 2021, the reporting person was granted 1,750 restricted stock units, vesting in four substantially equal installments beginning on the first anniversary of the grant date.

F2 · derivative.expiration_date: On June 21, 2021, the reporting person was granted 1,750 restricted stock units, vesting in four substantially equal installments beginning on the first anniversary of the grant date.

SEC source: 0001493152-24-025105 · ownership.xml · nonDerivative · entry 2

Gurrola Sandra M · CIK 0001618457 · Sr. VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,185

SEC source: 0001493152-24-025105 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · Sr. VP of Finance

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,365

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

F1 · price: Each restricted stock unit converts into one share of common stock.