IMUX

SEC source: 0000921895-26-002590 · form407422010_09182026.xml · derivative · entry 4

BVF PARTNERS L P/IL · CIK 0001055947 · Director · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · Director · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · Director · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · Director · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · Director · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · Director · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · Director · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · Director · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · Director · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · Director · See Explanation of Responses

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 25,370

Underlying: Common Stock, $0.0001 par value · 25,370 shares

Expires 2036-09-16

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F6 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

F7 · ownership.nature: Partners, BVF Inc. and Mr. Lampert may be deemed to have a pecuniary interest in the securities reported owned herein due to a certain agreement between Partners and R. Thorvald Nagel, who serves on the Issuer's board of directors and as a Principal of Partners, pursuant to which Mr. Nagel is obligated to transfer the economic benefit, if any, received upon the sale of the shares issuable upon exercise of the securities reported owned herein to Partners. As such, Mr. Nagel disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein.

SEC source: 0001193805-26-001069 · e665686_4-ridloff.xml · derivative · entry 1

Ridloff Elena · CIK 0001772518 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,740

Underlying: Common Stock · 50,740 shares

Expires 2036-08-06

F1 · derivative.exercise_date: The options vest in monthly increments over a period of three years from the grant date.

SEC source: 0001193805-26-000932 · e665635_4-skerjanec.xml · derivative · entry 1

Skerjanec Simona · CIK 0002022163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-07-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-26-000931 · e665634_4-rudick.xml · derivative · entry 1

Rudick Richard Alan · CIK 0001975263 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-07-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-26-000930 · e665633_4-phillips.xml · derivative · entry 1

PHILLIPS BARCLAY A · CIK 0001265801 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-07-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-26-000928 · e665631_4-congleton.xml · derivative · entry 1

Congleton Jon · CIK 0001644975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-07-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-26-000929 · e665632_4-jorg.xml · derivative · entry 1

Neermann Joerg · CIK 0001773900 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-07-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-26-000891 · e665611_4-skerjanec.xml · derivative · entry 1

Skerjanec Simona · CIK 0002022163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-03-27

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors on March 27, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The option is fully vested as of March 27, 2026.

SEC source: 0001193805-26-000892 · e665612_4-congleton.xml · derivative · entry 1

Congleton Jon · CIK 0001644975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,740

Underlying: Common Stock · 50,740 shares

Expires 2036-03-27

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors on March 27, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The options vest in thirty-six (36) equal installments on each monthly anniversary of March 27, 2026.

SEC source: 0001193805-26-000890 · e665610_4-rudick.xml · derivative · entry 1

Rudick Richard Alan · CIK 0001975263 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-03-27

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors on March 27, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The option is fully vested as of March 27, 2026.

SEC source: 0001193805-26-000889 · e665609_4-howson.xml · derivative · entry 1

HOWSON TAMAR D · CIK 0001202286 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-03-27

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors on March 27, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The option is fully vested as of March 27, 2026.

SEC source: 0001193805-26-000888 · e665608_4-jorg.xml · derivative · entry 1

Neermann Joerg · CIK 0001773900 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-03-27

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors on March 27, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The option is fully vested as of March 27, 2026.

SEC source: 0001193805-26-000887 · e665607_4-phillips.xml · derivative · entry 1

PHILLIPS BARCLAY A · CIK 0001265801 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,370

Underlying: Common Stock · 25,370 shares

Expires 2036-03-27

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors on March 27, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The option is fully vested as of March 27, 2026.

SEC source: 0001193805-26-000886 · e665606_4-jason.xml · derivative · entry 1

Tardio Jason · CIK 0001794698 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 253,000

Underlying: Common Stock · 253,000 shares

Expires 2036-04-02

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The shares underlying this option vest 25% on April 2, 2027, and the remainder vest in equal increments on each successive one-month anniversary thereafter for the next thirty-six months.

SEC source: 0001193805-26-000885 · e665605_4-whaley.xml · derivative · entry 1

Whaley Glenn · CIK 0001724623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2036-04-02

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The shares underlying this option vest 25% on April 2, 2027, and the remainder vest in equal increments on each successive one-month anniversary thereafter for the next thirty-six months.

