GRDX

SEC source: 0001140361-22-000299 · form4.xml · derivative · entry 1

Oakes Gregory · CIK 0001809796 · 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.

SEC source: 0001140361-22-000300 · form4.xml · derivative · entry 1

Pennington James · CIK 0001668704 · CHIEF MEDICAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common stock, par value $0.0001 per share · 7,500 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on the date of grant, conditioned on Mr. Pennington's continued employment by First Wave BioPharma, Inc. on the applicable vesting date.

SEC source: 0001140361-22-000304 · form4.xml · derivative · entry 1

Riddell Alastair · CIK 0001681349 · 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.

SEC source: 0001140361-22-000303 · form4.xml · derivative · entry 1

Coelho Mary Theresa · CIK 0001720772 · 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.

SEC source: 0001140361-22-000301 · form4.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · 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.

SEC source: 0001140361-22-000298 · form4.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common stock, par value $0.0001 per share · 10,000 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on the date of grant, conditioned on Mr. Schneiderman's continued employment by First Wave BioPharma, Inc. on the applicable vesting date.

SEC source: 0001140361-22-000302 · form4.xml · derivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRES, CEO & CHAIRMAN OF BOARD

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 2032-01-03

F1 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on the date of grant, conditioned on Mr. Sapirstein's continued employment by First Wave BioPharma, Inc. on the applicable vesting date.

SEC source: 0001140361-22-000297 · form4.xml · derivative · entry 1

Schramm Vern Lee · CIK 0001719553 · 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.

SEC source: 0001415889-21-004371 · form4-09132021_050904.xml · derivative · entry 1

Coelho Mary Theresa · CIK 0001720772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,310

Underlying: Common stock, par value $0.0001 per share · 10,310 shares

Expires 2031-09-09

F1 · shares: The number of derivative securities reported has not been adjusted to reflect the 10-for-1 reverse stock split of AzurRx BioPharma, Inc. common stock that occurred on September 13, 2021.

F2 · derivative.exercise_date: The stock option vests on December 31, 2021.

F1 · derivative.underlying_shares: The number of derivative securities reported has not been adjusted to reflect the 10-for-1 reverse stock split of AzurRx BioPharma, Inc. common stock that occurred on September 13, 2021.

F1 · balance_after: The number of derivative securities reported has not been adjusted to reflect the 10-for-1 reverse stock split of AzurRx BioPharma, Inc. common stock that occurred on September 13, 2021.

SEC source: 0001415889-21-003573 · form4-07092021_020744.xml · derivative · entry 1

Pennington James · CIK 0001668704 · CHIEF MEDICAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock, par value $0.0001 per share · 100,000 shares

Expires 2031-07-09

F1 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on the date of grant, conditioned on Mr. Pennington's continued employment by AzurRx BioPharma, Inc. on the applicable vesting date.

SEC source: 0001415889-21-003429 · form4-07022021_020752.xml · derivative · entry 4

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock, par value $0.0001 per share · 250,000 shares

Expires 2031-06-30

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Schneiderman on July 16, 2020 covering an aggregate of 285,006 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F5 · derivative.exercise_date: The stock option vests (i) with respect to 79,860 shares immediately and (ii) with respect to 170,140 shares over a term of 2 years and 1 month in 25 equal monthly installments, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-21-003429 · form4-07022021_020752.xml · derivative · entry 3

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 per share · 250,000 shares

Expires 2030-07-15

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Schneiderman on July 16, 2020 covering an aggregate of 285,006 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F4 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

F4 · balance_after: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-21-003429 · form4-07022021_020752.xml · derivative · entry 2

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,006

Underlying: Common Stock, par value $0.0001 per share · 35,006 shares

Expires 2031-06-30

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Schneiderman on July 16, 2020 covering an aggregate of 285,006 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F3 · derivative.exercise_date: The stock option vests (i) with respect to 17,502 shares immediately and (ii) with respect to 17,504 shares over a term of 19 months in 19 equal monthly installments, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-21-003429 · form4-07022021_020752.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 per share · 35,006 shares

Expires 2030-07-15

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Schneiderman on July 16, 2020 covering an aggregate of 285,006 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F2 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

