HROW

SEC source: 0001493152-23-025148 · ownership.xml · nonDerivative · entry 1

SAHAREK JOHN P. · CIK 0001632091 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 331,277

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 · price: The 277,200 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Saharek under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 109,080 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Saharek in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 277,200 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001493152-23-025146 · ownership.xml · derivative · entry 3

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 346,500 shares

Expires not disclosed

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 · derivative.exercise_price: The 346,500 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Boll under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 136,350 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 346,500 shares pursuant to the terms of the Incentive Plan.

F1 · derivative.exercise_date: The 346,500 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Boll under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 136,350 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 346,500 shares pursuant to the terms of the Incentive Plan.

F1 · derivative.expiration_date: The 346,500 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Boll under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 136,350 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 346,500 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001493152-23-025146 · ownership.xml · nonDerivative · entry 2

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 534,169

F1 · shares: The 346,500 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Boll under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 136,350 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 346,500 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001493152-23-025146 · ownership.xml · nonDerivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 670,519

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 · price: The 346,500 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Boll under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 136,350 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 346,500 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001493152-23-022259 · ownership.xml · derivative · entry 1

Sparks Teresa · CIK 0001650335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,744

Underlying: Common Stock · 7,744 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-23-022261 · ownership.xml · derivative · entry 1

Van Horn R. Lawrence · CIK 0001641475 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,744

Underlying: Common Stock · 7,744 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-23-022260 · ownership.xml · derivative · entry 1

Sternberg Perry J. · CIK 0001921644 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,744

Underlying: Common Stock · 7,744 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-23-022258 · ownership.xml · derivative · entry 1

Makary Martin A. · CIK 0001921566 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,744

Underlying: Common Stock · 7,744 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-23-010886 · ownership.xml · derivative · entry 4

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 762,300

Underlying: Common Stock · 762,300 shares

Expires 2028-04-03

F3 · derivative.exercise_price: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 108,900 PSU shares), $35 (causing the vesting of 163,350 PSU shares), $45 (causing the vesting of 217,800 PSU shares), $50 (causing the vesting of 272,250 PSU shares).

F3 · derivative.exercise_date: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 108,900 PSU shares), $35 (causing the vesting of 163,350 PSU shares), $45 (causing the vesting of 217,800 PSU shares), $50 (causing the vesting of 272,250 PSU shares).

SEC source: 0001493152-23-010886 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 180,000 shares

Expires 2023-05-02

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.

F2 · derivative.exercise_date: The stock option was granted on May 2, 2013 under the Issuers 2007 Stock Incentive and Awards Plan and the shares subject to the stock option became exercisable over a 3 year period, according to a quarterly vesting schedule following its grant date. The stock option had an expiration date of May 2, 2023.

SEC source: 0001493152-23-010886 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,547,329

F1 · security: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

F1 · shares: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-23-010886 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,664,962

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 · security: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-23-010884 · ownership.xml · derivative · entry 1

SAHAREK JOHN P. · CIK 0001632091 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 277,200

Underlying: Common Stock · 277,200 shares

Expires 2028-04-03

F1 · derivative.exercise_price: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 39,600 PSU shares), $35 (causing the vesting of 59,400 PSU shares), $45 (causing the vesting of 79,200 PSU shares), $50 (causing the vesting of 99,000 PSU shares).

F1 · derivative.exercise_date: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 39,600 PSU shares), $35 (causing the vesting of 59,400 PSU shares), $45 (causing the vesting of 79,200 PSU shares), $50 (causing the vesting of 99,000 PSU shares).

SEC source: 0001493152-23-010882 · ownership.xml · derivative · entry 4

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 346,500

Underlying: Common Stock · 346,500 shares

Expires 2028-04-03

F3 · derivative.exercise_price: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 49,500 PSU shares), $35 (causing the vesting of 74,250 PSU shares), $45 (causing the vesting of 99,000 PSU shares), $50 (causing the vesting of 123,750 PSU shares).

F3 · derivative.exercise_date: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 49,500 PSU shares), $35 (causing the vesting of 74,250 PSU shares), $45 (causing the vesting of 99,000 PSU shares), $50 (causing the vesting of 123,750 PSU shares).

SEC source: 0001493152-23-010882 · ownership.xml · derivative · entry 3

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2023-04-01

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.