SEC source: 0001193805-26-000884 · e665604_4-vitt.xml · derivative · entry 1

Vitt Daniel · CIK 0001773673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 445,000

Underlying: Common Stock · 445,000 shares

Expires 2036-04-02

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The shares underlying this option vest 25% on April 2, 2027, and the remainder vest in equal increments on each successive one-month anniversary thereafter for the next thirty-six months.

SEC source: 0001193805-26-000883 · e665603_4-bonney.xml · derivative · entry 1

BONNEY MICHAEL W · CIK 0001219016 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2036-05-15

F1 · shares: Represents options to purchase shares of common stock conditionally approved by the Board of Directors on May 15, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.

F2 · derivative.exercise_date: The options vest in thirty-six (36) equal installments on each monthly anniversary of May 15, 2026.

SEC source: 0001193805-26-000731 · e665512_4-lundgren.xml · derivative · entry 1

Lundgren Erik · CIK 0002137540 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires 2036-05-22

F1 · derivative.exercise_date: The options disclosed on this Form 4 are time vested; twenty-five percent (25%) of the shares underlying the options awarded to the Reporting Person will vest on May 22, 2027, and the remaining seventy-five percent (75%) vesting on a monthly basis in thirty-six (36) equal installments, subject to the Reporting Person remaining an employee of Immunic, Inc. in good standing through the relevant vesting date. The Reporting Person became a director and a Section 16 insider on June 1, 2026.

SEC source: 0001193805-26-000529 · e665406_4-panzara.xml · derivative · entry 1

Panzara Michael A. · CIK 0001679039 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2036-04-24

F1 · derivative.exercise_date: The options disclosed on this Form 4 are time vested; 50 percent of the shares underlying the options awarded to the Reporting Person will vest on April 24, 2027, and 50 percent of them will vest in 24 equal monthly installments, subject to the Reporting Person remaining an employee of Immunic, Inc. in good standing through the relevant vesting date.

SEC source: 0001193805-25-001066 · e664706_4-muehler.xml · derivative · entry 5

Muehler Andreas · CIK 0001850468 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Stock · 330,000 shares

Expires 2035-07-16

F5 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the third tranche of the January 2024 Offering.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001066 · e664706_4-muehler.xml · derivative · entry 4

Muehler Andreas · CIK 0001850468 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Stock · 330,000 shares

Expires 2035-07-16

F4 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the second tranche of the Issuer's January 4, 2024 private placement (the "January 2024 Offering").

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001066 · e664706_4-muehler.xml · derivative · entry 3

Muehler Andreas · CIK 0001850468 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 660,000

Underlying: Common Stock · 660,000 shares

Expires 2035-07-16

F3 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series B purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001066 · e664706_4-muehler.xml · derivative · entry 2

Muehler Andreas · CIK 0001850468 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 660,000

Underlying: Common Stock · 660,000 shares

Expires 2035-07-16

F2 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series A purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001066 · e664706_4-muehler.xml · derivative · entry 1

Muehler Andreas · CIK 0001850468 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Stock · 330,000 shares

Expires 2035-07-16

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001069 · e664709_4-whaley.xml · derivative · entry 5

Whaley Glenn · CIK 0001724623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2035-07-16

F5 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the third tranche of the January 2024 Offering.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001069 · e664709_4-whaley.xml · derivative · entry 4

Whaley Glenn · CIK 0001724623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2035-07-16

F4 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the second tranche of the Issuer's January 4, 2024 private placement (the "January 2024 Offering").

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001069 · e664709_4-whaley.xml · derivative · entry 3

Whaley Glenn · CIK 0001724623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 560,000

Underlying: Common Stock · 560,000 shares

Expires 2035-07-16

F3 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series B purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001069 · e664709_4-whaley.xml · derivative · entry 2

Whaley Glenn · CIK 0001724623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 560,000

Underlying: Common Stock · 560,000 shares

Expires 2035-07-16

F2 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series A purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001069 · e664709_4-whaley.xml · derivative · entry 1

Whaley Glenn · CIK 0001724623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2035-07-16

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 5

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 315,000 shares

Expires 2035-07-16

F5 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the third tranche of the January 2024 Offering.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 4

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 315,000 shares

Expires 2035-07-16

F4 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the second tranche of the Issuer's January 4, 2024 private placement (the "January 2024 Offering").

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 3

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 630,000

Underlying: Common Stock · 630,000 shares

Expires 2035-07-16

F3 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series B purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 2

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 630,000

Underlying: Common Stock · 630,000 shares

Expires 2035-07-16

F2 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series A purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 315,000 shares

Expires 2035-07-16

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001067 · e664707_4-vitt.xml · derivative · entry 5

Vitt Daniel · CIK 0001773673 · Director · CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 860,000

Underlying: Common Stock · 860,000 shares

Expires 2035-07-16

F5 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the third tranche of the January 2024 Offering.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001067 · e664707_4-vitt.xml · derivative · entry 4

Vitt Daniel · CIK 0001773673 · Director · CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 860,000

Underlying: Common Stock · 860,000 shares

Expires 2035-07-16

F4 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the second tranche of the Issuer's January 4, 2024 private placement (the "January 2024 Offering").

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001067 · e664707_4-vitt.xml · derivative · entry 3

Vitt Daniel · CIK 0001773673 · Director · CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,720,000

Underlying: Common Stock · 1,720,000 shares

Expires 2035-07-16

F3 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series B purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001067 · e664707_4-vitt.xml · derivative · entry 2

Vitt Daniel · CIK 0001773673 · Director · CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,720,000

Underlying: Common Stock · 1,720,000 shares

Expires 2035-07-16

F2 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series A purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001067 · e664707_4-vitt.xml · derivative · entry 1

Vitt Daniel · CIK 0001773673 · Director · CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 860,000

Underlying: Common Stock · 860,000 shares

Expires 2035-07-16

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001065 · e664705_4-jason.xml · derivative · entry 5

Tardio Jason · CIK 0001794698 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Stock · 330,000 shares

Expires 2035-07-16

F5 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the third tranche of the January 2024 Offering.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001065 · e664705_4-jason.xml · derivative · entry 4

Tardio Jason · CIK 0001794698 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Stock · 330,000 shares

Expires 2035-07-16

F4 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the second tranche of the Issuer's January 4, 2024 private placement (the "January 2024 Offering").

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001065 · e664705_4-jason.xml · derivative · entry 3

Tardio Jason · CIK 0001794698 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 660,000

Underlying: Common Stock · 660,000 shares

Expires 2035-07-16

F3 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series B purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001065 · e664705_4-jason.xml · derivative · entry 2

Tardio Jason · CIK 0001794698 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 660,000

Underlying: Common Stock · 660,000 shares

Expires 2035-07-16

F2 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series A purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001065 · e664705_4-jason.xml · derivative · entry 1

Tardio Jason · CIK 0001794698 · President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Stock · 330,000 shares

Expires 2035-07-16

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-000885 · e664632_4-duane.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,032

F1 · shares: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.83 to $0.84. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price.

SEC source: 0001193805-25-000800 · e664594_4-jorg.xml · nonDerivative · entry 2

Neermann Joerg · CIK 0001773900 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

F3 · price: The purchase was made in Euros and the price was converted into U.S. dollars based on the foreign currency exchange rate as of June 5, 2025 (at Euro 1.00 = U.S. dollar 1.1477).

SEC source: 0001193805-25-000821 · e664605_4-vitt.xml · derivative · entry 3

Vitt Daniel · CIK 0001773673 · Director · CEO and Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,535,000

Underlying: Common Stock · 1,535,000 shares

Expires 2035-06-05

F3 · derivative.exercise_date: 25% of the shares underlying the option vest on the first anniversary of the grant date, with the remainder vesting in equal increments on each successive one-month anniversary thereafter for the next 36 months.

SEC source: 0001193805-25-000842 · e664611_4-skerjanec.xml · derivative · entry 1

Skerjanec Simona · CIK 0002022163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2035-06-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-25-000840 · e664609_4-toernsen.xml · derivative · entry 1

Toernsen Monika Maria · CIK 0001873385 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2035-06-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-25-000834 · e664602_4-muehler.xml · derivative · entry 1

Muehler Andreas · CIK 0001850468 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 595,000

Underlying: Common Stock · 595,000 shares

Expires 2035-06-05

F1 · derivative.exercise_date: 25% of the shares underlying the option vest on the first anniversary of the grant date, with the remainder vesting in equal increments on each successive one-month anniversary thereafter for the next 36 months.