F2 · balance_after: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-21-003426 · form4-07022021_020749.xml · derivative · entry 2

SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRES, CEO & CHAIRMAN OF BOARD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock, par value $0.0001 per share · 900,000 shares

Expires 2031-06-30

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Sapirstein on July 16, 2020 covering 900,000 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F3 · derivative.exercise_date: The stock option vests (i) with respect to 300,000 shares over a term of 18 months in 18 equal monthly installments starting with the first monthly installment on February 16, 2022, (ii) with respect to 200,000 shares immediately, and (iii) with respect to 400,000 shares, if at all, upon the achievement of certain performance targets. Vesting is conditioned on Mr. Sapirstein's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-21-003426 · form4-07022021_020749.xml · derivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRES, CEO & CHAIRMAN OF BOARD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock, par value $0.0001 per share · 900,000 shares

Expires 2030-07-15

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Sapirstein on July 16, 2020 covering 900,000 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F2 · derivative.exercise_date: The stock options vest with respect to 300,000 shares in 18 equal monthly installments over a term of 18 months beginning 19 months after the grant of such options on July 16, 2020, and with respect to the remaining shares, if at all, upon the achievement of certain performance targets. Vesting is conditioned on Mr. Sapirstein's continued employment by the Company on the applicable vesting date.

F1 · balance_after: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Sapirstein on July 16, 2020 covering 900,000 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

SEC source: 0001415889-21-000249 · form4-01062021_060119.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,237

Underlying: Common stock, par value $0.0001 per share · 41,237 shares

Expires 2031-01-03

F1 · derivative.exercise_date: The options vest in equal quarterly installments on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021.

SEC source: 0001415889-21-000255 · form4-01062021_060128.xml · derivative · entry 1

Oakes Gregory · CIK 0001809796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,237

Underlying: Common stock, par value $0.0001 per share · 41,237 shares

Expires 2031-01-03

F1 · derivative.exercise_date: The options vest in equal quarterly installments on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021.

SEC source: 0001415889-21-000251 · form4-01062021_060114.xml · derivative · entry 1

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,237

Underlying: Common stock, par value $0.0001 per share · 41,237 shares

Expires 2031-01-03

F1 · derivative.exercise_date: The options vest in equal quarterly installments on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021.

SEC source: 0001415889-21-000253 · form4-01062021_060102.xml · derivative · entry 1

Schramm Vern Lee · CIK 0001719553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,237

Underlying: Common stock, par value $0.0001 per share · 41,237 shares

Expires 2031-01-03

F1 · derivative.exercise_date: The options vest in equal quarterly installments on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021.

SEC source: 0001415889-21-000247 · form4-01062021_060108.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,237

Underlying: Common stock, par value $0.0001 per share · 41,237 shares

Expires 2031-01-03

F1 · derivative.exercise_date: The options vest in equal quarterly installments on each of March 31, 2021, June 30, 2021, September 30, 2021, and December 31, 2021.

SEC source: 0001415889-20-001939 · form4-07202020_060736.xml · derivative · entry 1

Pennington James · CIK 0001668704 · CHIEF MEDICAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common stock, par value $0.0001 per share · 300,000 shares

Expires 2030-07-15

F1 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, conditioned on Mr. Pennington's continued employment by AzurRx BioPharma, Inc. on the applicable vesting date.

SEC source: 0001415889-20-001937 · form4-07202020_060706.xml · derivative · entry 4

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock, par value $0.0001 per share · 93,458 shares

Expires 2020-09-20

F5 · price: Mr. Borkowski surrendered to the Company $100,000 in outstanding principle amount of a 9.0% Senior Convertible Promissory Note (the "Promissory Note"), together with $5,128.77 in accrued and unpaid interest thereon, in exchange for 13.653087 shares of Series B Stock, Series B Warrants for 68,265 shares of Common Stock and Exchange Warrants to purchase 25,774 shares of Common Stock.

