HROW

SEC source: 0001493152-22-002006 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,407,141

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.

SEC source: 0001493152-22-002006 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,478,547

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.

SEC source: 0001493152-21-023910 · ownership.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,100

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in June 2021 and was terminated by the reporting person on September 24, 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 $10.01 to $10.08, 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 general partner.

SEC source: 0001493152-21-023036 · ownership.xml · nonDerivative · entry 2

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 70,000

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

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.00 to $9.10, inclusive. The reporting person undertakes to provide to 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 general partner.

SEC source: 0001493152-21-023036 · ownership.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 75,840

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in June 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 $8.98 to $9.28, 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 general partner.

SEC source: 0001493152-21-021045 · 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

F1 · 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 $8.4450. The range of purchase prices on the transaction date was $8.29 to $8.59 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.

F3 · 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: 0001493152-21-021045 · 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: 3,135,000

F1 · 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 $8.4450. The range of purchase prices on the transaction date was $8.29 to $8.59 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: 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: 0001493152-21-020734 · 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: 147,500

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 $ 8.6447. The range of purchase prices on the transaction date was $8.59 to $8.69 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.

F3 · 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: 0001493152-21-020734 · 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: 3,085,000

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 $ 8.6447. The range of purchase prices on the transaction date was $8.59 to $8.69 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: 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: 0001493152-21-020734 · 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: 146,000

F1 · 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 $8.5661. The range of purchase prices on the transaction date was $8.39 to $8.75 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.

F3 · 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: 0001493152-21-020734 · 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: 3,040,000

F1 · 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 $8.5661. The range of purchase prices on the transaction date was $8.39 to $8.75 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: 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: 0001493152-21-017686 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 762,301

Underlying: Common Stock · 762,301 shares

Expires 2026-07-23

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. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

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. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

SEC source: 0001493152-21-017685 · ownership.xml · derivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,500

Underlying: Common Stock · 346,500 shares

Expires 2026-07-23

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. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

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. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

SEC source: 0001493152-21-017682 · ownership.xml · derivative · entry 1

SAHAREK JOHN P. · CIK 0001632091 · President, ImprimisRx

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,200

Underlying: Common Stock · 277,200 shares

Expires 2026-07-23

F1 · security: 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. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

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. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

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. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

SEC source: 0001493152-21-017502 · ownership.xml · nonDerivative · entry 6

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 145,000

F5 · 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 $ 7.5965. The range of purchase prices on the transaction date was $7.47 to $7.70 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.

F3 · 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: 0001493152-21-017502 · ownership.xml · nonDerivative · entry 5

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 3,015,000

F5 · 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 $ 7.5965. The range of purchase prices on the transaction date was $7.47 to $7.70 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: 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: 0001493152-21-017502 · 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: 140,294

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 $ 7.1999. The range of purchase prices on the transaction date was $7.1998 to $7.20 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.

F3 · 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: 0001493152-21-017502 · 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: 3,010,500

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 $ 7.1999. The range of purchase prices on the transaction date was $7.1998 to $7.20 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: 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: 0001493152-21-017502 · 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: 140,169

F1 · 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 $6.9683. The range of purchase prices on the transaction date was $6.95 to $6.9884 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.

F3 · 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: 0001493152-21-017502 · 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: 3,005,700

F1 · 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 $6.9683. The range of purchase prices on the transaction date was $6.95 to $6.9884 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: 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: 0001493152-21-015459 · ownership.xml · derivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,644

Underlying: Common Stock · 9,644 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: 0001493152-21-015458 · ownership.xml · derivative · entry 1

Kammer Robert J · CIK 0001542484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,644

Underlying: Common Stock · 9,644 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: 0001493152-21-015457 · ownership.xml · derivative · entry 1

Van Horn R. Lawrence · CIK 0001641475 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,644

Underlying: Common Stock · 9,644 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: 0001493152-21-015456 · ownership.xml · derivative · entry 1

Sparks Teresa · CIK 0001650335 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,644

Underlying: Common Stock · 9,644 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: 0001493152-21-014965 · 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: 140,000

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 $8.3492. The range of purchase prices on the transaction date was $8.3468 to $8.35 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.

F3 · 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: 0001493152-21-014965 · 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: 3,000,000

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 $8.3492. The range of purchase prices on the transaction date was $8.3468 to $8.35 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: 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: 0001493152-21-014965 · 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: 136,478

F1 · 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 $8.3201. The range of purchase prices on the transaction date was $8.25 to $8.35 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.

F3 · 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: 0001493152-21-014965 · 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: 2,940,200

F1 · 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 $8.3201. The range of purchase prices on the transaction date was $8.25 to $8.35 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: 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: 0001493152-21-012566 · ownership.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 90,000

F1 · 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: 0001493152-21-009872 · 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 · 850,000 shares

Expires 2021-04-25

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 remaining performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 334,129 shares of common stock were withheld from issuance to Mr. Baum for payroll tax purposes.

SEC source: 0001493152-21-009872 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,353,547

F1 · security: Represents remaining performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 334,129 shares of common stock were withheld from issuance to Mr. Baum for payroll tax purposes.

SEC source: 0001493152-21-009872 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,687,676

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 remaining performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 334,129 shares of common stock were withheld from issuance to Mr. Baum for payroll tax purposes.

SEC source: 0001493152-21-009874 · 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 · 127,500 shares

Expires 2021-04-25

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 remaining performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 49,832 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-21-009874 · ownership.xml · nonDerivative · entry 2

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,168

F1 · security: Represents remaining performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 49,832 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-21-009874 · ownership.xml · nonDerivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,000

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 remaining performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 49,832 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-21-005005 · ownership.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

Underlying: Common Stock · 200,000 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 performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

F1 · derivative.exercise_date: Represents performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

F1 · derivative.expiration_date: Represents performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

SEC source: 0001493152-21-005005 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 837,676

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 performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

F1 · price: Represents performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

SEC source: 0001493152-21-005004 · ownership.xml · derivative · entry 3

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,500

Underlying: Common Stock · 30,000 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 performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs. 7,500 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

F1 · derivative.exercise_date: Represents performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs. 7,500 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

F1 · derivative.expiration_date: Represents performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs. 7,500 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-21-005004 · ownership.xml · nonDerivative · entry 2

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,500

F1 · security: Represents performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs. 7,500 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-21-005004 · ownership.xml · nonDerivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,000

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 performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs. 7,500 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

F1 · price: Represents performance-based restricted stock units ("RSUs") granted to Mr. Boll under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs. 7,500 shares of common stock were withheld from issuance to Mr. Boll for payroll tax purposes.

SEC source: 0001493152-21-004654 · ownership.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2024-02-19

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant.

SEC source: 0001493152-21-004655 · ownership.xml · derivative · entry 1

BOLL ANDREW R. · CIK 0001542150 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2024-02-19

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant.

SEC source: 0001493152-21-004656 · ownership.xml · derivative · entry 1

SAHAREK JOHN P. · CIK 0001632091 · President, ImprimisRx

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2024-02-19

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant.

SEC source: 0001493152-20-024154 · ownership.xml · nonDerivative · entry 6

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 136,016

F5 · 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 $5.1948. The range of purchase prices on the transaction date was $5.16 to $5.21 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.

F3 · 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: 0001493152-20-024154 · ownership.xml · nonDerivative · entry 5

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,929,400

F5 · 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 $5.1948. The range of purchase prices on the transaction date was $5.16 to $5.21 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: 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: 0001493152-20-024154 · 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: 135,359

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 $5.2394. The range of purchase prices on the transaction date was $5.16 to $5.25 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.

F3 · 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: 0001493152-20-024154 · 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: 2,913,500

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 $5.2394. The range of purchase prices on the transaction date was $5.16 to $5.25 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: 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: 0001493152-20-024154 · 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: 133,300

F1 · 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 $5.3126. The range of purchase prices on the transaction date was $5.25 to $5.35 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.

F3 · 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: 0001493152-20-024154 · 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: 2,862,100

F1 · 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 $5.3126. The range of purchase prices on the transaction date was $5.25 to $5.35 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: 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: 0001493152-20-018653 · ownership.xml · derivative · entry 7

Principi Anthony · CIK 0001347187 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,798

Underlying: Common Stock · 4,573 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 Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors.

F2 · security: The Restricted Stock Units were received as a compensatory award for no consideration.

F1 · derivative.exercise_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors.

F2 · derivative.exercise_date: The Restricted Stock Units were received as a compensatory award for no consideration.

F1 · derivative.expiration_date: The Reporting Person was awarded Restricted Stock Units for his service as director of the Company that vested quarterly in equal installments over a one-year periods following the date of grant. The shares underlying such Restricted Stock Units were deferred to the Reporting Person until his resignation from the Company's board of directors.

F2 · derivative.expiration_date: The Restricted Stock Units were received as a compensatory award for no consideration.