IMDX

SEC source: 0000919574-23-002420 · ownership.xml · nonDerivative · entry 1

BROADWOOD PARTNERS, L.P. · CIK 0001278386 · 10% owner

BROADWOOD CAPITAL INC · CIK 0001278387 · 10% owner

BRADSHER NEAL C · CIK 0001278388 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,181,335

F3 · kind: On April 3, 2023, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 26,827,638 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in its registered direct offering for a total purchase price of $8,093,361.84, or $0.30168 per Common Share.

F3 · price: On April 3, 2023, Broadwood Partners entered into a Securities Purchase Agreement with Oncocyte Corporation (the "Issuer") pursuant to which Broadwood Partners agreed to acquire 26,827,638 shares of the Issuer's Common Stock, no par value (the "Common Shares"), from the Issuer in its registered direct offering for a total purchase price of $8,093,361.84, or $0.30168 per Common Share.

F1 · ownership.direct: The reported securities are directly owned by Broadwood Partners, L.P. ("Broadwood Partners") and may be deemed to be indirectly beneficially owned by: (i) Broadwood Capital, Inc. ("Broadwood Capital") as General Partner of Broadwood Partners; and (ii) Neal C. Bradsher as President of Broadwood Capital. Each Reporting Person disclaims beneficial ownership of the reported securities except to the extent of its or his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001493152-23-011106 · ownership.xml · derivative · entry 3

Gutfreund John Peter · CIK 0001940797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, no par value · 384,470 shares

Expires 2024-04-08

F2 · derivative.exercise_price: The 588.2353 shares of Series A Convertible Preferred Stock (the "Series A Shares") held by the Reporting Person were convertible into 384,470 shares of Common Stock, at a conversion price of $1.53 per share, subject to a beneficial ownership limitation of 4.99%, on April 8, 2024 or the earlier of occurrence of certain events or transactions specified in a purchase agreement by and among the Issuer, the Reporting Person, and certain other parties thereto (the "Purchase Agreement"). On April 3, 2023, the Issuer redeemed all of the Series A Shares for a cash payment of $618,672.34 calculated in accordance with the terms of the Purchase Agreement. The redemption of the Series A Shares was approved by the board of directors of the Issuer pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended.

F2 · shares: The 588.2353 shares of Series A Convertible Preferred Stock (the "Series A Shares") held by the Reporting Person were convertible into 384,470 shares of Common Stock, at a conversion price of $1.53 per share, subject to a beneficial ownership limitation of 4.99%, on April 8, 2024 or the earlier of occurrence of certain events or transactions specified in a purchase agreement by and among the Issuer, the Reporting Person, and certain other parties thereto (the "Purchase Agreement"). On April 3, 2023, the Issuer redeemed all of the Series A Shares for a cash payment of $618,672.34 calculated in accordance with the terms of the Purchase Agreement. The redemption of the Series A Shares was approved by the board of directors of the Issuer pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: The 588.2353 shares of Series A Convertible Preferred Stock (the "Series A Shares") held by the Reporting Person were convertible into 384,470 shares of Common Stock, at a conversion price of $1.53 per share, subject to a beneficial ownership limitation of 4.99%, on April 8, 2024 or the earlier of occurrence of certain events or transactions specified in a purchase agreement by and among the Issuer, the Reporting Person, and certain other parties thereto (the "Purchase Agreement"). On April 3, 2023, the Issuer redeemed all of the Series A Shares for a cash payment of $618,672.34 calculated in accordance with the terms of the Purchase Agreement. The redemption of the Series A Shares was approved by the board of directors of the Issuer pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.expiration_date: The 588.2353 shares of Series A Convertible Preferred Stock (the "Series A Shares") held by the Reporting Person were convertible into 384,470 shares of Common Stock, at a conversion price of $1.53 per share, subject to a beneficial ownership limitation of 4.99%, on April 8, 2024 or the earlier of occurrence of certain events or transactions specified in a purchase agreement by and among the Issuer, the Reporting Person, and certain other parties thereto (the "Purchase Agreement"). On April 3, 2023, the Issuer redeemed all of the Series A Shares for a cash payment of $618,672.34 calculated in accordance with the terms of the Purchase Agreement. The redemption of the Series A Shares was approved by the board of directors of the Issuer pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended.

F3 · balance_after: The Reporting Person previously misreported on his Form 3 filed with the Securities and Exchange Commission on August 8, 2022 the number of Series A Shares he owned due to an administrative error. As of the date of that Form 3 filing, the Reporting Person owned 588.2353 Series A Shares, not the 1,176.48 Series A Shares reported. Following the disposition of 588.2353 Series A Shares reported here, the Reporting Person does not own any Series A Shares.

SEC source: 0001493152-23-011106 · ownership.xml · nonDerivative · entry 2

Gutfreund John Peter · CIK 0001940797 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,075,000

F1 · ownership.nature: These shares of the Issuer's common stock, no par value ("Common Stock"), are held by Newtown Road 130 Holdings LLC ("Newtown"). The Reporting Person is the Managing Member of Newtown and in such capacity has the right to vote and dispose of securities held by Newtown.

SEC source: 0001493152-23-011106 · ownership.xml · nonDerivative · entry 1

Gutfreund John Peter · CIK 0001940797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 715,000

SEC source: 0001209191-23-017430 · doc4.xml · nonDerivative · entry 1

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Managed Accounts.

Disclosed balance after: 4,589,571

F1 · kind: As of March 6, 2023, the Reporting Persons no longer have voting and dispositive power for certain Managed Accounts and therefore such shares are no longer deemed beneficially owned by the Reporting Persons.

F2 · price: Not applicable.

F3 · ownership.nature: Shares reported herein are owned by Pura Vida Master Fund, Ltd., Pura Vida X Fund LP, and Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust") and certain separately managed accounts (the "Managed Accounts" and collectively, the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F4 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001209191-23-024720 · doc4a.xml · derivative · entry 5

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Managed Accounts.

Disclosed balance after: 517,245

Underlying: Common Stock · 440,964 shares

Expires 2027-04-19

F5 · kind: As of March 6, 2023, the Reporting Persons no longer have voting and dispositive power for certain Managed Accounts and therefore the warrants and the underlying common stock are no longer deemed beneficially owned by the Reporting Persons.

F2 · price: Not applicable.

F6 · ownership.nature: See footnotes 3 and 4.

SEC source: 0001209191-23-024720 · doc4a.xml · nonDerivative · entry 1

PURA VIDA INVESTMENTS, LLC · CIK 0001590144 · 10% owner

Kamen Efrem · CIK 0001789193 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Managed Accounts.

Disclosed balance after: 4,589,571

F1 · kind: As of March 6, 2023, the Reporting Persons no longer have voting and dispositive power for certain Managed Accounts and therefore such shares are no longer deemed beneficially owned by the Reporting Persons.

F2 · price: Not applicable.

F3 · ownership.nature: Securities reported herein are owned by Pura Vida Master Fund, Ltd., Pura Vida X Fund LP, and Lockheed Martin Corporation Master Retirement Trust (the "Retirement Trust") and certain separately managed accounts (the "Managed Accounts" and collectively, the "Client Accounts"). Pura Vida Investments, LLC ("PVI") serves as the investment manager or sub-adviser to the Client Accounts. Efrem Kamen serves as the Managing Member of PVI.

F4 · ownership.nature: By virtue of these relationships, the Reporting Persons may be deemed to have shared voting and dispositive power with respect to the securities owned directly by the Client Accounts. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of the securities for purposes of Sections 13 and 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of the Reporting Person's pecuniary interest therein, if any.

SEC source: 0001493152-23-006302 · ownership.xml · derivative · entry 1

Riggs Josh · CIK 0001956391 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,426

Underlying: Common Stock · 116,426 shares

Expires 2033-02-24

F1 · derivative.exercise_date: One third of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 24 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-23-006300 · ownership.xml · derivative · entry 1

John Anish M. · CIK 0001933248 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,381

Underlying: Common Stock · 121,381 shares

Expires 2033-02-24

F1 · derivative.exercise_date: One third of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 24 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-23-001946 · ownership.xml · derivative · entry 1

Riggs Josh · CIK 0001956391 · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,485

Underlying: Common Stock · 257,485 shares

Expires 2033-01-17

F1 · derivative.exercise_date: The options will become exercisable in three equal installments on each of January 17, 2024, January 17, 2025 and January 17, 2026, subject to continuous service through the applicable vesting date.

SEC source: 0001493152-23-001942 · ownership.xml · derivative · entry 1

John Anish M. · CIK 0001933248 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,466

Underlying: Common Stock · 250,466 shares

Expires 2033-01-17

F1 · derivative.exercise_date: The options will become exercisable in three equal installments on each of January 17, 2024, January 17, 2025 and January 17, 2026, subject to continuous service through the applicable vesting date.

SEC source: 0001493152-23-001944 · ownership.xml · derivative · entry 1

Liu James Yang · CIK 0001944774 · Controller, PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,065

Underlying: Common Stock · 57,065 shares

Expires 2033-01-17

F1 · derivative.exercise_date: The options will become exercisable in three equal installments on each of January 17, 2024, January 17, 2025 and January 17, 2026, subject to continuous service through the applicable vesting date.

SEC source: 0001493152-22-036655 · ownership.xml · nonDerivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 532,049

F1 · price: The price of $0.3515 per share represents a weighted average of prices ranging from $0.29 to $0.4284 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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: 0001493152-22-036653 · ownership.xml · nonDerivative · entry 1

Gutfreund John Peter · CIK 0001940797 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 75,000

F1 · price: The price of $0.3297 per share represents a weighted average of prices ranging from $0.31 to $0.33 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

F2 · ownership.nature: The shares of common stock are held by Newtown Road 130 Holdings LLC. The Reporting Person is the Managing Member of Newtown Road 130 Holdings LLC and in such capacity has the right to vote and dispose of the securities held by such entity.

SEC source: 0001493152-22-036605 · ownership.xml · nonDerivative · entry 1

KINGSLEY ALFRED D · CIK 0001229339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,111

SEC source: 0001493152-22-036367 · ownership.xml · nonDerivative · entry 1

Ross Douglas T. · CIK 0001808413 · Former CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,114

F1 · security: The restricted stock units will vest as follows: (i) one-third on January 31, 2023, (ii) one-third on February 28, 2023, and (ii) one-third on March 31, 2023 (each such date, a "Vesting Date"), in each case, subject to the Reporting Person's continuous service as a consultant on each applicable Vesting Date.

SEC source: 0001493152-22-035991 · ownership.xml · derivative · entry 5

Ross Douglas T. · CIK 0001808413 · Former CSO.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F2 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

F2 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

SEC source: 0001493152-22-035991 · ownership.xml · derivative · entry 4

Ross Douglas T. · CIK 0001808413 · Former CSO.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F2 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

F2 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

SEC source: 0001493152-22-035991 · ownership.xml · derivative · entry 3

Ross Douglas T. · CIK 0001808413 · Former CSO.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,562

Underlying: Common Stock · 143,438 shares

Expires not disclosed

F2 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

F2 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

SEC source: 0001493152-22-035991 · ownership.xml · derivative · entry 2

Ross Douglas T. · CIK 0001808413 · Former CSO.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,666

Underlying: Common Stock · 83,334 shares

Expires not disclosed

F2 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

F2 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

SEC source: 0001493152-22-035990 · ownership.xml · derivative · entry 4

Paulsen Gisela · CIK 0001807104 · Former President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires not disclosed

F2 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

F2 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

SEC source: 0001493152-22-035990 · ownership.xml · derivative · entry 3

Paulsen Gisela · CIK 0001807104 · Former President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,687

Underlying: Common Stock · 70,313 shares

Expires not disclosed

F2 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

F2 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

SEC source: 0001493152-22-035990 · ownership.xml · derivative · entry 2

Paulsen Gisela · CIK 0001807104 · Former President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,125

Underlying: Common Stock · 171,875 shares

Expires not disclosed

F2 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

F2 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining options immediately vested and became exercisable as of December 16, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 12

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-12-07

F3 · derivative.exercise_date: Options vest (and thereby become exercisable) as follows: (i) one-third on December 31, 2022, (ii) one-third on January 31, 2023, and (iii) one-third on February 28, 2023 (each such date, a "Vesting Date"), in each case, subject to the Reporting Person's continuous service as a consultant on each applicable Vesting Date.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 11

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 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.

F2 · derivative.exercise_date: The restricted stock units were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining restricted stock units immediately vested on December 1, 2022.

F2 · derivative.expiration_date: The restricted stock units were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining restricted stock units immediately vested on December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 10

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining restricted stock units immediately vested on December 1, 2022.

F2 · derivative.expiration_date: The restricted stock units were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining restricted stock units immediately vested on December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 9

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining restricted stock units immediately vested on December 1, 2022.

F2 · derivative.expiration_date: The restricted stock units were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining restricted stock units immediately vested on December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 8

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,250

Underlying: Common Stock · 93,750 shares

Expires not disclosed

F1 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

F1 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 7

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

F1 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 6

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

F1 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 5

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

F1 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 4

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 950,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

F1 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 3

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

F1 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · derivative · entry 2

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

F1 · derivative.expiration_date: The options were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 1, 2022. Any remaining options immediately vested and became exercisable as of December 1, 2022.

SEC source: 0001493152-22-035089 · ownership.xml · nonDerivative · entry 1

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · Former CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 583,212

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.

SEC source: 0001493152-22-035991 · ownership.xml · nonDerivative · entry 1

Ross Douglas T. · CIK 0001808413 · Former CSO.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,317

F1 · security: The restricted stock units were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining restricted stock units immediately vested on December 16, 2022.

SEC source: 0001493152-22-035990 · ownership.xml · nonDerivative · entry 1

Paulsen Gisela · CIK 0001807104 · Former President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,500

F1 · security: The restricted stock units were forfeited by mutual agreement of the Reporting Person and the Issuer in connection with a severance agreement entered into as a result of the Reporting Person's resignation as an officer and director of the Issuer on December 16, 2022. Any remaining restricted stock units immediately vested on December 16, 2022.

SEC source: 0001493152-22-023522 · ownership.xml · nonDerivative · entry 2

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 15,000

F1 · price: The price of $0.90 per share represents a weighted average of prices ranging from $0.88 to $0.92 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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: The shares of common stock are held by MJA Investments LLC. The Reporting Person is the Manager of MJA Investments LLC and in such capacity has the right to vote and dispose of the securities held by such entity.

SEC source: 0001493152-22-023522 · ownership.xml · nonDerivative · entry 1

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 15,000

F1 · price: The price of $0.90 per share represents a weighted average of prices ranging from $0.88 to $0.92 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

F2 · ownership.nature: The shares of common stock are held by JBA Investments LLC. The Reporting Person is the Manager of JBA Investments LLC and in such capacity has the right to vote and dispose of the securities held by such entity.

SEC source: 0001493152-22-023524 · ownership.xml · nonDerivative · entry 1

Last Andrew J. · CIK 0001485088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,170

SEC source: 0001493152-22-023376 · ownership.xml · nonDerivative · entry 2

Carter Jennifer L. · CIK 0001806505 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,500

SEC source: 0001493152-22-023373 · ownership.xml · nonDerivative · entry 3

Arno Andrew · CIK 0001472122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,049

F3 · price: The price of $0.97 per share represents a weighted average of prices ranging from $0.93 to $1.00 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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.

SEC source: 0001493152-22-023378 · ownership.xml · nonDerivative · entry 2

GRIFFITH MELINDA · CIK 0001783697 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

SEC source: 0001493152-22-023462 · ownership.xml · nonDerivative · entry 1

ANDREWS RONALD ASBURY · CIK 0001299153 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,212

SEC source: 0001493152-22-023389 · ownership.xml · nonDerivative · entry 1

Ross Douglas T. · CIK 0001808413 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,317

F1 · security: The Restricted Stock Units shall vest on January 1, 2024 based on the achievement of a pre-determined financial objective related to the Issuer's available cash.

SEC source: 0001493152-22-023381 · ownership.xml · derivative · entry 2

John Anish M. · CIK 0001933248 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-08-15

F2 · derivative.exercise_date: 25% of the options will become exercisable after one year of continuous service from the effective date of grant, and the balance will become exercisable in 36 equal monthly installments commencing one year after the date of grant subject to continuous service through the applicable vesting date.

SEC source: 0001493152-22-023381 · ownership.xml · nonDerivative · entry 1

John Anish M. · CIK 0001933248 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

F1 · security: The Restricted Stock Units shall vest on January 1, 2024 based on the achievement of a pre-determined financial objective related to the Issuer's available cash.

SEC source: 0001493152-22-023387 · ownership.xml · nonDerivative · entry 2

Paulsen Gisela · CIK 0001807104 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 541,500

F2 · security: The Restricted Stock Units shall vest on January 1, 2024 based on the achievement of a pre-determined financial objective related to the Issuer's available cash.

SEC source: 0001493152-22-023387 · ownership.xml · nonDerivative · entry 1

Paulsen Gisela · CIK 0001807104 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,500

F1 · security: The Restricted Stock Units shall vest one year from the date of grant, subject to the Reporting Person's continued service from the date of grant until the vesting date.

SEC source: 0001493152-22-023376 · ownership.xml · derivative · entry 3

Carter Jennifer L. · CIK 0001806505 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-08-15

F2 · derivative.exercise_date: Options shall vest one year from the date of grant, subject to the Reporting Person's continued service as a director of the Issuer from the date of grant until the vesting date or, if earlier, until the next annual meeting of shareholders.