FBIO

SEC source: 0001104659-23-021617 · tm236803-4_4seq1.xml · nonDerivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · President, CEO & Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,349,091

SEC source: 0001104659-23-021628 · tm236803-6_4seq1.xml · nonDerivative · entry 1

WEISS MICHAEL S · CIK 0001038977 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,752,034

SEC source: 0001104659-23-021607 · tm236803-2_4seq1.xml · nonDerivative · entry 1

LOBELL J JAY · CIK 0001172659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,635,401

SEC source: 0001104659-23-021625 · tm236803-5_4seq1.xml · nonDerivative · entry 1

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 931,976

F1 · balance_after: The total holdings include 200,000 shares of deferred restricted stock.

SEC source: 0001104659-23-021614 · tm236803-3_4seq1.xml · nonDerivative · entry 1

Lu Lucy · CIK 0001542419 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,379

F1 · balance_after: The total holdings include 50,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-23-021541 · tm236803-1_4seq1.xml · nonDerivative · entry 1

Jin David · CIK 0001930732 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,438,757

F1 · balance_after: The total holdings include 1,350,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-23-001103 · tm231728-9_4seq1.xml · nonDerivative · entry 2

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · President, CEO & Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,953,882

F2 · shares: The Reporting Person was granted 1,219,294 restricted shares pursuant to the Issuer's Long-Term Incentive Plan on January 1, 2023.

SEC source: 0001104659-23-001101 · tm231728-7_4seq1.xml · nonDerivative · entry 1

WEISS MICHAEL S · CIK 0001038977 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,554,430

F1 · shares: The Reporting Person was granted 1,219,294 restricted shares pursuant to the Issuer's Long-Term Incentive Plan on January 1, 2023.

SEC source: 0001104659-23-001097 · tm231728-4_4seq1.xml · nonDerivative · entry 1

LOBELL J JAY · CIK 0001172659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,336,000

F1 · shares: One-third of the shares will vest on each of January 1, 2024, 2025 and 2026, subject to continued service.

SEC source: 0001104659-23-001096 · tm231728-3_4seq1.xml · nonDerivative · entry 1

Klein Dov · CIK 0001647971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 851,015

F1 · shares: One-third of the shares will vest on each of January1, 2024, 2025 and 2026, subject to continued service. The Reporting Person elected to defer 80,000 of these restricted shares pursuant to the Issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the Reporting Person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the Issuer.

F2 · balance_after: The total holdings include 560,000 shares of deferred restricted stock and 120,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-23-001102 · tm231728-8_4seq1.xml · nonDerivative · entry 1

Lu Lucy · CIK 0001542419 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,403

F1 · shares: One-third of the shares will vest on each of January1, 2024, 2025 and 2026, subject to continued service. The Reporting Person elected to defer 100% of these restricted shares pursuant to the Issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the Reporting Person in January of the year following the reporting person's termination of service, or earlier upon her death or change in control of the Issuer.

F2 · balance_after: The total holdings include 50,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-23-001100 · tm231728-6_4seq1.xml · nonDerivative · entry 1

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 920,000

F1 · shares: One-third of the shares will vest on each of January1, 2024, 2025 and 2026, subject to continued service. The Reporting Person elected to defer 100% of these restricted shares pursuant to the Issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the Reporting Person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the Issuer.

F2 · balance_after: The total holdings include 200,000 shares of deferred restricted stock.

SEC source: 0001104659-23-001099 · tm231728-5_4seq1.xml · nonDerivative · entry 1

Lorenz Kevin · CIK 0001772558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,572

F1 · shares: One-third of the shares will vest on each of January1, 2024, 2025 and 2026, subject to continued service.

SEC source: 0001104659-23-001095 · tm231728-2_4seq1.xml · nonDerivative · entry 1

Hoenlein Malcolm · CIK 0001294517 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,636

F1 · shares: One-third of the shares will vest on each of January1, 2024, 2025 and 2026, subject to continued service. The Reporting Person elected to defer 100% of these restricted shares pursuant to the Issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the Reporting Person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the Issuer.

F2 · balance_after: The total holdings include 450,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-23-001094 · tm231728-1_4seq1.xml · nonDerivative · entry 1

Harvey Jimmie · CIK 0001529687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 950,000

F1 · shares: One-third of the shares will vest on each of January1, 2024, 2025 and 2026, subject to continued service. The Reporting Person elected to defer 100% of these restricted shares pursuant to the Issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the Reporting Person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the Issuer.

F2 · balance_after: The total holdings include 900,000 shares of deferred restricted stock.

SEC source: 0001104659-22-128075 · tm2232939-2_4seq1.xml · nonDerivative · entry 1

Lu Lucy · CIK 0001542419 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,403

F1 · shares: One-third of the shares will vest on each of December 16, 2023, December 16, 2024 and December 16, 2025.

SEC source: 0001104659-22-124392 · tm2231935-1_4seq1.xml · nonDerivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,730,324

SEC source: 0001104659-22-124108 · tm2231877-2_4seq1.xml · nonDerivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,630,324

F1 · shares: Shares acquired as purchases made under the Issuer's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period. Under the ESPP, 5,000 shares is the maximum amount an individual employee may purchase during an offering period.

SEC source: 0001104659-22-124100 · tm2231877-1_4seq1.xml · nonDerivative · entry 1

Jin David · CIK 0001930732 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,402,829

F1 · shares: Shares acquired as purchases made under the Issuer's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period. Under the ESPP, 5,000 shares is the maximum amount an individual employee may purchase during an offering period.

F2 · balance_after: The total holdings include 1,350,000 shares underlying restricted stock units.

SEC source: 0001104659-22-112522 · tm2229153-2_4seq1.xml · nonDerivative · entry 1

Jin David · CIK 0001930732 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,397,829

F1 · shares: Represents an award of 1,350,000 restricted stock units which will vest in 48 equal monthly installments after the grant date, October 26, 2022. The shares underlying the restricted stock units will not be settled until the earlier of the tenth business day of January of the year following certain terminations of service of the Reporting Person from the Issuer and the consummation of a Corporate Transaction (as defined in the Fortress Biotech, Inc. 2013 Stock Incentive Plan); the amount will be distributed in the form of the Issuer's common stock.

F2 · balance_after: The total holdings include 1,350,000 shares underlying restricted stock units.

SEC source: 0001104659-22-110780 · tm2228777-1_4seq1.xml · nonDerivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,625,324

SEC source: 0001104659-23-001103 · tm231728-9_4seq1.xml · nonDerivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · President, CEO & Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,734,588

F1 · shares: These shares were acquired under the Issuer's Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001104659-22-053615 · tm2213913-6_4seq1.xml · nonDerivative · entry 5

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,525,324

F4 · kind: The reporting person was granted 1,102,986 restricted shares pursuant to the issuer's Long-Term Incentive Plan on January 1, 2022.

SEC source: 0001104659-22-053619 · tm2213913-8_4seq1.xml · nonDerivative · entry 1

WEISS MICHAEL S · CIK 0001038977 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,335,136

F1 · shares: The Reporting Person was granted 1,102,986 restricted shares pursuant to the Issuer's Long Term Incentive Plan on January 1, 2022.

SEC source: 0001104659-22-053578 · tm2213913-3_4seq1.xml · nonDerivative · entry 1

LOBELL J JAY · CIK 0001172659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,236,000

F1 · shares: One-third of the shares will vest on each of January 1, 2023, 2024 and 2025, subject to continued service.

SEC source: 0001104659-22-053625 · tm2213913-10_4seq1.xml · nonDerivative · entry 5

Klein Dov · CIK 0001647971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 751,015

F4 · shares: One-third of the shares will vest on each of January 1, 2023, 2024 and 2025, subject to continued service. The reporting person elected to defer 80,000 of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer.

F5 · balance_after: The total holdings include 560,000 shares of deferred restricted stock and 40,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-22-053616 · tm2213913-7_4seq1.xml · nonDerivative · entry 3

Hoenlein Malcolm · CIK 0001294517 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 485,636

F4 · shares: One-third of the shares will vest on each of January 1, 2023, 2024, and 2025, subject to continued service. The reporting person elected to defer 100% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer.

F5 · balance_after: The total holdings include 400,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-22-053584 · tm2213913-5_4seq1.xml · nonDerivative · entry 1

Lorenz Kevin · CIK 0001772558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,572

F1 · shares: One-third of the shares will vest on each of January 1, 2023, 2024 and 2025, subject to continued service.

SEC source: 0001104659-22-053580 · tm2213913-4_4seq1.xml · nonDerivative · entry 1

Harvey Jimmie · CIK 0001529687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

F1 · shares: One-third of the shares will vest on each of January 1, 2023, 2024 and 2025, subject to continued service. The reporting person elected to defer 100% of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer.

F2 · balance_after: The total holdings include 800,000 shares of deferred restricted stock.

SEC source: 0001104659-22-053572 · tm2213913-2_4seq1.xml · nonDerivative · entry 1

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 820,000

F1 · shares: One-third of the shares will vest on each January 1, 2023, 2024 and 2025, subject to continued service.

F2 · balance_after: The total holdings include 100,000 shares of deferred restricted stock.

SEC source: 0001104659-22-053625 · tm2213913-10_4seq1.xml · nonDerivative · entry 4

Klein Dov · CIK 0001647971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 651,015

F2 · balance_after: The total holdings include 480,000 shares of deferred restricted stock and 40,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-22-053615 · tm2213913-6_4seq1.xml · nonDerivative · entry 4

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,422,338

F1 · kind: Shares acquired as purchases made under the Issuer's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period.

SEC source: 0001104659-22-053615 · tm2213913-6_4seq1.xml · nonDerivative · entry 3

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,421,088

F3 · kind: The shares were issued upon the consummation of Journey Medical Corporation ("Journey's") initial public offering as a partial dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey's 8% Cumulative Convertible Class A Preferred Stock.

SEC source: 0001104659-22-053625 · tm2213913-10_4seq1.xml · nonDerivative · entry 3

Klein Dov · CIK 0001647971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 656,015

F3 · kind: The shares were issued upon the consummation of Journey Medical Corporation ("Journey's") initial public offering as a partial dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey's 8% Cumulative Convertible Class A Preferred Stock.

F2 · balance_after: The total holdings include 480,000 shares of deferred restricted stock and 40,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-22-053616 · tm2213913-7_4seq1.xml · nonDerivative · entry 2

Hoenlein Malcolm · CIK 0001294517 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,636

F3 · kind: The shares were issued upon the consummation of Journey Medical Corporation ("Journey's") initial public offering as a partial dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey's 8% Cumulative Convertible Class A Preferred Stock

F2 · balance_after: The total holdings include 350,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-22-053615 · tm2213913-6_4seq1.xml · nonDerivative · entry 2

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,416,469

F2 · kind: The shares were issued as a dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey Medical Corporation's 8% Cumulative Convertible Class A Preferred Stock.

SEC source: 0001104659-22-053625 · tm2213913-10_4seq1.xml · nonDerivative · entry 2

Klein Dov · CIK 0001647971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 655,785

F1 · kind: The shares were issued as a dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey Medical Corporation's 8% Cumulative Convertible Class A Preferred Stock.

F2 · balance_after: The total holdings include 480,000 shares of deferred restricted stock and 40,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-22-053616 · tm2213913-7_4seq1.xml · nonDerivative · entry 1

Hoenlein Malcolm · CIK 0001294517 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,406

F1 · kind: The shares were issued as a dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey Medical Corporation's 8% Cumulative Convertible Class A Preferred Stock.

F2 · balance_after: The total holdings include 350,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-22-053623 · tm2213913-9_4seq1.xml · nonDerivative · entry 1

Hunter Robyn · CIK 0001713932 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,877

F1 · shares: In connection with the vesting of 62,500 shares on September 20, 2021, a total of 28,292 of such shares were sold by the Issuer in order to satisfy the Reporting Person's tax withholding obligations. The Reporting Person had no discretion with respect to such sale, which was conducted automatically in accordance with the Issuer's corporate policies.

F2 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on September 21, 2021, was $3.11 to $3.14. The Reporting Person hereby undertakes to provide upon request by the Securities Exchange Commission staff, the Issuer, or a shareholder of the Issuer, full information regarding the number of shares sold at each separate price.

F3 · balance_after: Of the 163,877 shares, 34,208 shares are restricted stock units.

SEC source: 0001104659-22-053625 · tm2213913-10_4seq1.xml · nonDerivative · entry 1

Klein Dov · CIK 0001647971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 655,305

F1 · kind: The shares were issued as a dividend pursuant to the Dividend Payment and Exchange Agreement executed by Fortress Biotech, Inc. on March 31, 2021 in favor of the holders of Journey Medical Corporation's 8% Cumulative Convertible Class A Preferred Stock.

F2 · balance_after: The total holdings include 480,000 shares of deferred restricted stock and 40,000 shares underlying deferred restricted stock units.

SEC source: 0001104659-22-053615 · tm2213913-6_4seq1.xml · nonDerivative · entry 1

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,408,336

F1 · kind: Shares acquired as purchases made under the Issuer's Employee Stock Purchase Plan ("ESPP") during the ESPP offering period.

SEC source: 0001104659-21-048831 · tm219139d7_4.xml · nonDerivative · entry 6

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 720,000

F2 · shares: In connection with the vesting of 100,000 shares on January 1, 2021, a total of 30,000 shares were sold by the Reporting Person in order to satisfy the Reporting Person's tax withholding obligations.

F7 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on March 2, 2021, was $4.40 to $4.50.*

SEC source: 0001104659-21-048831 · tm219139d7_4.xml · nonDerivative · entry 5

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 730,000

F2 · shares: In connection with the vesting of 100,000 shares on January 1, 2021, a total of 30,000 shares were sold by the Reporting Person in order to satisfy the Reporting Person's tax withholding obligations.

F6 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on February 19, 2021, was $4.30 to $4.31.*

SEC source: 0001104659-21-048831 · tm219139d7_4.xml · nonDerivative · entry 4

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 738,000

F2 · shares: In connection with the vesting of 100,000 shares on January 1, 2021, a total of 30,000 shares were sold by the Reporting Person in order to satisfy the Reporting Person's tax withholding obligations.

F5 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on February 18, 2021, was $4.19 to $4.23.*

SEC source: 0001104659-21-048831 · tm219139d7_4.xml · nonDerivative · entry 3

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 744,000

F2 · shares: In connection with the vesting of 100,000 shares on January 1, 2021, a total of 30,000 shares were sold by the Reporting Person in order to satisfy the Reporting Person's tax withholding obligations.

F4 · price: Reflects an open market sale transaction effected by the Reporting Person through a sale order executed by a broker-dealer.*

SEC source: 0001104659-21-048831 · tm219139d7_4.xml · nonDerivative · entry 2

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 746,000

F2 · shares: In connection with the vesting of 100,000 shares on January 1, 2021, a total of 30,000 shares were sold by the Reporting Person in order to satisfy the Reporting Person's tax withholding obligations.

F3 · price: Reflects the weighted average sale price of multiple same-way open market sale transactions effected by the Reporting Person on the same day at different prices through a sale order executed by a broker-dealer. The Reporting Person reported on a single line all such transactions that occurred within a one-dollar price range. The range of prices for the sale transactions on February 5, 2021, was $3.75 to $3.84.*

SEC source: 0001104659-21-048830 · tm219139d6_4.xml · nonDerivative · entry 3

ROSENWALD LINDSAY A MD · CIK 0000941841 · Director · PRESIDENT, CEO & CHAIRMAN · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,407,039

F2 · shares: The Reporting Person was granted 1,030,339 restricted shares pursuant to the Issuer's Long Term Incentive Plan on January 1, 2021.

SEC source: 0001104659-21-048834 · tm219139d8_4.xml · nonDerivative · entry 1

WEISS MICHAEL S · CIK 0001038977 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,232,150

F1 · shares: The Reporting Person was granted 1,030,339 restricted shares pursuant to the Issuer's Long Term Incentive Plan on January 1, 2021.

SEC source: 0001104659-21-048827 · tm219139d4_4.xml · nonDerivative · entry 1

LOBELL J JAY · CIK 0001172659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,136,000

F1 · shares: One-third of the shares will vest on each of January 1, 2022, 2023 and 2024, subject to continued service.

SEC source: 0001104659-21-048826 · tm219139d3_4.xml · nonDerivative · entry 1

Klein Dov · CIK 0001647971 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 655,000

F1 · shares: One-third of the shares will vest on each of January 1, 2022, 2023 and 2024, subject to continued service. The reporting person elected to defer 80,000 of these restricted shares pursuant to the issuer's Deferred Compensation Plan for Directors and instead received deferred share units that are subject to the same vesting conditions. Vested deferred shares will be delivered to the reporting person in January of the year following the reporting person's termination of service, or earlier upon his death or change in control of the issuer.

F2 · balance_after: The total holdings include 480,000 shares of deferred restricted stock and 40,000 shares underlying deferred restricted stock units.