F2 · derivative.exercise_date: The stock option was granted on April 1, 2013 under the Issuers 2007 Stock Incentive and Awards Plan and the shares subject to the stock option became exercisable over a 3 year period, according to a quarterly vesting schedule following its grant date. The stock option had an expiration date of April 1, 2023.

SEC source: 0001493152-23-010882 · ownership.xml · nonDerivative · entry 2

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 324,019

F1 · security: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

F1 · shares: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-23-010882 · ownership.xml · nonDerivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 358,461

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 · security: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-23-000190 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 88,000 shares

Expires not disclosed

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 · security: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

F1 · derivative.exercise_date: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

F1 · derivative.expiration_date: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

SEC source: 0001493152-23-000190 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,484,962

F1 · security: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

SEC source: 0001493152-23-000190 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,520,141

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 · security: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

F1 · price: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

SEC source: 0001493152-23-000191 · ownership.xml · derivative · entry 3

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,000 shares

Expires not disclosed

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 · security: The listed Acquired (as described in the table above) 23,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs vested in full on January 2, 2023, the third-year anniversary of the grant of the same, and settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 9,602 shares of Harrow common stock were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld from the same aforementioned 23,000 share RSU issuance, by the Company, for payroll tax purposes only.

F1 · derivative.exercise_date: The listed Acquired (as described in the table above) 23,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs vested in full on January 2, 2023, the third-year anniversary of the grant of the same, and settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 9,602 shares of Harrow common stock were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld from the same aforementioned 23,000 share RSU issuance, by the Company, for payroll tax purposes only.

F1 · derivative.expiration_date: The listed Acquired (as described in the table above) 23,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs vested in full on January 2, 2023, the third-year anniversary of the grant of the same, and settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 9,602 shares of Harrow common stock were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld from the same aforementioned 23,000 share RSU issuance, by the Company, for payroll tax purposes only.

SEC source: 0001493152-23-000191 · ownership.xml · nonDerivative · entry 2

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,461

F1 · security: The listed Acquired (as described in the table above) 23,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs vested in full on January 2, 2023, the third-year anniversary of the grant of the same, and settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 9,602 shares of Harrow common stock were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld from the same aforementioned 23,000 share RSU issuance, by the Company, for payroll tax purposes only.

SEC source: 0001493152-23-000191 · ownership.xml · nonDerivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,063

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 · security: The listed Acquired (as described in the table above) 23,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs vested in full on January 2, 2023, the third-year anniversary of the grant of the same, and settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 9,602 shares of Harrow common stock were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld from the same aforementioned 23,000 share RSU issuance, by the Company, for payroll tax purposes only.

F1 · price: The listed Acquired (as described in the table above) 23,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs vested in full on January 2, 2023, the third-year anniversary of the grant of the same, and settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 9,602 shares of Harrow common stock were not sold by Mr. Boll in any transaction; rather, they were shares of Harrow common stock withheld from the same aforementioned 23,000 share RSU issuance, by the Company, for payroll tax purposes only.

SEC source: 0001493152-22-036396 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,432,141

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.34 to $13.42, inclusive. The reporting person undertakes to provide to Harrow Health, Inc. ("Harrow"), any security holder of Harrow, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001493152-22-036395 · ownership.xml · nonDerivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,063

SEC source: 0001493152-22-036393 · ownership.xml · nonDerivative · entry 1

Van Horn R. Lawrence · CIK 0001641475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,860

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.37 to $13.45, inclusive. The reporting person undertakes to provide to Harrow Health, Inc. ("Harrow"), any security holder of Harrow, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001493152-22-036394 · ownership.xml · nonDerivative · entry 1

Makary Martin A. · CIK 0001921566 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.30 to $13.43, inclusive. The reporting person undertakes to provide to Harrow Health, Inc. ("Harrow"), any security holder of Harrow, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001493152-22-035435 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 175,000

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-22-035435 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 3,600,000

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-22-027463 · ownership.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 26,100

F1 · shares: The sales reported in this Form 4 were effected pursuant to a predetermined Rule 10b5-1 trading plan adopted by the reporting person during December 2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.03 to $12.50, inclusive. The reporting person undertakes to provide to Harrow Health, Inc. ("Harrow"), any security holder of Harrow, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · ownership.nature: Represents shares held by the Lindstrom Family Limited Partnership No 2, a limited partnership of which the reporting person is the 100% owner and sole general partner.