SEC source: 0001415889-20-001937 · form4-07202020_060706.xml · derivative · entry 3

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,774

Underlying: Common stock, par value $0.0001 per share · 25,774 shares

Expires 2025-07-16

F5 · price: Mr. Borkowski surrendered to the Company $100,000 in outstanding principle amount of a 9.0% Senior Convertible Promissory Note (the "Promissory Note"), together with $5,128.77 in accrued and unpaid interest thereon, in exchange for 13.653087 shares of Series B Stock, Series B Warrants for 68,265 shares of Common Stock and Exchange Warrants to purchase 25,774 shares of Common Stock.

F8 · price: The amount of the Exchange Warrants is equal to 25% of the shares of Common Stock into which such Promissory Note was originally convertible upon the initial issuance thereof.

F2 · derivative.exercise_date: Mr. Borkowski cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants" or the "Exchange Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval").

F6 · derivative.expiration_date: In the event that the Company has not obtained the Stockholder Approval on or prior to the Approval Deadline, Mr. Borkowski shall surrender the Series B Warrants and the Exchange Warrants to the Company for cancellation in connection with the Company's repurchase of the Series B Stock described above.

SEC source: 0001415889-20-001937 · form4-07202020_060706.xml · derivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,602

Underlying: Common stock, par value $0.0001 per share · 230,602 shares

Expires 2025-07-15

F4 · price: Mr. Borkowski purchased 32.467532 shares of Series B Stock, together with Series B Warrants to purchase 162,338 shares of Common Stock, for cash consideration of $7,700.00 per share of Series B Stock.

F5 · price: Mr. Borkowski surrendered to the Company $100,000 in outstanding principle amount of a 9.0% Senior Convertible Promissory Note (the "Promissory Note"), together with $5,128.77 in accrued and unpaid interest thereon, in exchange for 13.653087 shares of Series B Stock, Series B Warrants for 68,265 shares of Common Stock and Exchange Warrants to purchase 25,774 shares of Common Stock.

F7 · price: The amount of the Series B Warrants is equal to 50% of the shares of Common Stock into which the Series B Stock is initially convertible.

F2 · derivative.exercise_date: Mr. Borkowski cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants" or the "Exchange Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval").

F6 · derivative.expiration_date: In the event that the Company has not obtained the Stockholder Approval on or prior to the Approval Deadline, Mr. Borkowski shall surrender the Series B Warrants and the Exchange Warrants to the Company for cancellation in connection with the Company's repurchase of the Series B Stock described above.

SEC source: 0001415889-20-001937 · form4-07202020_060706.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46.1206

Underlying: Common stock, par value $0.0001 per share · 461,205 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Preferred Stock, par value $0.0001 per share (the "Series B Stock"), is convertible, at Mr. Borkowski's option, into common stock, par value $0.0001 per share (the "Common Stock") of AzurRx BioPharma, Inc. (the "Company") at a conversion rate equal to the quotient of (x) its stated value, which is initially $7,700 per share, divided by (y) the conversion price, which is initially of $0.77 per share of Common Stock, subject in each case to specified adjustments for stock splits, cash or stock dividends, reorganizations, reclassifications other similar events as set forth in the Certificate of Designations of the Series B Stock (the "Certificate of Designations"). Each share of Series B Stock also carries a cumulative dividend, accruing daily at a rate of 9.0% per year, payable each June 30 and December 30 arrears, in cash or shares of Series B Stock at the sole option of the Company, as specified in the Certificate of Designations.

F4 · price: Mr. Borkowski purchased 32.467532 shares of Series B Stock, together with Series B Warrants to purchase 162,338 shares of Common Stock, for cash consideration of $7,700.00 per share of Series B Stock.

F5 · price: Mr. Borkowski surrendered to the Company $100,000 in outstanding principle amount of a 9.0% Senior Convertible Promissory Note (the "Promissory Note"), together with $5,128.77 in accrued and unpaid interest thereon, in exchange for 13.653087 shares of Series B Stock, Series B Warrants for 68,265 shares of Common Stock and Exchange Warrants to purchase 25,774 shares of Common Stock.

F2 · derivative.exercise_date: Mr. Borkowski cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants" or the "Exchange Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval").

F3 · derivative.expiration_date: The Series B Stock has no expiration date. However, if the Company has not obtained the Stockholder Approval on or prior to the 90th day following the issuance date of the Series B Stock (the "Approval Deadline"), the Company is required to repurchase the Series B Stock from Mr. Borkowski at a price equal to 150% of its stated value, as adjusted pursuant to the Certificate of Designations, plus accrued and unpaid dividends thereon to the repurchase date.

SEC source: 0001415889-20-001936 · form4-07202020_060720.xml · derivative · entry 3

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock, par value $0.0001 per share · 250,000 shares

Expires 2030-07-15

F4 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-20-001936 · form4-07202020_060720.xml · derivative · entry 2

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,006

Underlying: Common Stock, par value $0.0001 per share · 35,006 shares

Expires 2030-07-15

F1 · kind: On July 16, 2016, the board of directors of AzurRx BioPharma, Inc. (the "Company") determined to amend and restate a stock option award previously made to Mr. Schneiderman on January 2, 2020, to reduce the amount of shares of the Company's common stock, par value $0.0001 per share (the "Common Stock"), issuable upon exercise of such option to be the maximum number of shares Mr. Schneiderman was eligible to receive under the Company's 2014 Omnibus Equity Incentive Plan (the "Plan") on the original grant date (or 300,000 shares), due to certain limitations relating to Section 162(m) of the Internal Revenue Code that have since been eliminated from the Plan. Mr. Schneiderman was simultaneously awarded a replacement stock option covering the balance of shares intended to be issued at that time (or 35,006 shares).

F3 · derivative.exercise_date: The stock option was accelerated to vest in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-20-001936 · form4-07202020_060720.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock, par value $0.0001 per share · 35,006 shares

Expires 2030-01-02

F1 · kind: On July 16, 2016, the board of directors of AzurRx BioPharma, Inc. (the "Company") determined to amend and restate a stock option award previously made to Mr. Schneiderman on January 2, 2020, to reduce the amount of shares of the Company's common stock, par value $0.0001 per share (the "Common Stock"), issuable upon exercise of such option to be the maximum number of shares Mr. Schneiderman was eligible to receive under the Company's 2014 Omnibus Equity Incentive Plan (the "Plan") on the original grant date (or 300,000 shares), due to certain limitations relating to Section 162(m) of the Internal Revenue Code that have since been eliminated from the Plan. Mr. Schneiderman was simultaneously awarded a replacement stock option covering the balance of shares intended to be issued at that time (or 35,006 shares).

F2 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

F2 · balance_after: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-20-001935 · form4-07202020_060729.xml · derivative · entry 3

SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,935

Underlying: Common stock, par value $0.0001 per share · 64,935 shares

Expires 2025-07-16

F5 · price: Mr. Sapirstein purchased 12.987012 shares of Series B Stock, together with Series B Warrants to purchase 64,935 shares of Common Stock, for cash consideration of $7,700.00 per share of Series B Stock. The amount of the Series B Warrants is equal to 50% of the shares of Common Stock into which the Series B Stock is initially convertible.

F3 · derivative.exercise_date: Mr. Sapirstein cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval").

F6 · derivative.expiration_date: In the event that the Company has not obtained the Stockholder Approval on or prior to the Approval Deadline, Mr. Sapirstein shall surrender the Series B Warrants to the Company for cancellation in connection with the Company's repurchase of the Series B Stock described above.

SEC source: 0001415889-20-001935 · form4-07202020_060729.xml · derivative · entry 2

SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12.987

Underlying: Common stock, par value $0.0001 per share · 129,870 shares

Expires not disclosed

F2 · derivative.exercise_price: Each share of the Company's Series B Preferred Stock, par value $0.0001 per share (the "Series B Stock"), is convertible, at Mr. Sapirstein's option, into Common Stock at a conversion rate equal to the quotient of (x) its stated value, which is initially $7,700 per share, divided by (y) the conversion price, which is initially of $0.77 per share of Common Stock, subject in each case to specified adjustments for stock splits, cash or stock dividends, reorganizations, reclassifications other similar events as set forth in the Certificate of Designations for the Series B Stock (the "Certificate of Designations"). Each share of Series B Stock also carries a cumulative dividend, accruing daily at a rate of 9.0% per year, payable each June 30 and December 30 arrears, in cash or shares of Series B Stock at the sole option of the Company, as specified in the Certificate of Designations.

F5 · price: Mr. Sapirstein purchased 12.987012 shares of Series B Stock, together with Series B Warrants to purchase 64,935 shares of Common Stock, for cash consideration of $7,700.00 per share of Series B Stock. The amount of the Series B Warrants is equal to 50% of the shares of Common Stock into which the Series B Stock is initially convertible.

F3 · derivative.exercise_date: Mr. Sapirstein cannot convert the Series B Stock or exercise the warrants (the "Series B Warrants") until the Company obtains stockholder approval pursuant to Nasdaq Listing Rule 5635(c) and 5635(d) (the "Stockholder Approval").

F4 · derivative.expiration_date: The Series B Stock has no expiration date. However, if the Company has not obtained the Stockholder Approval on or prior to the 90th day following the issuance date of the Series B Stock (the "Approval Deadline"), the Company is required to repurchase the Series B Stock from Mr. Sapirstein at a price equal to 150% of its stated value, as adjusted pursuant to the Certificate of Designations, plus accrued and unpaid dividends thereon to the repurchase date.

SEC source: 0001415889-20-001935 · form4-07202020_060729.xml · derivative · entry 1

SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,200,000

Underlying: Common stock, par value $0.0001 per share · 1,200,000 shares

Expires 2030-07-15

F1 · derivative.exercise_date: On July 16, 2020, the board of directors of AzurRx BioPharma, Inc. (the "Company") awarded Mr. Sapirstein stock options to purchase 1,200,000 shares of the Company's common stock, par value $0.0001 per share (the "Common Stock"), pursuant to the Company's 2014 Omnibus Equity Incentive Plan. The stock options vest with respect to 600,000 shares in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, and with respect to the remaining shares, if at all, upon the achievement of certain performance targets. Vesting is conditioned on Mr. Sapirstein's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-20-001398 · form4-06012020_020653.xml · derivative · entry 2

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 93,458 shares

Expires 2020-09-20

F1 · security: On June 1, 2020, AzurRx Biopharma, Inc. (the "Company") and Edward Borkowski amended the Senior Convertible Promissory Note (the "Note") previously issued on December 20, 2019 to increase the conversion price from $0.97 per share to $1.07 per share.

F3 · derivative.underlying_shares: Represents the number of shares of Common Stock issuable upon conversion of the principal amount of the Note at the amended conversion price of $1.07 per share.

SEC source: 0001415889-20-001398 · form4-06012020_020653.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,093 shares

Expires 2020-09-20

F1 · security: On June 1, 2020, AzurRx Biopharma, Inc. (the "Company") and Edward Borkowski amended the Senior Convertible Promissory Note (the "Note") previously issued on December 20, 2019 to increase the conversion price from $0.97 per share to $1.07 per share.

F2 · derivative.underlying_shares: Represents the number of shares of the Company's common stock, par value $0.001 per share ("Common Stock") issuable upon conversion of the principal amount of the Note at the original conversion price of $0.97 per share.

SEC source: 0001415889-20-001020 · form4-04162020_060431.xml · derivative · entry 1

Oakes Gregory · CIK 0001809796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-04-13

F1 · price: Options granted in connection with the Reporting Person's appointment as a director to serve on the Board of the Issuer for the remainder of the fiscal year ending December 31, 2020 pursuant to the Issuer's 2014 Omnibus Equity Incentive Plan. The options vest in three equal installments on each of June 30, 2020, September 30, 2020, and December 31, 2020, in accordance with the Issuer's Director Compensation Plan ("Plan"). The Plan provides for the grant to each independent director of options to purchase 80,000 shares of common stock for service on the Board during the fiscal year ending December 31, 2020, which vest ratably each quarter during the fiscal year. The exercise price was determined based on the higher of the last price paid for shares of the Issuer's common stock or the fair market value of Issuer's common stock on the date of grant.

