GRI

SEC source: 0001398278-25-000004 · wk-form4_1758571567.xml · derivative · entry 1

Kelly Leanne · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,222

Underlying: Common Stock · 43,222 shares

Expires 2035-09-18

F1 · derivative.exercise_date: Options to purchase 29,923 shares vested in full upon the date of grant and options to purchase 13,299 shares will vest in 12 substantially equal quarterly installments such that the stock option is fully vested on the third anniversary of the date of grant.

SEC source: 0001602459-25-000004 · wk-form4_1758571561.xml · derivative · entry 1

Szekeres David Leslie · CIK 0001602459 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,897

Underlying: Common Stock · 39,897 shares

Expires 2035-09-18

F1 · derivative.exercise_date: Options to purchase 29,293 shares vested in full upon the date of grant and options to purchase 9,974 shares will vest in four substantially equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001698966-25-000004 · wk-form4_1758571538.xml · derivative · entry 1

Rongen Roelof · CIK 0001698966 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,605

Underlying: Common Stock · 23,605 shares

Expires 2035-09-18

F1 · derivative.exercise_date: Options to purchase 17,621 shares vested in full upon the date of grant and options to purchase 5,984 shares will vest in four substantially equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001822557-25-000005 · wk-form4_1758571550.xml · derivative · entry 1

SIMPSON CAMILLA V · CIK 0001822557 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,605

Underlying: Common Stock · 23,605 shares

Expires 2035-09-18

F1 · derivative.exercise_date: Options to purchase 17,621 shares vested in full upon the date of grant and options to purchase 5,984 shares will vest in four substantially equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001844060-25-000003 · wk-form4_1758571556.xml · derivative · entry 1

Baker David Charles · CIK 0001844060 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,605

Underlying: Common Stock · 23,605 shares

Expires 2035-09-18

F1 · derivative.exercise_date: Options to purchase 17,621 shares vested in full upon the date of grant and options to purchase 5,984 shares will vest in four substantially equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001971423-25-000003 · wk-form4_1758571544.xml · derivative · entry 1

Chaturvedi Vipin · CIK 0001971423 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,222

Underlying: Common Stock · 43,222 shares

Expires 2035-09-18

F1 · derivative.exercise_date: Options to purchase 29,923 shares vested in full upon the date of grant and options to purchase 13,299 shares will vest in 12 substantially equal quarterly installments such that the stock option is fully vested on the third anniversary of the date of grant.

SEC source: 0001971132-25-000006 · wk-form4_1758571533.xml · derivative · entry 1

Hertz Walter Marc · CIK 0001971132 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,067

Underlying: Common Stock · 103,067 shares

Expires 2035-09-18

F1 · derivative.exercise_date: Options to purchase 76,469 shares vested in full upon the date of grant and options to purchase 26,598 shares will vest in 12 substantially equal quarterly installments such that the stock option is fully vested on the third anniversary of the date of grant.

SEC source: 0001824293-25-000138 · wk-form4_1756297480.xml · derivative · entry 1

Kelly Leanne · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,854

Underlying: Common Stock · 11,854 shares

Expires 2035-08-26

F1 · derivative.exercise_date: Options to purchase 7,424 shares vested in full upon the date of grant and options to purchase 4,430 shares will vest in 12 substantially equal quarterly installments such that the stock option is fully vested on the third anniversary of the date of grant.

SEC source: 0001824293-25-000143 · wk-form4_1756297514.xml · derivative · entry 1

Szekeres David Leslie · CIK 0001602459 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,276

Underlying: Common Stock · 10,276 shares

Expires 2035-08-26

F1 · derivative.exercise_date: Options to purchase 6,933 shares vested in full upon the date of grant and options to purchase 3,343 shares will vest in four substantially equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-25-000141 · wk-form4_1756297500.xml · derivative · entry 1

Rongen Roelof · CIK 0001698966 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,994

Underlying: Common Stock · 5,994 shares

Expires 2035-08-26

F1 · derivative.exercise_date: Options to purchase 4,044 shares vested in full upon the date of grant and options to purchase 1,950 shares will vest in four substantially equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-25-000139 · wk-form4_1756297487.xml · derivative · entry 1

SIMPSON CAMILLA V · CIK 0001822557 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,994

Underlying: Common Stock · 5,994 shares

Expires 2035-08-26

F1 · derivative.exercise_date: Options to purchase 4,044 shares vested in full upon the date of grant and options to purchase 1,950 shares will vest in four substantially equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-25-000144 · wk-form4_1756297522.xml · derivative · entry 1

Hertz Walter Marc · CIK 0001971132 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,688

Underlying: Common Stock · 26,688 shares

Expires 2035-08-26

F1 · derivative.exercise_date: Options to purchase 17,828 shares vested in full upon the date of grant and options to purchase 8,860 shares will vest in 12 substantially equal quarterly installments such that the stock option is fully vested on the third anniversary of the date of grant.

SEC source: 0001824293-25-000142 · wk-form4_1756297508.xml · derivative · entry 1

Baker David Charles · CIK 0001844060 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,994

Underlying: Common Stock · 5,994 shares

Expires 2035-08-26

F1 · derivative.exercise_date: Options to purchase 4,044 shares vested in full upon the date of grant and options to purchase 1,950 shares will vest in four substantially equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-25-000140 · wk-form4_1756297493.xml · derivative · entry 1

Chaturvedi Vipin · CIK 0001971423 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,854

Underlying: Common Stock · 11,854 shares

Expires 2035-08-26

F1 · derivative.exercise_date: Options to purchase 7,424 shares vested in full upon the date of grant and options to purchase 4,430 shares will vest in 12 substantially equal quarterly installments such that the stock option is fully vested on the third anniversary of the date of grant.

SEC source: 0001824293-25-000116 · wk-form4_1755205093.xml · derivative · entry 1

Szekeres David Leslie · CIK 0001602459 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,545

Underlying: Common Stock · 7,545 shares

Expires 2035-08-13

F1 · derivative.exercise_date: The stock option vests in 4 equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-25-000117 · wk-form4_1755205102.xml · derivative · entry 1

Rongen Roelof · CIK 0001698966 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,527

Underlying: Common Stock · 4,527 shares

Expires 2035-08-13

F1 · derivative.exercise_date: The stock option vests in 4 equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-25-000119 · wk-form4_1755205119.xml · derivative · entry 1

SIMPSON CAMILLA V · CIK 0001822557 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,527

Underlying: Common Stock · 4,527 shares

Expires 2035-08-13

F1 · derivative.exercise_date: The stock option vests in 4 equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-25-000118 · wk-form4_1755205110.xml · derivative · entry 1

Baker David Charles · CIK 0001844060 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,527

Underlying: Common Stock · 4,527 shares

Expires 2035-08-13

F1 · derivative.exercise_date: The stock option vests in 4 equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-25-000035 · wk-form4_1737759502.xml · derivative · entry 1

Kelly Leanne · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,319

Underlying: Common Stock · 43,319 shares

Expires 2035-01-23

SEC source: 0001824293-25-000030 · wk-form4_1737759448.xml · derivative · entry 1

Szekeres David Leslie · CIK 0001602459 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,937

Underlying: Common Stock · 51,937 shares

Expires 2035-01-23

SEC source: 0001824293-25-000029 · wk-form4_1737759436.xml · derivative · entry 1

Rongen Roelof · CIK 0001698966 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,297

Underlying: Common Stock · 30,297 shares

Expires 2035-01-23

SEC source: 0001824293-25-000032 · wk-form4_1737759469.xml · derivative · entry 1

SIMPSON CAMILLA V · CIK 0001822557 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,297

Underlying: Common Stock · 30,297 shares

Expires 2035-01-23

SEC source: 0001824293-25-000034 · wk-form4_1737759490.xml · derivative · entry 1

Chaturvedi Vipin · CIK 0001971423 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,319

Underlying: Common Stock · 43,319 shares

Expires 2035-01-23

SEC source: 0001824293-25-000031 · wk-form4_1737759458.xml · derivative · entry 1

Baker David Charles · CIK 0001844060 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,297

Underlying: Common Stock · 30,297 shares

Expires 2035-01-23

SEC source: 0001824293-25-000033 · wk-form4_1737759479.xml · derivative · entry 1

Hertz Walter Marc · CIK 0001971132 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,730

Underlying: Common Stock · 129,730 shares

Expires 2035-01-23

SEC source: 0001824293-23-000163 · wk-form4_1695758927.xml · derivative · entry 1

Kelly Leanne · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,333

Underlying: Common Stock · 83,333 shares

Expires 2033-09-22

F1 · derivative.exercise_date: Vests as to 25% of the underlying shares of common stock on the first annual anniversary of the date of grant, then in 36 equal monthly installments such that the stock option is fully vested on the fourth annual anniversary of the date of grant.

SEC source: 0001824293-23-000156 · wk-form4_1692043784.xml · derivative · entry 1

Szekeres David Leslie · CIK 0001602459 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,483

Underlying: Common Stock · 34,483 shares

Expires 2033-08-10

F1 · derivative.exercise_date: Vests as to 1/12th of the underlying shares of common stock on the date of grant, then in 11 equal quarterly installments such that the stock option is fully vested on the third annual anniversary of the date of grant.

SEC source: 0001824293-23-000153 · wk-form4_1692043604.xml · derivative · entry 1

Rongen Roelof · CIK 0001698966 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,483

Underlying: Common Stock · 34,483 shares

Expires 2033-08-10

F1 · derivative.exercise_date: Vests as to 1/12th of the underlying shares of common stock on the date of grant, then in 11 equal quarterly installments such that the stock option is fully vested on the third annual anniversary of the date of grant.

SEC source: 0001824293-23-000154 · wk-form4_1692043648.xml · derivative · entry 1

SIMPSON CAMILLA V · CIK 0001822557 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,483

Underlying: Common Stock · 34,483 shares

Expires 2033-08-10

F1 · derivative.exercise_date: Vests as to 1/12th of the underlying shares of common stock on the date of grant, then in 11 equal quarterly installments such that the stock option is fully vested on the third annual anniversary of the date of grant.

SEC source: 0001824293-23-000152 · wk-form4_1692043540.xml · derivative · entry 1

Baker David Charles · CIK 0001844060 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,483

Underlying: Common Stock · 34,483 shares

Expires 2033-08-10

F1 · derivative.exercise_date: Vests as to 1/12th of the underlying shares of common stock on the date of grant, then in 11 equal quarterly installments such that the stock option is fully vested on the third annual anniversary of the date of grant.

SEC source: 0001824293-23-000103 · wf-form4_168237538206040.xml · nonDerivative · entry 1

Agro Albert · CIK 0001661357 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,189

F1 · shares: Received in exchange for 4,600,000 shares of common stock of GRI Bio, Inc. ("GRI"), pursuant to the Agreement and Plan of Merger, dated December 13, 2022, by and among Vallon Pharmaceuticals, Inc. (the "Company"), Vallon Merger Sub, Inc. and GRI Bio, Inc. (the "Merger"). Per the terms of the Merger, each share of GRI common stock was converted into the right to receive 0.0374 shares of the Company's common stock. In connection with the Merger, the Company effected a reverse stock split of the Company's common stock at a ratio of 1-for-30 (the "Reverse Split"). Unless noted otherwise, all references to share amounts in this Form 4 reflect the Reverse Split.

F1 · price: Received in exchange for 4,600,000 shares of common stock of GRI Bio, Inc. ("GRI"), pursuant to the Agreement and Plan of Merger, dated December 13, 2022, by and among Vallon Pharmaceuticals, Inc. (the "Company"), Vallon Merger Sub, Inc. and GRI Bio, Inc. (the "Merger"). Per the terms of the Merger, each share of GRI common stock was converted into the right to receive 0.0374 shares of the Company's common stock. In connection with the Merger, the Company effected a reverse stock split of the Company's common stock at a ratio of 1-for-30 (the "Reverse Split"). Unless noted otherwise, all references to share amounts in this Form 4 reflect the Reverse Split.

