GRCE

SEC source: 0001493152-26-046899 · 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: 2,873,289

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: 0001493152-26-046899 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,866,074

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.03 to $2.05. 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 purchased at each separate price within the range.

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: 0001493152-26-046899 · 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: 2,860,734

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: 0001493152-26-045809 · 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: 2,858,657

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: 0001493152-26-045809 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,856,963

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.03 to $2.07. 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 purchased at each separate price within the range.

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: 0001493152-26-045809 · 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: 2,836,963

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.00 to $2.04. 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 purchased at each separate price within the range.

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: 0001493152-26-045358 · 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: 2,798,167

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.

F2 · 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: 0001493152-26-045347 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,790,318

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.

F2 · 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: 0001493152-26-043996 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,855,318

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.

F2 · 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: 0001493152-26-045347 · 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: 2,785,000

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.

F2 · 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: 0001493152-26-043996 · 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: 2,850,000

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.

F2 · 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: 0001140361-26-037246 · form4.xml · derivative · entry 1

NEUGEBOREN EDWARD · CIK 0001320873 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,200

Underlying: Common Stock · 12,200 shares

Expires 2036-09-16

F1 · derivative.exercise_date: 50% of this option vests on the date of grant and the remaining 50% vests in substantially equal monthly installments over a 12-month period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-26-037245 · form4.xml · derivative · entry 1

DAVIS A BRIAN · CIK 0001184432 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,200

Underlying: Common Stock · 12,200 shares

Expires 2036-09-16

F1 · derivative.exercise_date: 50% of this option vests on the date of grant and the remaining 50% vests in substantially equal monthly installments over a 12-month period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-26-037239 · form4.xml · derivative · entry 1

Kavuru Vimal · CIK 0001697184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,200

Underlying: Common Stock · 12,200 shares

Expires 2036-09-16

F1 · derivative.exercise_date: 50% of this option vests on the date of grant and the remaining 50% vests in substantially equal monthly installments over a 12-month period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-26-037237 · form4.xml · derivative · entry 1

Kottayil George · CIK 0001895357 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,200

Underlying: Common Stock · 12,200 shares

Expires 2036-09-16

F1 · derivative.exercise_date: 50% of this option vests on the date of grant and the remaining 50% vests in substantially equal monthly installments over a 12-month period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001493152-26-042152 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,775,229

F3 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.085 to $2.09. 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 purchased at each separate price within the range.

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: 0001140361-26-036125 · form4.xml · nonDerivative · entry 1

Kohli Prashant · CIK 0001946739 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 121,357

SEC source: 0001493152-26-042152 · 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: 2,769,393

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.095 to $2.10. 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 purchased at each separate price within the range.

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: 0001140361-26-035319 · form4.xml · derivative · entry 1

Kohli Prashant · CIK 0001946739 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,160

Underlying: Common Stock · 267,160 shares

Expires 2036-08-27

F1 · derivative.exercise_date: These options vest quarterly in substantially equal installments over a three-year period, subject to the Reporting Person's continuous service as of each vesting date, The first 1/12 tranche shall vest immediately upon the grant date with the remaining 11/12 vesting equally over the following 11 quarters starting on the three-month anniversary of the grant date.

SEC source: 0001140361-26-035317 · form4.xml · derivative · entry 1

Macdonald R. Loch · CIK 0001653008 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,690

Underlying: Common Stock · 54,690 shares

Expires 2036-08-27

F1 · derivative.exercise_date: These options vest quarterly in substantially equal installments over a three-year period, subject to the Reporting Person's continuous service as of each vesting date, The first 1/12 tranche shall vest immediately upon the grant date with the remaining 11/12 vesting equally over the following 11 quarters starting on the three-month anniversary of the grant date.

