ETON

SEC source: 0001437749-25-020518 · rdgdoc.xml · nonDerivative · entry 2

Krempa David · CIK 0001968254 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 622,869

F2 · price: The shares were sold in multiple trades at prices ranging from $14.75 to $14.81. The price reported above reflects the weighted average sales price.

F4 · price: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001437749-25-020518 · rdgdoc.xml · nonDerivative · entry 1

Krempa David · CIK 0001968254 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 629,669

F1 · price: The shares were sold in multiple trades at prices ranging from $14.77 to $14.98. The price reported above reflects the weighted average sales price.

F4 · price: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001641172-25-014868 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Managed Account

Disclosed balance after: 85,000

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.74 to $15.9742 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

F4 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001641172-25-014868 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,770,000

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.74 to $15.9742 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

F4 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-25-019583 · rdgdoc.xml · nonDerivative · entry 5

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,873,513

F5 · price: The shares were sold in multiple trades at prices ranging from $16.62 to $17.15. The price reported above reflects the weighted average sales price.

F6 · price: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001437749-25-019583 · rdgdoc.xml · nonDerivative · entry 4

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,943,513

F4 · price: The shares were sold in multiple trades at prices ranging from $16.86 to $17.20. The price reported above reflects the weighted average sales price.

F6 · price: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001437749-25-019583 · rdgdoc.xml · nonDerivative · entry 3

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,013,513

F3 · price: The shares were sold in multiple trades at a price of $19.02.

F6 · price: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001437749-25-019583 · rdgdoc.xml · nonDerivative · entry 2

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,013,913

F2 · price: The shares were sold in multiple trades at prices ranging from $18.15 to $18.85. The price reported above reflects the weighted average sales price.

F6 · price: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001437749-25-019583 · rdgdoc.xml · nonDerivative · entry 1

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,022,568

F1 · price: The shares were sold in multiple trades at prices ranging from $17.00 to $17.88. The price reported above reflects the weighted average sales price.

F6 · price: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001437749-25-000464 · rdgdoc.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares subject to the option shall vest equally on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on January 3, 2026.

SEC source: 0001437749-25-000466 · rdgdoc.xml · derivative · entry 6

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2033-02-19

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

SEC source: 0001437749-25-000466 · rdgdoc.xml · derivative · entry 5

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2032-02-06

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

SEC source: 0001437749-25-000466 · rdgdoc.xml · derivative · entry 4

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,400 shares

Expires 2030-03-12

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

SEC source: 0001437749-25-000466 · rdgdoc.xml · nonDerivative · entry 3

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,145

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

SEC source: 0001437749-25-000466 · rdgdoc.xml · nonDerivative · entry 2

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,145

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

SEC source: 0001437749-25-000466 · rdgdoc.xml · nonDerivative · entry 1

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,145

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

SEC source: 0001437749-25-000462 · rdgdoc.xml · derivative · entry 1

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares subject to the option shall vest equally on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on January 3, 2026.

SEC source: 0001437749-25-000468 · rdgdoc.xml · derivative · entry 1

Adams Jennifer McKie · CIK 0001851440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares subject to the option shall vest equally on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on January 3, 2026.

SEC source: 0001437749-25-000459 · rdgdoc.xml · derivative · entry 1

MAIER PAUL V · CIK 0001182615 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares subject to the option shall vest equally on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on January 3, 2026.

SEC source: 0001437749-25-000457 · rdgdoc.xml · derivative · entry 2

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,004

Underlying: Common Stock · 72,004 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ETON Common Stock.

F3 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning January 3, 2026, contingent upon the reporting person being employed by the issuer on the date(s) of vesting.

F3 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning January 3, 2026, contingent upon the reporting person being employed by the issuer on the date(s) of vesting.