SEC source: 0001824293-23-000102 · wf-form4_168237536636728.xml · nonDerivative · entry 1

Chaturvedi Vipin · CIK 0001971423 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 172,189

F1 · shares: Received in exchange for 4,600,000 shares of common stock of GRI Bio, Inc. ("GRI"), pursuant to the Agreement and Plan of Merger, dated December 13, 2022, by and among Vallon Pharmaceuticals, Inc. (the "Company"), Vallon Merger Sub, Inc. and GRI Bio, Inc. (the "Merger"). Per the terms of the Merger, each share of GRI common stock was converted into the right to receive 0.0374 shares of the Company's common stock. In connection with the Merger, the Company effected a reverse stock split of the Company's common stock at a ratio of 1-for-30 (the "Reverse Split"). Unless noted otherwise, all references to share amounts in this Form 4 reflect the Reverse Split.

F1 · price: Received in exchange for 4,600,000 shares of common stock of GRI Bio, Inc. ("GRI"), pursuant to the Agreement and Plan of Merger, dated December 13, 2022, by and among Vallon Pharmaceuticals, Inc. (the "Company"), Vallon Merger Sub, Inc. and GRI Bio, Inc. (the "Merger"). Per the terms of the Merger, each share of GRI common stock was converted into the right to receive 0.0374 shares of the Company's common stock. In connection with the Merger, the Company effected a reverse stock split of the Company's common stock at a ratio of 1-for-30 (the "Reverse Split"). Unless noted otherwise, all references to share amounts in this Form 4 reflect the Reverse Split.

SEC source: 0001824293-23-000104 · wf-form4_168237539956604.xml · nonDerivative · entry 1

Hertz Walter Marc · CIK 0001971132 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 385,510

F1 · shares: Received in exchange for 10,307,793 shares of common stock of GRI Bio, Inc. ("GRI"), pursuant to the Agreement and Plan of Merger, dated December 13, 2022, by and among Vallon Pharmaceuticals, Inc. (the "Company"), Vallon Merger Sub, Inc. and GRI Bio, Inc. (the "Merger"). Per the terms of the Merger, each share of GRI common stock was converted into the right to receive 0.0374 shares of the Company's common stock. In connection with the Merger, the Company effected a reverse stock split of the Company's common stock at a ratio of 1-for-30 (the "Reverse Split"). Unless noted otherwise, all references to share amounts in this Form 4 reflect the Reverse Split.

F1 · price: Received in exchange for 10,307,793 shares of common stock of GRI Bio, Inc. ("GRI"), pursuant to the Agreement and Plan of Merger, dated December 13, 2022, by and among Vallon Pharmaceuticals, Inc. (the "Company"), Vallon Merger Sub, Inc. and GRI Bio, Inc. (the "Merger"). Per the terms of the Merger, each share of GRI common stock was converted into the right to receive 0.0374 shares of the Company's common stock. In connection with the Merger, the Company effected a reverse stock split of the Company's common stock at a ratio of 1-for-30 (the "Reverse Split"). Unless noted otherwise, all references to share amounts in this Form 4 reflect the Reverse Split.

SEC source: 0001824293-22-000082 · wf-form4_167113958127044.xml · nonDerivative · entry 1

Thorell Marella · CIK 0001826323 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,506

F1 · kind: Cancellation of unvested restricted stock units granted on July 1, 2022.

SEC source: 0001824293-22-000061 · wf-form4_165713062186980.xml · nonDerivative · entry 1

Thorell Marella · CIK 0001826323 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,023

F1 · shares: Represents the grant of restricted stock units (RSUs). The RSUs vest in four (4) equal quarterly installments such that the RSU will be fully vested on the first (1st) anniversary of the date of grant, subject to continued service with the Issuer. Each RSU represents the right to receive one share of common stock of Vallon Pharmaceuticals, Inc.

SEC source: 0001824293-22-000055 · wf-form4_165488230708266.xml · derivative · entry 1

Payne Joseph E · CIK 0001727315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-09

F1 · derivative.exercise_date: The stock option vests in four equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-22-000056 · wf-form4_165488232409421.xml · derivative · entry 1

Ammer Richard · CIK 0001843671 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-09

F1 · derivative.exercise_date: The stock option vests in four equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-22-000054 · wf-form4_165488229138396.xml · derivative · entry 1

Thorell Marella · CIK 0001826323 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-09

F1 · derivative.exercise_date: The stock option vests in four equal quarterly installments such that the stock option is fully vested on the first anniversary of the date of grant.

SEC source: 0001824293-22-000015 · wf-form4_164686330942029.xml · derivative · entry 1

Chhabra Meenu · CIK 0001534200 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-02-23

F1 · date: Reported late due to administrative error.

F2 · derivative.exercise_date: This stock options vests in 24 equal monthly installments such that the stock options shall be fully vested as of the second annual anniversary of the date of grant.

SEC source: 0001824293-22-000010 · wf-form4_164617217734478.xml · derivative · entry 1

Kelly Leanne M. · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-02-15

F1 · date: Reported late due to administrative error.

F2 · derivative.exercise_date: Vests as to 25% of the underlying shares of common stock on the first annual anniversary of the date of grant, then in 12 equal quarterly installments such that the stock option is fully vested on the fourth annual anniversary of the date of grant.

SEC source: 0001824293-22-000011 · wf-form4_164617221607889.xml · derivative · entry 1

Baker David Charles · CIK 0001844060 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,000

Underlying: Common Stock · 61,000 shares

Expires 2032-02-15

F1 · date: Reported late due to administrative error.

F2 · derivative.exercise_date: Vests as to 25% of the underlying shares of common stock on the first annual anniversary of the date of grant, then in 12 equal quarterly installments such that the stock option is fully vested on the fourth annual anniversary of the date of grant.

SEC source: 0001104659-21-076998 · tm2118823d1_4.xml · nonDerivative · entry 3

Kelly Leanne M. · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,250

SEC source: 0001104659-21-076998 · tm2118823d1_4.xml · nonDerivative · entry 2

Kelly Leanne M. · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,742

SEC source: 0001104659-21-076998 · tm2118823d1_4.xml · nonDerivative · entry 1

Kelly Leanne M. · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,657

SEC source: 0001104659-21-073495 · tm2117820-1_4.xml · nonDerivative · entry 2

Payne Joseph E · CIK 0001727315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

SEC source: 0001104659-21-073495 · tm2117820-1_4.xml · nonDerivative · entry 1

Payne Joseph E · CIK 0001727315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,700

SEC source: 0001104659-21-068835 · tm2116776-4_4.xml · derivative · entry 1

Kelly Leanne M. · CIK 0001398278 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2031-05-14

F1 · derivative.exercise_date: Vests as to 25% of the underlying shares of common stock on the first annual anniversary of the date of grant, then in 12 equal quarterly installments such that the stock option is fully vested on the fourth annual anniversary of the date of grant.

SEC source: 0001104659-21-068839 · tm2116776-7_4.xml · derivative · entry 2

Payne Joseph E · CIK 0001727315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,286

Underlying: Common Stock · 14,286 shares

Expires 2031-05-14

F2 · derivative.exercise_date: The stock option vests as to 50% of the underlying shares of common stock on June 30, 2021, then in two equal installments on September 30, 2021 and December 31, 2021, such that the stock option fully vests on December 31, 2021.

SEC source: 0001104659-21-068839 · tm2116776-7_4.xml · derivative · entry 1

Payne Joseph E · CIK 0001727315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-05-14

F1 · derivative.exercise_date: The stock option vests in 24 equal monthly installments such that the stock option is fully vested on the second annual anniversary of the date of grant.

SEC source: 0001104659-21-068838 · tm2116776-6_4.xml · derivative · entry 2

Ammer Richard · CIK 0001843671 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,204

Underlying: Common Stock · 10,204 shares

Expires 2031-05-14

F2 · derivative.exercise_date: The stock option vests as to 50% of the underlying shares of common stock on June 30, 2021, then in two equal installments on September 30, 2021 and December 31, 2021, such that the stock option fully vests on December 31, 2021.