GRDX

SEC source: 0001104659-26-115126 · tm2627364-1_4seq1.xml · nonDerivative · entry 1

Sawyer Jason David · CIK 0002076325 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 790,000

F1 · shares: On December 19, 2025, the Reporting Person was granted 1,000,000 restricted stock units. 250,000 restricted stock units vested on September 30, 2026.

SEC source: 0001104659-26-079995 · tm2619603-1_4seq1.xml · nonDerivative · entry 2

Sawyer Jason David · CIK 0002076325 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 540,000

F1 · shares: On December 19, 2025, the Reporting Person was granted 1,000,000 restricted stock units. 250,000 restricted stock units vested on March 31, 2026 and an additional 250,000 restricted stock units vested on June 30, 2026 in each case, based on satisfaction of performance objectives.

SEC source: 0001104659-26-079995 · tm2619603-1_4seq1.xml · nonDerivative · entry 1

Sawyer Jason David · CIK 0002076325 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 290,000

F1 · shares: On December 19, 2025, the Reporting Person was granted 1,000,000 restricted stock units. 250,000 restricted stock units vested on March 31, 2026 and an additional 250,000 restricted stock units vested on June 30, 2026 in each case, based on satisfaction of performance objectives.

SEC source: 0001104659-26-000682 · tm261873-2_4seq1.xml · nonDerivative · entry 1

Pursglove Geordan Garrett · CIK 0002073519 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: On January 1, 2026, the Reporting Person was granted 40,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vested immediately upon issuance on January 1, 2026.

SEC source: 0001104659-26-000741 · tm261873-1_4seq1.xml · nonDerivative · entry 1

Uppal Manpreet · CIK 0002056422 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: On January 1, 2026, the Reporting Person was granted 40,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vested immediately upon issuance on January 1, 2026.

SEC source: 0001104659-26-002202 · tm261873-4_4seq1.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,248

F1 · shares: On January 1, 2026, the Reporting Person was granted 40,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vested immediately upon issuance on January 1, 2026.

SEC source: 0001104659-26-070252 · tm261873-3_4seq1.xml · nonDerivative · entry 1

Syage Jack · CIK 0002014106 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: On January 1, 2026, the Reporting Person was granted 40,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vested immediately upon issuance on January 1, 2026.

SEC source: 0001104659-25-124937 · tm2534437-3_4seq1.xml · nonDerivative · entry 1

Sawyer Jason David · CIK 0002076325 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: On December 22, 2025, the Reporting Person was granted 40,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vested immediately upon issuance on December 22, 2025.

SEC source: 0001104659-25-124929 · tm2534437-2_4seq1.xml · nonDerivative · entry 1

Skowron Anna · CIK 0002066250 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,000

F1 · shares: On December 22, 2025, the Reporting Person was granted 65,000 restricted stock units, to be settled in shares of common stock, par value $0.0001. The restricted stock units vested immediately upon issuance on December 22, 2025.

SEC source: 0001104659-25-002042 · tm252282-1_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,287

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-107747 · tm2425931-1_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,014

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-077714 · tm2418821-2_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,490

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $1.05 - $1.16, inclusive. The Reporting Person undertakes to provide Entero Therapeutics, Inc. ("Entero"), any security holder of Entero, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-077713 · tm2418821-1_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,816

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $1.05 - $1.16, inclusive. The Reporting Person undertakes to provide Entero Therapeutics, Inc. ("Entero"), any security holder of Entero, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-070939 · tm2417145-1_4seq1.xml · nonDerivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,889

F1 · shares: On June 11, 2024, the Reporting Person was granted 24,889 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest in three equal increments on July 1, 2024, September 30, 2024, and December 31, 2024.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-043156 · tm2411006-1_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,105

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-043154 · tm2411006-2_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,111

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-036143 · tm249257-2_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,279

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $4.90 - $5.175, inclusive. The Reporting Person undertakes to provide First Wave BioPharma, Inc. ("First Wave"), any security holder of First Wave, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-036138 · tm249257-1_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,186