F1 · derivative.exercise_date: Options granted in connection with the Reporting Person's appointment as a director to serve on the Board of the Issuer for the remainder of the fiscal year ending December 31, 2020 pursuant to the Issuer's 2014 Omnibus Equity Incentive Plan. The options vest in three equal installments on each of June 30, 2020, September 30, 2020, and December 31, 2020, in accordance with the Issuer's Director Compensation Plan ("Plan"). The Plan provides for the grant to each independent director of options to purchase 80,000 shares of common stock for service on the Board during the fiscal year ending December 31, 2020, which vest ratably each quarter during the fiscal year. The exercise price was determined based on the higher of the last price paid for shares of the Issuer's common stock or the fair market value of Issuer's common stock on the date of grant.

SEC source: 0001415889-20-000967 · form4-04072020_040421.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-04-06

F2 · price: Options issued in connection with the Reporting Person's service on the Issuer's Board of Directors.

F1 · derivative.exercise_date: 25% of the options vest immediately, with the remainder vesting in equal installments on each of June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001415889-20-000966 · form4-04072020_040455.xml · derivative · entry 1

Schramm Vern Lee · CIK 0001719553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-04-06

F2 · price: Options issued in connection with the Reporting Person's service on the Issuer's Board of Directors.

F1 · derivative.exercise_date: 25% of the options vest immediately, with the remainder vesting in equal installments on each of June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001415889-20-000965 · form4-04072020_040449.xml · derivative · entry 1

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-04-06

F2 · price: Options issued in connection with the Reporting Person's service on the Issuer's Board of Directors.

F1 · derivative.exercise_date: 25% of the options vest immediately, with the remainder vesting in equal installments on each of June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001415889-20-000964 · form4-04072020_040436.xml · derivative · entry 1

Spoor Johan M. · CIK 0001535289 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-04-06

F2 · price: Options issued in connection with the Reporting Person's service on the Issuer's Board of Directors.

F1 · derivative.exercise_date: 25% of the options vest immediately, with the remainder vesting in equal installments on each of June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001415889-20-000963 · form4-04072020_040422.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-04-06

F2 · price: Options issued in connection with the Reporting Person's service on the Issuer's Board of Directors.

F1 · derivative.exercise_date: 25% of the options vest immediately, with the remainder vesting in equal installments on each of June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001415889-20-000846 · form4-03232020_050303.xml · nonDerivative · entry 2

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · La Jolla Lenox Trust

Disclosed balance after: 116,998

F1 · shares: On March 11, 2020, the Reporting Person transferred 9,000 shares of the Issuer's common stock to a family trust of which the Trustee is someone other than the Reporting Person. The Reporting Person and members of his immediate family are the sole beneficiaries of the trust.

SEC source: 0001415889-20-000846 · form4-03232020_050303.xml · nonDerivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,998

F1 · shares: On March 11, 2020, the Reporting Person transferred 9,000 shares of the Issuer's common stock to a family trust of which the Trustee is someone other than the Reporting Person. The Reporting Person and members of his immediate family are the sole beneficiaries of the trust.

SEC source: 0001415889-20-000739 · form4-03132020_040311.xml · nonDerivative · entry 2

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,998

F3 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019.

F4 · price: Based on the stock price at December 31, 2019 at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000739 · form4-03132020_040311.xml · nonDerivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,584

F1 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019.

F2 · price: Based on the stock price at September 30, 2019, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000740 · form4-03132020_040315.xml · nonDerivative · entry 6

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,049

F11 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019.

F12 · price: Based on the stock price at December 31, 2019 at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000740 · form4-03132020_040315.xml · nonDerivative · entry 5

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,635

F9 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019.

F10 · price: Based on the stock price at September 30, 2019, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000740 · form4-03132020_040315.xml · nonDerivative · entry 4

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,296

F7 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2017.

F8 · price: Based on the stock price at December 31, 2017, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000740 · form4-03132020_040315.xml · nonDerivative · entry 3

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,541

F5 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors during 2016.

F6 · price: Based on the stock price on April 21, 2017, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000740 · form4-03132020_040315.xml · nonDerivative · entry 2

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,034

F3 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2016.

F4 · price: Based on the stock price at December 31, 2016 at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.

SEC source: 0001415889-20-000740 · form4-03132020_040315.xml · nonDerivative · entry 1

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,770

F1 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2016.

F2 · price: Based on the stock price at September 30, 2016, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors.