GRDX

SEC source: 0001415889-17-001081 · form4-07032017_010716.xml · nonDerivative · entry 2

Pelican Partners LLC · CIK 0001681335 · 10% owner

BALK MATTHEW · CIK 0001217674 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,727,796

F1 · kind: Securities were sold in private, negotiated transactions. The purchasers agreed to not sell the securities purchased for a period of 120 days, resulting in a lock-up during such period.

SEC source: 0001415889-17-001081 · form4-07032017_010716.xml · nonDerivative · entry 1

Pelican Partners LLC · CIK 0001681335 · 10% owner

BALK MATTHEW · CIK 0001217674 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,787,796

F1 · kind: Securities were sold in private, negotiated transactions. The purchasers agreed to not sell the securities purchased for a period of 120 days, resulting in a lock-up during such period.

SEC source: 0001415889-17-001128 · form4a-07052017_050702.xml · nonDerivative · entry 2

Pelican Partners LLC · CIK 0001681335 · 10% owner

BALK MATTHEW · CIK 0001217674 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,627,796

F1 · kind: Securities were sold in private, negotiated transactions. The purchasers agreed to not sell the securities purchased for a period of 120 days, resulting in a lock-up during such period.

SEC source: 0001415889-17-001128 · form4a-07052017_050702.xml · nonDerivative · entry 1

Pelican Partners LLC · CIK 0001681335 · 10% owner

BALK MATTHEW · CIK 0001217674 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,687,796

F1 · kind: Securities were sold in private, negotiated transactions. The purchasers agreed to not sell the securities purchased for a period of 120 days, resulting in a lock-up during such period.

SEC source: 0001415889-17-000958 · form4-06092017_010601.xml · derivative · entry 3

Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,429

Underlying: Common Stock · 96,429 shares

Expires 2022-06-05

F4 · kind: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · shares: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: Entities associated with Mr. Ross purchased Units for a price of $3.50 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase 1/4 share of common Stock, and one Series A-1 Warrant to purchase 3/4 share of common stock from AzurRx BioPharma, Inc. in a private placement exempt from registration under the Securities Act of 1933, as amended.

F4 · derivative.underlying_shares: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · balance_after: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001415889-17-000958 · form4-06092017_010601.xml · derivative · entry 2

Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,143

Underlying: Common Stock · 32,143 shares

Expires 2017-12-31

F4 · kind: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · shares: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · price: Entities associated with Mr. Ross purchased Units for a price of $3.50 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase 1/4 share of common Stock, and one Series A-1 Warrant to purchase 3/4 share of common stock from AzurRx BioPharma, Inc. in a private placement exempt from registration under the Securities Act of 1933, as amended.

F4 · derivative.underlying_shares: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F4 · balance_after: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001415889-17-000958 · form4-06092017_010601.xml · nonDerivative · entry 1

Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,659,840

F1 · kind: Entities associated with Mr. Ross purchased Units for a price of $3.50 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase 1/4 share of common Stock, and one Series A-1 Warrant to purchase 3/4 share of common stock from AzurRx BioPharma, Inc. in a private placement exempt from registration under the Securities Act of 1933, as amended.

F2 · shares: Of the 128,572 shares of common stock, 100,000 were purchased by EBR Ventures, LLC and 28,572 were purchased by CEDA Investments, LLC.

F1 · price: Entities associated with Mr. Ross purchased Units for a price of $3.50 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase 1/4 share of common Stock, and one Series A-1 Warrant to purchase 3/4 share of common stock from AzurRx BioPharma, Inc. in a private placement exempt from registration under the Securities Act of 1933, as amended.

F3 · ownership.nature: Of the 1,659,840 shares of common stock beneficially owned, 1,031,268 are held by ADEC Private Equity Investment, LLC, 600,000 are held by EBR Ventures, LLC, and 28,572 are held by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of Common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of the applicable shares of common stock, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such shares of common stock for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001415889-17-000210 · form4-02072017_010228.xml · derivative · entry 1

Spoor Johan M. · CIK 0001535289 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-02-03

SEC source: 0001415889-17-000212 · form4-02072017_010233.xml · derivative · entry 1

Shenouda Maged · CIK 0001658369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-02-03

F1 · derivative.exercise_date: 10,000 options vest immediately. The balance vests 1/24 per month.

SEC source: 0001415889-17-000215 · form4-02072017_010212.xml · derivative · entry 1

BORKOWSKI EDWARD · CIK 0001197542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-02-03

F1 · derivative.exercise_date: 10,000 options vest immediately. The balance vests 1/24 per month.

SEC source: 0001415889-17-000214 · form4-02072017_010253.xml · derivative · entry 1

Riddell Alastair · CIK 0001681349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2027-02-03

F1 · derivative.exercise_date: 10,000 options vest immediately. The balance vests 1/24 per month.

SEC source: 0001415889-16-007294 · form4-10182016_011057.xml · derivative · entry 3

Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By ADEC Private Equity Investment, LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,031,268 shares

Expires 2016-11-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The Original Issuance Discount Convertible Notes were automatically converted to shares of common stock upon the closing of the Issuer's initial public offering.

F4 · derivative.expiration_date: The Original Issuance Discount Convertible Notes were automatically converted to shares of common stock upon the closing of the Issuer's initial public offering.

F3 · ownership.nature: The securities are held by ADEC Private Equity Investment, LLC. Mr. Ross holds sole voting and dispositive power over the securities and ADEC Private Equity Investment, LLC disclaims beneficial ownership of the securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed to be an admission that ADEC Private Equity Investment, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001415889-16-007294 · form4-10182016_011057.xml · derivative · entry 2

Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By ADEC Private Equity Investment, LLC

Disclosed balance after: 371,142

Underlying: Common Stock · 371,142 shares

Expires 2021-10-13

F2 · kind: The Warrants were acquired concurrently with the closing of the Issuer's Initial Public Offering in connection with an amendment to a certain securities purchase agreement to which ADEC Private Equity Investment, LLC was a party.

F2 · price: The Warrants were acquired concurrently with the closing of the Issuer's Initial Public Offering in connection with an amendment to a certain securities purchase agreement to which ADEC Private Equity Investment, LLC was a party.

F3 · ownership.nature: The securities are held by ADEC Private Equity Investment, LLC. Mr. Ross holds sole voting and dispositive power over the securities and ADEC Private Equity Investment, LLC disclaims beneficial ownership of the securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed to be an admission that ADEC Private Equity Investment, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001415889-16-007294 · form4-10182016_011057.xml · nonDerivative · entry 1

Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,531,268

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · ownership.nature: Of the 1,531,268 shares of common stock beneficially owned, 500,000 are held by EBR Ventures, LLC and 1,031,268 shares are held by ADEC Private Equity Investment, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of EBR Ventures, LLC and ADEC Private Equity Investment, LLC disclaims beneficial ownership of the applicable shares of common stock, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that either EBR Ventures, LLC or ADEC Private Equity Investment, LLC is the beneficial owner of such shares of common stock for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001415889-16-007280 · form4-10142016_031011.xml · nonDerivative · entry 1

Pelican Partners LLC · CIK 0001681335 · 10% owner

BALK MATTHEW · CIK 0001217674 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,787,796