SEC source: 0001437749-25-000457 · rdgdoc.xml · derivative · entry 1

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,469

Underlying: Common Stock · 107,469 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares subject to the option shall vest in 48 equal monthly installments from the date of grant until fully vested and exercisable on January 3, 2029.

SEC source: 0001437749-25-000455 · rdgdoc.xml · derivative · entry 2

Krempa David · CIK 0001968254 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,876

Underlying: Common Stock · 25,876 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ETON Common Stock.

F3 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning January 3, 2026, contingent upon the reporting person being employed by the issuer on the date(s) of vesting.

F3 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning January 3, 2026, contingent upon the reporting person being employed by the issuer on the date(s) of vesting.

SEC source: 0001437749-25-000455 · rdgdoc.xml · derivative · entry 1

Krempa David · CIK 0001968254 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,621

Underlying: Common Stock · 38,621 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares subject to the option shall vest in 48 equal monthly installments from the date of grant until fully vested and exercisable on January 3, 2029.

SEC source: 0001437749-25-000452 · rdgdoc.xml · derivative · entry 2

Gruber James R. · CIK 0001923165 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,876

Underlying: Common Stock · 25,876 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ETON Common Stock.

F3 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning January 3, 2026, contingent upon the reporting person being employed by the issuer on the date(s) of vesting.

F3 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning January 3, 2026, contingent upon the reporting person being employed by the issuer on the date(s) of vesting.

SEC source: 0001437749-25-000452 · rdgdoc.xml · derivative · entry 1

Gruber James R. · CIK 0001923165 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,621

Underlying: Common Stock · 38,621 shares

Expires 2035-01-02

F1 · derivative.exercise_date: The shares subject to the option shall vest in 48 equal monthly installments from the date of grant until fully vested and exercisable on January 3, 2029.

SEC source: 0001493152-24-042516 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,770,000

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.9553 to $8.1211 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

F3 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-040490 · ownership.xml · nonDerivative · entry 6

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 82,070

F5 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.8192-$7.34 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

F6 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-040490 · ownership.xml · nonDerivative · entry 5

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 2,760,000

F5 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.8192-$7.34 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

F6 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-040490 · ownership.xml · nonDerivative · entry 4

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 78,100

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.20-$7.25 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

F6 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-040490 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,730,000

F4 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.20-$7.25 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

F6 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-040490 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 76,852

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.7532-$6.81 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

F6 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-040490 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,720,000

F3 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.7532-$6.81 inclusive. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

F6 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-24-030714 · rdgdoc.xml · derivative · entry 1

Krempa David · CIK 0001968254 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 861,374

Underlying: Common Stock · 42,088 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of ETON Common Stock.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning October 2, 2025, contingent upon the reporting person being employed by the issuer on the date(s) of vesting.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning October 2, 2025, contingent upon the reporting person being employed by the issuer on the date(s) of vesting.

SEC source: 0001493152-24-036104 · ownership.xml · nonDerivative · entry 4

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 75,000

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

F3 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-036104 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,705,000

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

F3 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-036104 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Managed account

Disclosed balance after: 70,000

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

F3 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-24-036104 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,660,000

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

F3 · ownership.nature: Opaleye Management Inc. disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that Opaleye Management Inc. is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001437749-24-004363 · rdgdoc.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,555

Underlying: Common Stock · 30,000 shares

Expires 2034-02-12

F1 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on February 13, 2025.

SEC source: 0001437749-24-004358 · rdgdoc.xml · derivative · entry 1

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,555

Underlying: Common Stock · 30,000 shares

Expires 2034-02-12

F1 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on February 13, 2025.

SEC source: 0001437749-24-004367 · rdgdoc.xml · derivative · entry 1

Adams Jennifer McKie · CIK 0001851440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,133

Underlying: Common Stock · 30,000 shares

Expires 2034-02-12

F1 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on February 13, 2025.