SEC source: 0001140361-26-035318 · form4.xml · derivative · entry 1

Kumar Amresh · CIK 0001978220 · VP Program Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,760

Underlying: Common Stock · 35,760 shares

Expires 2036-08-27

F1 · derivative.exercise_date: These options vest quarterly in substantially equal installments over a three-year period, subject to the Reporting Person's continuous service as of each vesting date, The first 1/12 tranche shall vest immediately upon the grant date with the remaining 11/12 vesting equally over the following 11 quarters starting on the three-month anniversary of the grant date.

SEC source: 0001140361-26-035316 · form4.xml · derivative · entry 1

DelAversano Robert J · CIK 0001728262 · Principal Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,660

Underlying: Common Stock · 33,660 shares

Expires 2036-08-27

F1 · derivative.exercise_date: These options vest quarterly in substantially equal installments over a three-year period, subject to the Reporting Person's continuous service as of each vesting date, The first 1/12 tranche shall vest immediately upon the grant date with the remaining 11/12 vesting equally over the following 11 quarters starting on the three-month anniversary of the grant date.

SEC source: 0001493152-26-039124 · 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: 2,760,000

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.05 to $2.09. 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 purchased at each separate price within the range.

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: 0001140361-26-000968 · form4.xml · derivative · entry 1

Kottayil George · CIK 0001895357 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2036-01-08

F1 · derivative.exercise_date: 25% of this option vests on the date of grant and the remaining 75% vests in substantially equal monthly installments on the 30th day of each month until September 30, 2026, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-26-000969 · form4.xml · derivative · entry 1

Kavuru Vimal · CIK 0001697184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2036-01-08

F1 · derivative.exercise_date: 25% of this option vests on the date of grant and the remaining 75% vests in substantially equal monthly installments on the 30th day of each month until September 30, 2026, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-26-000967 · form4.xml · derivative · entry 1

NEUGEBOREN EDWARD · CIK 0001320873 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2036-01-08

F1 · derivative.exercise_date: 25% of this option vests on the date of grant and the remaining 75% vests in substantially equal monthly installments on the 30th day of each month until September 30, 2026, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-26-000966 · form4.xml · derivative · entry 1

DAVIS A BRIAN · CIK 0001184432 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2036-01-08

F1 · derivative.exercise_date: 25% of this option vests on the date of grant and the remaining 75% vests in substantially equal monthly installments on the 30th day of each month until September 30, 2026, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-018698 · form4.xml · derivative · entry 1

Kottayil George · CIK 0001895357 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2035-05-09

F1 · derivative.exercise_date: 50% of this option vests on the date of grant and the remaining 50% vests in substantially equal monthly installments on the 30th day of each month until September 30, 2025, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-018696 · form4.xml · derivative · entry 1

NEUGEBOREN EDWARD · CIK 0001320873 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2035-05-09

F1 · derivative.exercise_date: 50% of this option vests on the date of grant and the remaining 50% vests in substantially equal monthly installments on the 30th day of each month until September 30, 2025, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-018695 · form4.xml · derivative · entry 1

DAVIS A BRIAN · CIK 0001184432 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2035-05-09

F1 · derivative.exercise_date: 50% of this option vests on the date of grant and the remaining 50% vests in substantially equal monthly installments on the 30th day of each month until September 30, 2025, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-018694 · form4.xml · derivative · entry 1

Kavuru Vimal · CIK 0001697184 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2035-05-09

F1 · derivative.exercise_date: 50% of this option vests on the date of grant and the remaining 50% vests in substantially equal monthly installments on the 30th day of each month until September 30, 2025, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-014263 · form4.xml · derivative · entry 1

Kohli Prashant · CIK 0001946739 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 225,400

Underlying: Common Stock · 225,400 shares

Expires 2035-04-14

F1 · derivative.exercise_date: This option vests quarterly in substantially equal installments over a 3-year period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-014265 · form4.xml · derivative · entry 1

Macdonald R. Loch · CIK 0001653008 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2035-04-14

F1 · derivative.exercise_date: This option vests quarterly in substantially equal installments over a 3-year period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-014266 · form4.xml · derivative · entry 1

Kumar Amresh · CIK 0001978220 · VP Program Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2035-04-14

F1 · derivative.exercise_date: This option vests quarterly in substantially equal installments over a 3-year period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-014262 · form4.xml · derivative · entry 1

D'Andrea Carrie · CIK 0001977969 · VP Clinical Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2035-04-14

F1 · derivative.exercise_date: This option vests quarterly in substantially equal installments over a 3-year period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0001140361-25-014264 · form4.xml · derivative · entry 1

DelAversano Robert J · CIK 0001728262 · Principal Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,130

Underlying: Common Stock · 20,130 shares

Expires 2035-04-14

F1 · derivative.exercise_date: This option vests quarterly in substantially equal installments over a 3-year period, subject to the Reporting Person's continuous service as of each vesting date.

SEC source: 0000950170-24-056081 · ownership.xml · derivative · entry 1

Kohli Prashant · CIK 0001946739 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,770

Underlying: Class A Common Shares · 128,770 shares

Expires 2034-05-06

F1 · derivative.exercise_date: Stock options granted on 05/06/2024 under the Acasti Pharma Stock Option Plan, which vest quarterly in equal installments over a 36-month period.

SEC source: 0000950170-24-056083 · ownership.xml · derivative · entry 1

Macdonald R. Loch · CIK 0001653008 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,380

Underlying: Class A Common Shares · 25,380 shares

Expires 2034-05-06

F1 · derivative.exercise_date: Stock options granted on 05/06/2024 under the Acasti Pharma Stock Option Plan, which vest quarterly in equal installments over a 36-month period.

SEC source: 0000950170-24-056086 · ownership.xml · derivative · entry 1

D'Andrea Carrie · CIK 0001977969 · VP Program Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,740

Underlying: Class A Common Shares · 19,740 shares

Expires 2034-05-06

F1 · derivative.exercise_date: Stock options granted on 05/06/2024 under the Acasti Pharma Stock Option Plan, which vest quarterly in equal installments over a 36-month period.

SEC source: 0000950170-24-056084 · ownership.xml · derivative · entry 1

Kumar Amresh · CIK 0001978220 · VP Clinical Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,740

Underlying: Class A Common Shares · 19,740 shares

Expires 2034-05-06

F1 · derivative.exercise_date: Stock options granted on 05/06/2024 under the Acasti Pharma Stock Option Plan, which vest quarterly in equal installments over a 36-month period.

SEC source: 0000950170-24-056082 · ownership.xml · derivative · entry 1

DelAversano Robert J · CIK 0001728262 · Principal Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Class A Common Shares · 4,500 shares

Expires 2034-05-06

F1 · derivative.exercise_date: Stock options granted on 05/06/2024 under the Acasti Pharma Stock Option Plan, which vest quarterly in equal installments over a 36-month period.

SEC source: 0000950170-24-057822 · ownership.xml · derivative · entry 1

D'Andrea Carrie · CIK 0001977969 · VP Clinical Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,740

Underlying: Class A Common Shares · 19,740 shares

Expires 2034-05-06

F1 · date: This amendment to Form 4 is being filed to amend the signature block in the original Form 4, filed on May 8, 2024, to reflect the correct signatory.

F2 · derivative.exercise_date: Stock options granted on 05/06/2024 under the Acasti Pharma Stock Option Plan, which vest quarterly in equal installments over a 36-month period.

SEC source: 0000950170-24-057811 · ownership.xml · derivative · entry 1

Kumar Amresh · CIK 0001978220 · VP Program Management

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,740

Underlying: Class A Common Shares · 19,740 shares

Expires 2034-05-06

F1 · date: This amendment to Form 4 is being filed to amend the signature block in the original Form 4, filed on May 8, 2024, to reflect the correct signatory.

F2 · derivative.exercise_date: Stock options granted on 05/06/2024 under the Acasti Pharma Stock Option Plan, which vest quarterly in equal installments over a 36-month period.

SEC source: 0000950170-23-071875 · ownership.xml · derivative · entry 1

Kohli Prashant · CIK 0001946739 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,668

Underlying: Class A Common Shares · 41,668 shares

Expires 2033-12-19

F1 · derivative.exercise_date: Stock options granted on 12/19/2023 under the Acasti Pharma Stock Option Plan, which fully vested upon grant.

SEC source: 0000950170-23-071883 · ownership.xml · derivative · entry 1

Kottayil George · CIK 0001895357 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Class A Common Shares · 22,500 shares

Expires 2033-12-19

F1 · derivative.exercise_date: Stock options granted on 12/19/2023 under the Acasti Pharma Stock Option Plan, which 10,000 shares vest in equal monthly installments over a period of 12 months (provided that 3/12 of the options shall be deemed to have vested upon the date of grant), and 12,500 shares vest in equal quarterly installments over a period of 18 months (Provided that 1/6 of the options shall be deemed to have vested upon the date of grant).

SEC source: 0000950170-23-071885 · ownership.xml · derivative · entry 1

Kavuru Vimal · CIK 0001697184 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Class A Common Shares · 10,000 shares

Expires 2033-12-19

F1 · derivative.exercise_date: Stock options granted on 12/19/2023 under the Acasti Pharma Stock Option Plan, which vest in equal monthly installments over a period of 12 months, provided that 3/12 of the options shall be deemed to have vested upon the date of grant.

SEC source: 0000950170-23-071879 · ownership.xml · derivative · entry 1

NEUGEBOREN EDWARD · CIK 0001320873 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Class A Common Shares · 22,500 shares

Expires 2033-12-19

F1 · derivative.exercise_date: Stock options granted on 12/19/2023 under the Acasti Pharma Stock Option Plan, which 10,000 shares vest in equal monthly installments over a period of 12 months (provided that 3/12 of the options shall be deemed to have vested upon the date of grant), and 12,500 shares vest in equal quarterly installments over a period of 18 months (Provided that 1/6 of the options shall be deemed to have vested upon the date of grant).

SEC source: 0000950170-23-071877 · ownership.xml · derivative · entry 1

DAVIS A BRIAN · CIK 0001184432 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Class A Common Shares · 22,500 shares

Expires 2033-12-19

F1 · derivative.exercise_date: Stock options granted on 12/19/2023 under the Acasti Pharma Stock Option Plan, which 10,000 shares vest in equal monthly installments over a period of 12 months (provided that 3/12 of the options shall be deemed to have vested upon the date of grant), and 12,500 shares vest in equal quarterly installments over a period of 18 months (Provided that 1/6 of the options shall be deemed to have vested upon the date of grant).

SEC source: 0001062993-23-018542 · form4.xml · derivative · entry 3

Kavuru Vimal · CIK 0001697184 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 422,732

Underlying: Common Shares · 422,732 shares

Expires not disclosed

F4 · derivative.exercise_date: The Common Warrants reported herein contain an exercise limitation prohibiting the holder from exercising the Common Warrants until such time as the holder and certain other related parties, would not beneficially own after any such exercise more than 19.99% of the then issued and outstanding common shares of the Company (the "Blocker"). Due to the Blocker, the Common Warrants beneficially owned indirectly by the holder are only currently partially exercisable.

F5 · derivative.expiration_date: The Common Warrants will expire on the earlier of (i) the 60th day after the date of the acceptance by the U.S. Food and Drug Administration of a New Drug Application for the Company's product candidate GTX-104 or (ii) September 25, 2028.

F2 · ownership.nature: These securities are held directly by Shore Pharma LLC, of which Vimal Kavuru is the sole member.

SEC source: 0001062993-23-018542 · form4.xml · nonDerivative · entry 1

Kavuru Vimal · CIK 0001697184 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,188,076

F1 · balance_after: These indirect holdings have been adjusted to give effect to the Company's 1-for-6 reverse stock split, effective July 10, 2023.

F2 · ownership.nature: These securities are held directly by Shore Pharma LLC, of which Vimal Kavuru is the sole member.