FRMM

SEC source: 0001213900-21-064722 · ownership.xml · derivative · entry 2

Rothbard Jonathan B. · CIK 0001833968 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-12-08

F1 · kind: The Stock Options were granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan in consideration for services to be rendered as Chief Scientific Officer. Exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3.

F2 · derivative.exercise_date: The options vest at the rate of 1/3rd of such options at the date of grant with the remaining options vesting at the rate of 24 equal monthly installments, beginning on the last day of December 31, 2021, and continuing on the last day of each calendar month thereafter, subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-21-064568 · ownership.xml · derivative · entry 2

Vu Quan Anh · CIK 0001892297 · COO / Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2031-12-08

F1 · kind: The Stock Options were granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan in consideration for services to be rendered as COO / Chief Business Officer. Exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3.

F2 · derivative.exercise_date: The options vest in 48 equal monthly installments, beginning on the last day of November 2021, and continuing on the last day of each calendar month thereafter, subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-21-064981 · ownership.xml · derivative · entry 3

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-12-08

F1 · kind: Granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan in consideration for services to be rendered. Exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3.

SEC source: 0001213900-21-064981 · ownership.xml · nonDerivative · entry 1

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,759,930

F1 · kind: Granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan in consideration for services to be rendered. Exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3.

F2 · price: Represents shares of common stock issued in consideration for a net of $21,870 of compensation owed to the Reporting Person after the deduction for taxes for services rendered to the Company as a member of the Board of Directors.

SEC source: 0001013762-21-000203 · ownership.xml · nonDerivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 597,574

F1 · kind: On September 30, 2021, the Issuer entered into a Debt Conversion Agreement with the Reporting Person, pursuant to which the parties agreed to convert an aggregate of $31,297 owed by the Registrant to the Reporting Person, for advances previously made to the Registrant's subsidiaries, into an aggregate of 5,216 shares of common stock of the Issuer. Exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: The agreed upon conversion price of the conversion of the debt described in Footnote (1) above was the greater of the closing consolidated bid price or the market price on the date the conversion agreement was entered into, and $6.00 per share, provided that because $6.00 was above the closing consolidated bid price and the market price, the conversion price was fixed at $6.00 per share.

SEC source: 0001013762-21-000206 · ownership.xml · nonDerivative · entry 1

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,754,394

F1 · kind: On September 30, 2021, the Issuer entered into a Debt Conversion Agreement with the Reporting Person, pursuant to which the parties agreed to convert an aggregate of $819,818 owed by the Registrant to the Reporting Person, for advances previously made to the Registrant's subsidiaries, into an aggregate of 136,636 shares of common stock of the Issuer. Exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: The agreed upon conversion price of the conversion of the debt described in Footnote (1) above was the greater of the closing consolidated bid price or the market price on the date the conversion agreement was entered into, and $6.00 per share, provided that because $6.00 was above the closing consolidated bid price and the market price, the conversion price was fixed at $6.00 per share.

SEC source: 0001213900-21-040520 · ownership.xml · derivative · entry 2

Marrone Pamela G · CIK 0001582885 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2031-08-04

F1 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F1 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F2 · derivative.exercise_date: The Options vest at the rate of 1/48th of such options ratably on a monthly basis over the following 48 months following the grant date, on the last day of each calendar month (beginning on August 31, 2021), subject to the holder's continued service to the Company.

SEC source: 0001213900-21-040515 · ownership.xml · derivative · entry 2

McGovern Jr. Donald A. · CIK 0001706276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-08-04

F2 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F2 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F3 · derivative.exercise_date: The Options vest at the rate of 1/48th of such options ratably on a monthly basis over the following 48 months following the grant date, on the last day of each calendar month (beginning on August 31, 2021), subject to the holder's continued service to the Company.

SEC source: 0001213900-21-040515 · ownership.xml · nonDerivative · entry 1

McGovern Jr. Donald A. · CIK 0001706276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,628

F1 · kind: Issued in consideration for serving on the Board of Directors, as Chairman of the Audit and Compensation Committee of the Board of Directors, and as a member of the Nominating and Corporate Governance Committee of the Board of Directors, for the quarters ended March 31, 2021 and June 30, 2021. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · price: Issued in consideration for serving on the Board of Directors, as Chairman of the Audit and Compensation Committee of the Board of Directors, and as a member of the Nominating and Corporate Governance Committee of the Board of Directors, for the quarters ended March 31, 2021 and June 30, 2021. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-21-040572 · ownership.xml · derivative · entry 2

DeLuca Teresa · CIK 0001685627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2031-08-04

F1 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F1 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F2 · derivative.exercise_date: The Options vest at the rate of 1/48th of such options ratably on a monthly basis over the following 48 months following the grant date, on the last day of each calendar month (beginning on August 31, 2021), subject to the holder's continued service to the Company.

SEC source: 0001213900-21-040523 · ownership.xml · derivative · entry 2

Francis Knuettel II · CIK 0001433316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2031-08-04

F1 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F1 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F2 · derivative.exercise_date: The Options vest at the rate of 1/48th of such options ratably on a monthly basis over the following 48 months following the grant date, on the last day of each calendar month (beginning on August 31, 2021), subject to the holder's continued service to the Company.

SEC source: 0001213900-21-040519 · ownership.xml · derivative · entry 2

RAY RUSSELL T · CIK 0001225960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,000

Underlying: Common Stock · 79,000 shares

Expires 2031-08-04

F1 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F1 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F2 · derivative.exercise_date: The Options vest at the rate of 1/48th of such options ratably on a monthly basis over the following 48 months following the grant date, on the last day of each calendar month (beginning on August 31, 2021), subject to the holder's continued service to the Company.

SEC source: 0001213900-21-040776 · ownership.xml · derivative · entry 2

Gold Lawrence Marshall · CIK 0001355868 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-08-04

F2 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F2 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) of the Securities Exchange Act of 1934 pursuant to Rule 16b-3 promulgated under the Exchange Act.

F3 · derivative.exercise_date: The Options vest at the rate of 1/48th of such options ratably on a monthly basis over the following 48 months following the grant date, on the last day of each calendar month (beginning on August 31, 2021), subject to the holder's continued service to the Company.

SEC source: 0001213900-21-040776 · ownership.xml · nonDerivative · entry 1

Gold Lawrence Marshall · CIK 0001355868 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,730

F1 · kind: Issued in consideration for serving on the Board of Directors, as a Member of the Audit and Compensation Committee of the Board of Directors, and as Chairman of the Nominating and Corporate Governance Committee of the Board of Directors, for the quarters ended March 31, 2021 and June 30, 2021. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · price: Issued in consideration for serving on the Board of Directors, as a Member of the Audit and Compensation Committee of the Board of Directors, and as Chairman of the Nominating and Corporate Governance Committee of the Board of Directors, for the quarters ended March 31, 2021 and June 30, 2021. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-21-020733 · ownership.xml · nonDerivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 592,358

F1 · kind: Issued in consideration for accrued compensation due for services rendered as Co-Executive Chairman of the Issuer. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · price: Issued in consideration for accrued compensation due for services rendered as Co-Executive Chairman of the Issuer. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-21-021026 · ownership.xml · nonDerivative · entry 1

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,617,758

F1 · kind: Issued in consideration for accrued compensation due for services rendered as Co-Executive Chairman of the Issuer. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · price: Issued in consideration for accrued compensation due for services rendered as Co-Executive Chairman of the Issuer. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-21-021025 · ownership.xml · nonDerivative · entry 1

Rothbard Jonathan B. · CIK 0001833968 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 560,449