SEC source: 0001437749-24-004369 · rdgdoc.xml · derivative · entry 1

Gruber James R. · CIK 0001923165 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,763

Underlying: Common Stock · 144,677 shares

Expires 2034-02-12

F1 · derivative.exercise_date: The shares subject to the option shall vest in 48 equal monthly installments from the date of grant until fully vested and exercisable on February 13, 2028.

SEC source: 0001437749-24-004365 · rdgdoc.xml · derivative · entry 1

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,473,014

Underlying: Common Stock · 438,633 shares

Expires 2034-02-12

F1 · derivative.exercise_date: The shares subject to the option shall vest in 48 equal monthly installments from the date of grant until fully vested and exercisable on February 13, 2028.

SEC source: 0001437749-24-004361 · rdgdoc.xml · derivative · entry 1

Krempa David · CIK 0001968254 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 813,430

Underlying: Common Stock · 144,677 shares

Expires 2034-02-12

F1 · derivative.exercise_date: The shares subject to the option shall vest in 48 equal monthly installments from the date of grant until fully vested and exercisable on February 13, 2028.

SEC source: 0001437749-24-004359 · rdgdoc.xml · derivative · entry 1

MAIER PAUL V · CIK 0001182615 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 164,555

Underlying: Common Stock · 30,000 shares

Expires 2034-02-12

F1 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on February 13, 2025.

SEC source: 0001493152-23-006675 · ownership.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,555

Underlying: Common stock · 25,000 shares

Expires 2033-02-19

F1 · date: Option was approved by the Compensation Committee of the Board of Directors as of February 20, 2023 and approved by the full Board of Directors on March 3, 2023.

F2 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months form the date of grant until fully vested and exercisable on February 20, 2024.

SEC source: 0001493152-23-006677 · ownership.xml · derivative · entry 1

RIEDEL NORBERT G · CIK 0001161662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,555

Underlying: Common Stock · 25,000 shares

Expires 2033-02-19

F1 · date: Option was approved by the Compensation Committee of the Board of Directors as of February 20, 2023 and approved by the full Board of Directors on March 3, 2023.

F2 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on February 20,2024.

SEC source: 0001493152-23-006673 · ownership.xml · derivative · entry 1

Adams Jennifer McKie · CIK 0001851440 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,133

Underlying: Common Stock · 25,000 shares

Expires 2033-02-19

F1 · date: Option was approved by the Compensation Committee of the Board of Directors as of February 20, 2023 and approved by the full Board of Directors on March 3, 2023.

F2 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested on February 20, 2024.

SEC source: 0001493152-23-006674 · ownership.xml · derivative · entry 1

MAIER PAUL V · CIK 0001182615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,555

Underlying: Common Stock · 25,000 shares

Expires 2033-02-19

F1 · date: Option was approved by the Compensation Committee of the Board of Directors as of February 20, 2023 and approved by the full Board of Directors on March 3, 2023.

F2 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on February 20, 2024.

SEC source: 0001493152-23-006671 · ownership.xml · derivative · entry 1

BRYNJELSEN SEAN · CIK 0001669976 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,951,881

Underlying: Common Stock · 350,381 shares

Expires 2033-02-19

F1 · date: Option was approved by the Compensation Committee of the Board of Directors as of February 20, 2023 and approved by the full Board of Directors on March 3, 2023.

F2 · derivative.exercise_date: The Shares subject to the option shall vest in 48 equal monthly installments from the date of grant until fully vested and exercisable on February 20, 2027.

SEC source: 0001493152-23-006672 · ownership.xml · derivative · entry 1

Gruber James R. · CIK 0001923165 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,086

Underlying: Common Stock · 100,086 shares

Expires 2033-02-19

F1 · date: Option was approved by the Compensation Committee of the Board of Directors as of February 20, 2023 and approved by the full Board of Directors on March 3, 2023.

F2 · derivative.exercise_date: The Shares subject to the option shall vest in 48 equal monthly installments from the date of grant until fully vested and exercisable on February 20, 2027.