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $4.90 - $5.175, inclusive. The Reporting Person undertakes to provide First Wave BioPharma, Inc. ("First Wave"), any security holder of First Wave, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001493152-24-010162 · ownership.xml · derivative · entry 3

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,980

Underlying: Common Stock, par value $0.0001 per share · 52,980 shares

Expires 2031-02-01

F6 · price: Pursuant to the terms of the Merger Agreement, the option to acquire 20,000 shares of common stock, par value $0.0001 per share, of ImmunogenX (the "Original Amount") at an exercise price of $2.14 per share (the "Original Exercise Price") that was originally granted on February 1, 2021 under the ImmunogenX 2021 Stock Option Plan was assumed by the Issuer and converted into an option to purchase a number of shares of Common Stock of the Issuer equal to the Original Amount multiplied by 2.649 (the "Exchange Ratio") at an exercise price equal to the Original Exercise Price divided by the Exchange Ratio. The option will continue to be governed by the same terms and conditions as were applicable to such option immediately prior to the Effective Time.

F5 · derivative.exercise_date: The option was fully vested at the effective time of the Merger (the "Effective Time").

SEC source: 0001493152-24-010162 · ownership.xml · derivative · entry 2

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 140.7

Underlying: Common Stock, par value $0.0001 per share · 140,700 shares

Expires not disclosed

F3 · derivative.exercise_price: The shares of Preferred Stock will automatically convert into shares of Common Stock at a ratio of 1-for-1,000 on the third business day after the date that the Issuer's stockholders approve the conversion of the Preferred Stock into shares of Common Stock, subject to certain beneficial ownership limitations. The Preferred Stock contains a conversion limitation prohibiting the Reporting Person from converting the Preferred Stock until such time as the Reporting Person would not beneficially own after such conversion more than 19.9% of the then issued and outstanding Common Stock. The blocker percentage may be decreased to 4.9% or otherwise adjusted by the Reporting Person upon 61 days' notice to the Issuer.

F1 · price: On March 13, 2024, the Issuer acquired ImmunogenX, Inc. ("ImmunogenX") in accordance with the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated March 13, 2024, by and among the Issuer, IMMUNO Merger Sub I, Inc., IMMUNO Merger Sub II, LLC, and ImmunogenX (the "Merger"). The shares of common stock, par value $0.0001 per share (the "Common Stock"), of the Issuer and the shares of Series G Preferred Stock, par value $0.0001 per share (the "Preferred Stock") of the Issuer were received by the Reporting Person in the Merger in exchange for an aggregate of 34,159 shares of preferred stock, par value $0.0001 per share, of ImmunogenX.

F3 · derivative.exercise_date: The shares of Preferred Stock will automatically convert into shares of Common Stock at a ratio of 1-for-1,000 on the third business day after the date that the Issuer's stockholders approve the conversion of the Preferred Stock into shares of Common Stock, subject to certain beneficial ownership limitations. The Preferred Stock contains a conversion limitation prohibiting the Reporting Person from converting the Preferred Stock until such time as the Reporting Person would not beneficially own after such conversion more than 19.9% of the then issued and outstanding Common Stock. The blocker percentage may be decreased to 4.9% or otherwise adjusted by the Reporting Person upon 61 days' notice to the Issuer.

F4 · derivative.expiration_date: The Preferred Stock is perpetual and therefore has no expiration date.

F2 · ownership.nature: Held directly by the Chaitan Khosla Living Trust, in which the Reporting Person serves as the sole Trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-24-010162 · ownership.xml · nonDerivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 440

F1 · price: On March 13, 2024, the Issuer acquired ImmunogenX, Inc. ("ImmunogenX") in accordance with the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated March 13, 2024, by and among the Issuer, IMMUNO Merger Sub I, Inc., IMMUNO Merger Sub II, LLC, and ImmunogenX (the "Merger"). The shares of common stock, par value $0.0001 per share (the "Common Stock"), of the Issuer and the shares of Series G Preferred Stock, par value $0.0001 per share (the "Preferred Stock") of the Issuer were received by the Reporting Person in the Merger in exchange for an aggregate of 34,159 shares of preferred stock, par value $0.0001 per share, of ImmunogenX.

F2 · ownership.nature: Held directly by the Chaitan Khosla Living Trust, in which the Reporting Person serves as the sole Trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-24-010163 · ownership.xml · derivative · entry 2

Syage Jack · CIK 0002014106 · Director · President & COO

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 4,920.037

Underlying: Common Stock, par value $0.0001 per share · 4,920,037 shares

Expires not disclosed

F2 · derivative.exercise_price: Held directly by the Jack A. Syage and Elizabeth T. Syage Revocable Trust Dated November 30, 1999, in which the Reporting Person and his spouse serve as the Trustees. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F1 · price: On March 13, 2024, the Issuer acquired ImmunogenX, Inc. ("ImmunogenX") in accordance with the terms of the Agreement and Plan of Merger, dated March 13, 2024, by and among the Issuer, IMMUNO Merger Sub I, Inc., IMMUNO Merger Sub II, LLC, and ImmunogenX (the "Merger"). The shares of common stock, par value $0.0001 per share (the "Common Stock"), of the Issuer and the shares of Series G Preferred Stock, par value $0.0001 per share (the "Preferred Stock") of the Issuer were received by the Reporting Person in the Merger in exchange for an aggregate of 352,000 shares of common stock, par value $0.0001, of ImmunogenX and 1,375,427 shares of preferred stock, par value $0.0001 per share, of ImmunogenX.

F3 · derivative.exercise_date: The shares of Preferred Stock will automatically convert into shares of Common Stock at a ratio of 1-for-1,000 on the third business day after the date that the Issuer's stockholders approve the conversion of the Preferred Stock into shares of Common Stock, subject to certain beneficial ownership limitations. The Preferred Stock contains a conversion limitation prohibiting the Reporting Person from converting the Preferred Stock until such time as the Reporting Person would not beneficially own after such conversion more than 19.9% of the then issued and outstanding Common Stock. Due to this blocker, the Preferred Stock would not fully convertible at this time upon stockholder approval. The blocker percentage may be decreased to 4.9% or otherwise adjusted by the Reporting Person upon 61 days' notice to the Issuer.

F4 · derivative.expiration_date: The Preferred Stock is perpetual and therefore has no expiration date.

F2 · ownership.nature: Held directly by the Jack A. Syage and Elizabeth T. Syage Revocable Trust Dated November 30, 1999, in which the Reporting Person and his spouse serve as the Trustees. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-24-010163 · ownership.xml · nonDerivative · entry 1

Syage Jack · CIK 0002014106 · Director · President & COO

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 15,400

F1 · price: On March 13, 2024, the Issuer acquired ImmunogenX, Inc. ("ImmunogenX") in accordance with the terms of the Agreement and Plan of Merger, dated March 13, 2024, by and among the Issuer, IMMUNO Merger Sub I, Inc., IMMUNO Merger Sub II, LLC, and ImmunogenX (the "Merger"). The shares of common stock, par value $0.0001 per share (the "Common Stock"), of the Issuer and the shares of Series G Preferred Stock, par value $0.0001 per share (the "Preferred Stock") of the Issuer were received by the Reporting Person in the Merger in exchange for an aggregate of 352,000 shares of common stock, par value $0.0001, of ImmunogenX and 1,375,427 shares of preferred stock, par value $0.0001 per share, of ImmunogenX.

F2 · ownership.nature: Held directly by the Jack A. Syage and Elizabeth T. Syage Revocable Trust Dated November 30, 1999, in which the Reporting Person and his spouse serve as the Trustees. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001104659-24-004460 · tm243514-2_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,306

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-004458 · tm243514-1_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman, President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,166

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-001025 · tm241923-2_4seq1.xml · nonDerivative · entry 2

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,404

F2 · shares: On January 2, 2024, the Reporting Person was granted 7,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-001026 · tm241923-1_4seq1.xml · nonDerivative · entry 2

SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman, President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,332

F2 · shares: On January 2, 2024, the Reporting Person was granted 20,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-001440 · tm242126-2_4seq1.xml · nonDerivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,937

F1 · shares: On January 2, 2024, the Reporting Person was granted 19,633 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-001439 · tm242126-4_4seq1.xml · nonDerivative · entry 1

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,240

F1 · shares: On January 2, 2024, the Reporting Person was granted 19,633 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-001438 · tm242126-1_4seq1.xml · nonDerivative · entry 1

Coelho Mary Theresa · CIK 0001720772 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,237

F1 · shares: On January 2, 2024, the Reporting Person was granted 19,633 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-001436 · tm242126-3_4seq1.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,248

F1 · shares: On January 2, 2024, the Reporting Person was granted 19,633 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning April 1, 2024.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-001025 · tm241923-2_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,404

F1 · shares: On December 29, 2023, the Reporting Person was granted 12,614 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest upon closing of the Issuer's proposed acquisition of ImmunogenX, Inc.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-24-001026 · tm241923-1_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · Chairman, President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,332

F1 · shares: On December 29, 2023, the Reporting Person was granted 17,660 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest upon closing of the Issuer's proposed acquisition of ImmunogenX, Inc.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-107481 · tm2327991-1_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,397

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.291 to $0.293. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-107483 · tm2327991-2_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,800

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.291 to $0.293. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-101684 · tm2326348-1_4seq1.xml · nonDerivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,098

F1 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-098422 · tm2325486-1_4seq1.xml · nonDerivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,108

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.3001 to $0.3013. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-078145 · tm2320603-2_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,476

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.49 to $1.61. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-078144 · tm2320603-1_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,161

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.49 to $1.61. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-042170 · tm2311820-2_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,453

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.60. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes unvested RSUs.

F4 · balance_after: All amounts reflect the 1:7 reverse stock split effective as of January 18, 2023

SEC source: 0001104659-23-042156 · tm2311820-1_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,510

F1 · kind: The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.41 to $2.60. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Includes unvested RSUs.

F4 · balance_after: All amounts reflect the 1:7 reverse stock split effective as of January 18, 2023.

SEC source: 0001104659-23-001225 · tm231522-2_4seq1.xml · nonDerivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,134

F1 · shares: On January 3, 2023, the Reporting Person was granted 84,745 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-001231 · tm231522-7_4seq1.xml · nonDerivative · entry 1

Coelho Mary Theresa · CIK 0001720772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,745

F1 · shares: On January 3, 2023, the Reporting Person was granted 84,745 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-001230 · tm231522-6_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

F1 · shares: On January 3, 2023, the Reporting Person was granted 150,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-001228 · tm231522-5_4seq1.xml · nonDerivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

F1 · shares: On January 3, 2023, the Reporting Person was granted 300,000 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-001227 · tm231522-4_4seq1.xml · nonDerivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,156

F1 · shares: On January 3, 2023, the Reporting Person was granted 84,745 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-001226 · tm231522-3_4seq1.xml · nonDerivative · entry 1

Hoffman David Andrew · CIK 0001926436 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,778

F1 · shares: On January 3, 2023, the Reporting Person was granted 84,745 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001104659-23-001224 · tm231522-1_4seq1.xml · nonDerivative · entry 1

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,185

F1 · shares: On January 3, 2023, the Reporting Person was granted 84,745 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest quarterly for one year with 25% vesting quarterly beginning March 31, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001140361-22-007549 · form4.xml · derivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common stock, par value $0.0001 per share · 150,000 shares

Expires 2032-03-01

F1 · derivative.exercise_date: The stock option vests in three equal annual installments commencing on March 1, 2023.

SEC source: 0001140361-22-000305 · form4.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,482

Underlying: Common stock, par value $0.0001 per share · 34,482 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The stock option vests in equal quarterly installments on each of March 31, 2022, June 30, 2022, September 30, 2022, and December 31, 2022.