F1 · kind: Issued in consideration for accrued compensation due for services rendered as Chief Scientific Officer of the Issuer. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · price: Issued in consideration for accrued compensation due for services rendered as Chief Scientific Officer of the Issuer. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-21-013755 · ownership.xml · nonDerivative · entry 1

McGovern Jr. Donald A. · CIK 0001706276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,503

F1 · kind: Issued in consideration for serving on the Board of Directors, as Chairman of the Audit and Compensation Committee of the Board of Directors, and as a member of the Nominating and Corporate Governance Committee of the Board of Directors, for a portion of the quarter ended December 31, 2020. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · price: Issued in consideration for serving on the Board of Directors, as Chairman of the Audit and Compensation Committee of the Board of Directors, and as a member of the Nominating and Corporate Governance Committee of the Board of Directors, for a portion of the quarter ended December 31, 2020. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-21-013754 · ownership.xml · nonDerivative · entry 1

Gold Lawrence Marshall · CIK 0001355868 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,101

F1 · kind: Issued in consideration for serving on the Board of Directors, as a Member of the Audit and Compensation Committee of the Board of Directors, and as Chairman of the Nominating and Corporate Governance Committee of the Board of Directors, for a portion of the quarter ended December 31, 2020. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · price: Issued in consideration for serving on the Board of Directors, as a Member of the Audit and Compensation Committee of the Board of Directors, and as Chairman of the Nominating and Corporate Governance Committee of the Board of Directors, for a portion of the quarter ended December 31, 2020. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

SEC source: 0001213900-21-013186 · ownership.xml · derivative · entry 2

Pamir Ozan · CIK 0001834681 · Interim CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2031-02-26

F1 · kind: The Stock Options were granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan in consideration for services to be rendered as Interim Chief Financial Officer. Exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The options vest at the rate of (a) 1/5th of such options on the grant date; and (b) 4/5th of such options vesting ratably on a monthly basis over the following 36 months on the last day of each calendar month, subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-21-013185 · ownership.xml · derivative · entry 2

Woody James N. · CIK 0001553355 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,400,000

Underlying: Common Stock · 1,400,000 shares

Expires 2031-02-26

F1 · kind: The Stock Options were granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan in consideration for services to be rendered as Chief Executive Officer. Exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The options vest at the rate of (a) 1/5th of such options on the grant date; and (b) 4/5th of such options vesting ratably on a monthly basis over the following 36 months on the last day of each calendar month, subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-20-043289 · ownership.xml · nonDerivative · entry 2

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,018,961

F1 · ownership.nature: The securities are held directly by KBL IV Sponsor LLC ("KBL Sponsor"). Dr. Marlene Krauss, the former Chief Executive Officer, and a former member of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the securities of the issuer held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities of the issuer owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-043289 · ownership.xml · nonDerivative · entry 1

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,006,858

F1 · ownership.nature: The securities are held directly by KBL IV Sponsor LLC ("KBL Sponsor"). Dr. Marlene Krauss, the former Chief Executive Officer, and a former member of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the securities of the issuer held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities of the issuer owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-043289 · ownership.xml · nonDerivative · entry 4

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,023,364

F2 · kind: KBL Sponsor made a pro rata distribution for no consideration of an aggregate of 520,312 shares of the common stock of the issuer to its members on December 16, 2020.

F1 · ownership.nature: The securities are held directly by KBL IV Sponsor LLC ("KBL Sponsor"). Dr. Marlene Krauss, the former Chief Executive Officer, and a former member of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the securities of the issuer held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities of the issuer owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-043289 · ownership.xml · nonDerivative · entry 3

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,608

F3 · kind: Represents 334,608 shares of the issuer's common stock that were received by Dr. Krauss in a pro rata distribution made by KBL Sponsor to its members on December 16, 2020. In prior reports, Dr. Krauss reported indirect beneficial ownership of all of the shares of the issuer's common stock held by KBL Sponsor.

SEC source: 0001213900-20-043289 · ownership.xml · nonDerivative · entry 5

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,543,676

F1 · ownership.nature: The securities are held directly by KBL IV Sponsor LLC ("KBL Sponsor"). Dr. Marlene Krauss, the former Chief Executive Officer, and a former member of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the securities of the issuer held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities of the issuer owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-043289 · ownership.xml · nonDerivative · entry 6

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,561,553

F1 · ownership.nature: The securities are held directly by KBL IV Sponsor LLC ("KBL Sponsor"). Dr. Marlene Krauss, the former Chief Executive Officer, and a former member of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the securities of the issuer held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities of the issuer owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-041368 · ownership.xml · derivative · entry 2

Gold Lawrence Marshall · CIK 0001355868 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-12-03

F1 · kind: The Stock Options were granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The options vest in equal monthly installments over the 12 months after the grant date (on the 3rd of each month), subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-20-041312 · ownership.xml · derivative · entry 2

BARKER RICHARD W · CIK 0001255954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-12-03

F1 · kind: The Stock Options were granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The options vest in equal monthly installments over the 12 months after the grant date (on the 3rd of each month), subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-20-041301 · ownership.xml · derivative · entry 2

McGovern Jr. Donald A. · CIK 0001706276 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-12-03

F1 · kind: The Stock Options were granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The options vest in equal monthly installments over the 12 months after the grant date (on the 3rd of each month), subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-20-040310 · ownership.xml · nonDerivative · entry 1

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,571,556

F1 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-040310 · ownership.xml · nonDerivative · entry 2

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,583,738

F1 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-040310 · ownership.xml · nonDerivative · entry 3

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,644,371

F1 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-040310 · ownership.xml · nonDerivative · entry 4

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,677,816

F1 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-040310 · ownership.xml · nonDerivative · entry 5

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,684,516

F1 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-036499 · ownership.xml · nonDerivative · entry 1

Woody James N. · CIK 0001553355 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,252

SEC source: 0001213900-20-036233 · ownership.xml · derivative · entry 5

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: common stock · 47,302 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.

F2 · derivative.exercise_price: Reflects shares of common stock that were issued to KBL Sponsor as a result of the automatic conversion, upon the closing of the Merger, of 473,013 rights held by KBL Sponsor, with each right convertible into 1/10th of one share of common stock upon the closing of the Merger. The rights were included in units that were issued by the issuer in a private placement in June 2017 in connection with the issuer's initial public offering.

F2 · kind: Reflects shares of common stock that were issued to KBL Sponsor as a result of the automatic conversion, upon the closing of the Merger, of 473,013 rights held by KBL Sponsor, with each right convertible into 1/10th of one share of common stock upon the closing of the Merger. The rights were included in units that were issued by the issuer in a private placement in June 2017 in connection with the issuer's initial public offering.

F2 · derivative.exercise_date: Reflects shares of common stock that were issued to KBL Sponsor as a result of the automatic conversion, upon the closing of the Merger, of 473,013 rights held by KBL Sponsor, with each right convertible into 1/10th of one share of common stock upon the closing of the Merger. The rights were included in units that were issued by the issuer in a private placement in June 2017 in connection with the issuer's initial public offering.

F2 · derivative.expiration_date: Reflects shares of common stock that were issued to KBL Sponsor as a result of the automatic conversion, upon the closing of the Merger, of 473,013 rights held by KBL Sponsor, with each right convertible into 1/10th of one share of common stock upon the closing of the Merger. The rights were included in units that were issued by the issuer in a private placement in June 2017 in connection with the issuer's initial public offering.

F3 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-036233 · ownership.xml · derivative · entry 4

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 236,507

Underlying: common stock · 236,507 shares

Expires 2025-11-06

F4 · kind: The warrants were included in the units that were issued by the issuer in a private placement in June 2017 in connection with the issuer's initial public offering. The warrants are exercisable beginning 30 days following the closing of the Merger by their terms. The Sponsor was deemed to have acquired beneficial ownership of the shares underlying the warrant upon the consummation of the business combination on November 6, 2020, since the warrants became exercisable within 30 days.

F3 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-036233 · ownership.xml · nonDerivative · entry 3

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,395,315

F5 · price: In connection with the closing of the Merger, the Sponsor transferred to Tyche Capital LLC an aggregate of 906,250 shares of common stock that the Sponsor originally acquired in September 2016, which shares were placed into an escrow account under that certain Escrow Agreement, dated April 10, 2019, by and among the Sponsor, the issuer, Tyche Capital LLC and Continental Stock Transfer & Trust Company. The parties entered into the Escrow Agreement in connection with the Business Combination Agreement relating to the Merger.

F3 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-036233 · ownership.xml · nonDerivative · entry 2

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,489,065

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.

F2 · shares: Reflects shares of common stock that were issued to KBL Sponsor as a result of the automatic conversion, upon the closing of the Merger, of 473,013 rights held by KBL Sponsor, with each right convertible into 1/10th of one share of common stock upon the closing of the Merger. The rights were included in units that were issued by the issuer in a private placement in June 2017 in connection with the issuer's initial public offering.

F2 · price: Reflects shares of common stock that were issued to KBL Sponsor as a result of the automatic conversion, upon the closing of the Merger, of 473,013 rights held by KBL Sponsor, with each right convertible into 1/10th of one share of common stock upon the closing of the Merger. The rights were included in units that were issued by the issuer in a private placement in June 2017 in connection with the issuer's initial public offering.

F3 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001213900-20-036233 · ownership.xml · nonDerivative · entry 1

KRAUSS MARLENE · CIK 0001033308 · 10% owner

KBL IV SPONSOR LLC · CIK 0001706868 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,687,816

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 · shares: Represents shares of common stock that were issued to KBL IV Sponsor LLC ("KBL Sponsor") are a result of the automatic conversion of a promissory note in the principal amount of $795,003 that was previously issued by the issuer to KBL Sponsor, which note automatically converted into shares of the common stock of the issuer on November 6, 2020 upon the closing of the business combination transaction between the issuer and 180 Life Corp. (f/k/a 180 Life Science Corp.) (such business combination transaction, the "Merger")

F3 · ownership.nature: The shares are held directly by KBL Sponsor. Dr. Marlene Krauss, the former Chief Executive Officer, and a former memeber of the Board of Directors, of the issuer, is the sole managing member of KBL Sponsor. Consequently, she may be deemed the beneficial owner of the shares of common stock held by KBL Sponsor, and she has sole voting and dispositive control over such securities. Dr. Krauss disclaims beneficial ownership over any securities owned by KBL Sponsor in which she does not have a pecuniary interest.

SEC source: 0001438284-19-000023 · primary_doc.xml · nonDerivative · entry 2

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 132,285

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000023 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 432,185

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000021 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 832,185

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000020 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 832,285

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000019 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 946,222

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviserto OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000018 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 971,482

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001438284-19-000017 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 975,481

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP ('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000812291-19-000015 · primary_doc.xml · nonDerivative · entry 1

MIZUHO SECURITIES USA LLC · CIK 0000812291 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 764,000

SEC source: 0001438284-19-000016 · primary_doc.xml · nonDerivative · entry 1

OXFORD ASSET MANAGEMENT LLP · CIK 0001438284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 981,381

F1 · ownership.direct: This Form 4 relates to Securities held for the account of OxAM Quant Fund Limited, a Cayman Islands exempted company ('OxAM'). OxAM has in place an Investment Advisory Agreement with OxFORD ASSET MANAGEMENT LLP('OxFORD'), pursuant to which OxFORD serves as the investment adviser to OxAM. In such capacity, OxFORD may be deemed to exercise the voting and dispositive power over the Securities held for the account of OxAM. OxFORD disclaims beneficial ownership of the Securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that OxFORD is the beneficial owner of the Securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.