SEC source: 0001493152-22-027192 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 158,817

F3 · price: The price reported above reflects the weighted average purchase price. This transaction was executed in multiple trades at prices ranging from $9.656 to $9.85; The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-22-027192 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 3,185,000

F3 · price: The price reported above reflects the weighted average purchase price. This transaction was executed in multiple trades at prices ranging from $9.656 to $9.85; The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-22-016479 · ownership.xml · derivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,123

Underlying: Common Stock · 13,123 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-22-016477 · ownership.xml · derivative · entry 1

Van Horn R. Lawrence · CIK 0001641475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,123

Underlying: Common Stock · 13,123 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-22-016475 · ownership.xml · derivative · entry 1

Sternberg Perry J. · CIK 0001921644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,123

Underlying: Common Stock · 13,123 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-22-016471 · ownership.xml · derivative · entry 1

Makary Martin A. · CIK 0001921566 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,123

Underlying: Common Stock · 13,123 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-22-016473 · ownership.xml · derivative · entry 1

Sparks Teresa · CIK 0001650335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,123

Underlying: Common Stock · 13,123 shares

Expires not disclosed

F1 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F2 · derivative.exercise_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

F2 · derivative.expiration_date: Award of Restricted Stock Units vests quarterly in equal installments over a one-year period following the date of grant. The shares underlying such Restricted Stock Units will not be delivered to the Reporting Person and may not be transferred or sold until the termination of service.

SEC source: 0001493152-22-009857 · ownership.xml · nonDerivative · entry 4

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 157,732

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.7632. The range of purchase prices on the transaction date was $6.75 to $6.78 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-22-009857 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 3,175,000

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.7632. The range of purchase prices on the transaction date was $6.75 to $6.78 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-22-009857 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 154,900

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.7845. The range of purchase prices on the transaction date was $6.88 to $6.90 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-22-009857 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 3,165,000

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.7845. The range of purchase prices on the transaction date was $6.88 to $6.90 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-22-005271 · ownership.xml · derivative · entry 3

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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 · security: Represents restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 20,605 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 20,605 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 20,605 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-22-005271 · ownership.xml · nonDerivative · entry 2

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,563

F1 · security: Represents restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 20,605 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-22-005271 · ownership.xml · nonDerivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,168

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 · security: Represents restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 20,605 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

F1 · price: Represents restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 20,605 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-22-005270 · ownership.xml · derivative · entry 3

SAHAREK JOHN P. · CIK 0001632091 · President, ImprimisRx

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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 · security: Represents restricted stock units ("RSUs") granted to Mr. Saharek under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 25,923 shares of common stock were withheld from issuance to Mr. Saharek for payroll tax purposes.

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted to Mr. Saharek under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 25,923 shares of common stock were withheld from issuance to Mr. Saharek for payroll tax purposes.

F1 · derivative.expiration_date: Represents restricted stock units ("RSUs") granted to Mr. Saharek under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 25,923 shares of common stock were withheld from issuance to Mr. Saharek for payroll tax purposes.

SEC source: 0001493152-22-005270 · ownership.xml · nonDerivative · entry 2

SAHAREK JOHN P. · CIK 0001632091 · President, ImprimisRx

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,077

F1 · security: Represents restricted stock units ("RSUs") granted to Mr. Saharek under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 25,923 shares of common stock were withheld from issuance to Mr. Saharek for payroll tax purposes.

SEC source: 0001493152-22-005270 · ownership.xml · nonDerivative · entry 1

SAHAREK JOHN P. · CIK 0001632091 · President, ImprimisRx

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

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 · security: Represents restricted stock units ("RSUs") granted to Mr. Saharek under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 25,923 shares of common stock were withheld from issuance to Mr. Saharek for payroll tax purposes.

F1 · price: Represents restricted stock units ("RSUs") granted to Mr. Saharek under the Issuer's 2017 Stock Incentive and Awards Plan on February 19, 2019. The RSUs settled in one share of common stock for each RSU and vested in full on February 19, 2022, the third anniversary of the grant date. 25,923 shares of common stock were withheld from issuance to Mr. Saharek for payroll tax purposes.

SEC source: 0001493152-22-002706 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 150,000

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.8873. The range of purchase prices on the transaction date was $6.88 to $6.90 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-22-002706 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 3,140,000

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.8873. The range of purchase prices on the transaction date was $6.88 to $6.90 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-22-002006 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires 2022-01-25

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 · security: Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes.

F1 · derivative.exercise_date: Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes.