HIND

SEC source: 0000919574-21-004321 · ownership.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 3,051,966

F2 · kind: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · kind: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

F2 · balance_after: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · balance_after: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

SEC source: 0000919574-21-004321 · ownership.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,051,966

F2 · kind: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · kind: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

F2 · price: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · price: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

F2 · balance_after: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · balance_after: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

F1 · ownership.direct: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-004321 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 1,572,253

F2 · kind: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · kind: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

F2 · balance_after: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · balance_after: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

SEC source: 0000919574-21-004321 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,572,253

F2 · kind: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · kind: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

F2 · price: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · price: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

F2 · balance_after: On June 28, 2021, the Issuer and the Master Fund entered into an agreement regarding an Inducement Offer to Exercise Common Stock Purchase Warrants (the "Inducement Agreement"). The Inducement Agreement provided, inter alia, that the Master Fund would exercise the warrants in the transactions reported herein (the "Existing Warrants") in exchange for an aggregate price of $41,179,303.17. In consideration for exercising in full all of the Existing Warrants held by the Master Fund (the "Warrant Exercise"), at an exercise price equal the sum of (a) $0.09375 per Share underlying the New Warrants (as defined below) issued to the Master Fund plus (b) the lower of (i) the current exercise price set forth in the Existing Warrants, and (ii) $6.00 per warrant share, the Issuer will issue the Master Fund or its designee a new unregistered Common Stock Purchase Warrants ("New Warrants")

F3 · balance_after: [continued from Footnote 2] to purchase 5,348,105 Shares, which New Warrant shall be substantially in the form of the Existing Warrants (except that the New Warrants will include a beneficial ownership limitation of 9.99% ("Beneficial Ownership Limitation")), are exercisable immediately with an expiration date on June 28, 2026, and an exercise price equal to $6.00. The Shares to be received resulting from the Warrant Exercise are subject to the Beneficial Ownership Limitation and are held in abeyance until they are able to be received in accordance with the terms of the Inducement Agreement (and thus the Reporting Persons do not beneficially own Shares in abeyance). The foregoing descriptions of each of the Inducement Agreement and the New Warrants are qualified in their entirety by the terms and conditions of the Inducement Agreement.

F1 · ownership.direct: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 12

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 105,873

F8 · balance_after: Additionally, the Reporting Persons no longer have beneficial ownership of 13,333 Shares as a result of the settlement of a transaction made prior to the reporting period. Accordingly, the Reporting Persons have beneficial ownership of 92,540 Shares.

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 11

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,873

F7 · price: This constitutes the weighted average purchase price. The prices range from $5.30 to $5.86. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 10

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 791,456

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 9

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 791,456

F6 · price: This constitutes the weighted average purchase price. The prices range from $6.91 to $7.51. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 8

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 872,822

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 7

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 872,822

F5 · price: This constitutes the weighted average purchase price. The prices range from $5.86 to $6.84. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 1,897,666

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,897,666

F4 · price: This constitutes the weighted average purchase price. The prices range from $8.46 to $8.54. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 1,947,706

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,947,706

F3 · price: This constitutes the weighted average purchase price. The prices range from $7.30 to $8.06. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote 1

Disclosed balance after: 2,021,297

SEC source: 0000919574-21-004191 · ownership.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,021,297

F2 · price: This constitutes the weighted average purchase price. The prices range from $5.96 to $6.86. The Reporting Persons will provide upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of Shares purchased at each separate price.

F1 · ownership.direct: The reported securities (the "Shares") of ReShape Lifesciences Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and together with Armistice Capital, the "Reporting Persons"). Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001214659-20-007966 · marketforms-49701.xml · derivative · entry 2

Plovanic William J. · CIK 0001685640 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007966 · marketforms-49701.xml · derivative · entry 1

Plovanic William J. · CIK 0001685640 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.77), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007969 · marketforms-49705.xml · derivative · entry 2

Stevenson Sharon · CIK 0001683904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007969 · marketforms-49705.xml · derivative · entry 1

Stevenson Sharon · CIK 0001683904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.77), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007968 · marketforms-49704.xml · derivative · entry 2

HOWE LESLEY H · CIK 0001222606 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007968 · marketforms-49704.xml · derivative · entry 1

HOWE LESLEY H · CIK 0001222606 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.77), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007970 · marketforms-49703.xml · derivative · entry 2

Fisher Douglas · CIK 0001572355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007970 · marketforms-49703.xml · derivative · entry 1

Fisher Douglas · CIK 0001572355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.77), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007967 · marketforms-49698.xml · derivative · entry 2

DITTAMORE RAYMOND V · CIK 0001203772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007967 · marketforms-49698.xml · derivative · entry 1

DITTAMORE RAYMOND V · CIK 0001203772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.77), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007965 · marketforms-49706.xml · derivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007965 · marketforms-49706.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.77), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-005894 · marketforms-49132.xml · derivative · entry 2

Hussainy Nooshin · CIK 0001685634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,135

Underlying: Common Stock · 165,135 shares

Expires 2030-06-23

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-005894 · marketforms-49132.xml · derivative · entry 1

Hussainy Nooshin · CIK 0001685634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,865

Underlying: Common Stock · 52,865 shares

Expires 2030-06-23

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.73), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-005893 · marketforms-49131.xml · derivative · entry 2

Rasdal Andrew P · CIK 0001323238 · Director · President, CEO & Exec Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,135

Underlying: Common Stock · 165,135 shares

Expires 2030-06-23

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-005893 · marketforms-49131.xml · derivative · entry 1

Rasdal Andrew P · CIK 0001323238 · Director · President, CEO & Exec Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,865

Underlying: Common Stock · 52,865 shares

Expires 2030-06-23

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.73), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for Shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-000643 · marketforms-47578.xml · derivative · entry 1

Plovanic William J. · CIK 0001685640 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,125

Underlying: Common Stock · 441,125 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.exercise_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.expiration_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

SEC source: 0001214659-20-000640 · marketforms-47573.xml · derivative · entry 1

Hussainy Nooshin · CIK 0001685634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,225

Underlying: Common Stock · 88,225 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.exercise_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.expiration_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

SEC source: 0001214659-20-000641 · marketforms-47575.xml · derivative · entry 1

VandenBerg Amy · CIK 0001685638 · Chief Clinical & Reg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,225

Underlying: Common Stock · 88,225 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.exercise_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.expiration_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

SEC source: 0001214659-20-000642 · marketforms-47576.xml · derivative · entry 1

MacDonald Robert J · CIK 0001778547 · Chief Retail Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,225

Underlying: Common Stock · 88,225 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.exercise_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.expiration_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

SEC source: 0001214659-20-000639 · marketforms-47574.xml · derivative · entry 1

Brister Mark · CIK 0001323223 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,281

Underlying: Common Stock · 110,281 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.exercise_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

F1 · derivative.expiration_date: Each restricted stock unit represents a right to receive one share of the Issuer's common stock, the cash equivalent thereof, or a combination of both, based on the achievement of stock price goals over a three-year performance period ending December 31, 2022.

SEC source: 0001214659-19-007137 · marketforms-46130.xml · nonDerivative · entry 1

Plovanic William J. · CIK 0001685640 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,806

F1 · kind: The transaction reported on this Form 4 is an open market purchase of Obalon Stock on November 12, 2019 by William Plovanic, totaling $107,822.

SEC source: 0001214659-19-006666 · marketforms-45993.xml · derivative · entry 2

Hussainy Nooshin · CIK 0001685634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2029-10-25

F2 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-006666 · marketforms-45993.xml · derivative · entry 1

Hussainy Nooshin · CIK 0001685634 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,682

Underlying: Common Stock · 11,682 shares

Expires 2029-10-25

F1 · derivative.exercise_date: The Option shall vest as to (i) 25% of the shares of Common Stock underlying the Stock Option on October 19, 2020 and (ii) 1/48th of the shares of Common Stock underlying the Stock Option on each monthly anniversary of October 19, 2020 thereafter, subject to the grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-19-006665 · marketforms-45992.xml · derivative · entry 1

Plovanic William J. · CIK 0001685640 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-10-25

F1 · derivative.exercise_date: The Option shall vest as to (i) 25% of the shares of Common Stock underlying the Stock Option on October 19, 2020 and (ii) 1/48th of the shares of Common Stock underlying the Stock Option on each monthly anniversary of October 19, 2020 thereafter, subject to the grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-19-006669 · marketforms-45996.xml · derivative · entry 1

VandenBerg Amy · CIK 0001685638 · Chief Clinical & Reg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-10-25

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-006668 · marketforms-45996.xml · derivative · entry 1

VandenBerg Amy · CIK 0001685638 · Chief Clinical & Reg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-10-25

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-006670 · marketforms-45995.xml · derivative · entry 1

Brister Mark · CIK 0001323223 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2029-10-25

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0001214659-19-006667 · marketforms-45994.xml · derivative · entry 1

MacDonald Robert J · CIK 0001778547 · Chief Retail Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2029-10-25

F1 · derivative.exercise_date: The Option shall vest as to 1/48th of the Shares underlying the Option on each monthly anniversary of the Grant Date, subject to the grantee's continued status as a Service Provider with the Company through the applicable vesting date.

SEC source: 0000904454-19-000600 · edgar.xml · derivative · entry 2

DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,500

Underlying: Common Stock · 187,500 shares

Expires 2024-08-06

F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.

F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-19-000600 · edgar.xml · nonDerivative · entry 1

DOMAIN PARTERS VII L P · CIK 0001374150 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 813,433

F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.

F2 · balance_after: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019.

F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

F4 · ownership.direct: As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P.

SEC source: 0001214659-19-005090 · marketforms-45428.xml · derivative · entry 2

Hussainy Nooshin · CIK 0001685634 · VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2024-08-06

SEC source: 0001214659-19-005090 · marketforms-45428.xml · nonDerivative · entry 1

Hussainy Nooshin · CIK 0001685634 · VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,340

F1 · price: Reflects price paid to underwriters in Issuer's registered offering.

F2 · balance_after: Includes Restricted Shares that are subject to vesting.

SEC source: 0001214659-19-005088 · marketforms-45430.xml · derivative · entry 2

Plovanic William J. · CIK 0001685640 · Director · President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,375

Underlying: Common Stock · 9,375 shares

Expires 2024-08-06