IRD

SEC source: 0001140361-20-025729 · form4.xml · derivative · entry 1

Zaremba Rabourn Amy · CIK 0001832343 · VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-11-11

F1 · derivative.exercise_date: 1,562 shares vest each month-end from November 2020 through October 2024.

SEC source: 0001596771-20-000109 · primary_doc.xml · derivative · entry 3

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,475

Underlying: Common Stock · 158,475 shares

Expires 2029-12-27

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F3 · derivative.exercise_date: 19,017 shares vested on December 31, 2019, and the remaining shares vest in equal monthly installments from January 2020 through December 2021, subject to continued service.

SEC source: 0001596771-20-000109 · primary_doc.xml · derivative · entry 2

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,284

Underlying: Common Stock · 178,284 shares

Expires 2028-10-01

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001596771-20-000109 · primary_doc.xml · nonDerivative · entry 1

Sooch Mina · CIK 0001674006 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 788,520

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

SEC source: 0001596771-20-000113 · primary_doc.xml · derivative · entry 3

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,825

Underlying: Common Stock · 52,825 shares

Expires 2029-12-27

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F3 · derivative.exercise_date: 1,479 shares vested on December 31, 2019, and the remaining shares vest in equal monthly installments from January 2020 through December 2022, subject to continued service.

SEC source: 0001596771-20-000113 · primary_doc.xml · derivative · entry 2

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,663

Underlying: Common Stock · 35,663 shares

Expires 2028-12-20

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001596771-20-000113 · primary_doc.xml · nonDerivative · entry 1

MANUSO JAMES S J · CIK 0001236365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,136

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

SEC source: 0001596771-20-000114 · primary_doc.xml · derivative · entry 3

MEYER ALAN R · CIK 0001212162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,695

Underlying: Common Stock · 31,695 shares

Expires 2029-12-27

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F3 · derivative.exercise_date: 3,803 shares vested on December 31, 2019, and the remaining shares vest in equal monthly installments from January 2020 through December 2021, subject to continued service.

SEC source: 0001596771-20-000114 · primary_doc.xml · derivative · entry 2

MEYER ALAN R · CIK 0001212162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,663

Underlying: Common Stock · 35,663 shares

Expires 2028-10-01

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001596771-20-000114 · primary_doc.xml · nonDerivative · entry 1

MEYER ALAN R · CIK 0001212162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 485,258

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

SEC source: 0001596771-20-000112 · primary_doc.xml · derivative · entry 3

Gallagher Cam · CIK 0001557832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,825

Underlying: Common Stock · 52,825 shares

Expires 2029-12-27

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire, pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F3 · derivative.exercise_date: 1,479 shares vested on December 31, 2019, and the remaining shares vest in equal monthly installments from January 2020 through December 2022, subject to continued service.

SEC source: 0001596771-20-000112 · primary_doc.xml · derivative · entry 2

Gallagher Cam · CIK 0001557832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,663

Underlying: Common Stock · 35,663 shares

Expires 2028-12-20

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire, pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001596771-20-000112 · primary_doc.xml · nonDerivative · entry 1

Gallagher Cam · CIK 0001557832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,489

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire, pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

SEC source: 0001596771-20-000111 · primary_doc.xml · derivative · entry 3

Ainsworth Sean · CIK 0001830296 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,825

Underlying: Common Stock · 52,825 shares

Expires 2029-12-27

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F3 · derivative.exercise_date: 5,282 shares vested on December 31, 2019, and the remaining shares vest in equal monthly installments from January 2020 through December 2022 subject to continued service.

SEC source: 0001596771-20-000111 · primary_doc.xml · derivative · entry 2

Ainsworth Sean · CIK 0001830296 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,663

Underlying: Common Stock · 35,663 shares

Expires 2028-10-01

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001596771-20-000111 · primary_doc.xml · nonDerivative · entry 1

Ainsworth Sean · CIK 0001830296 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,800

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

SEC source: 0001596771-20-000110 · primary_doc.xml · derivative · entry 4

Hoffmann Bernhard · CIK 0001830354 · VP of Corp. Dev. and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,226

Underlying: Common Stock · 4,226 shares

Expires 2020-06-30

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F4 · derivative.exercise_date: 1,373 shares vested on June 30, 2020, and the remaining shares vest in equal monthly installments from July 2020 through December 2021, subject to continued service.

SEC source: 0001596771-20-000110 · primary_doc.xml · derivative · entry 3

Hoffmann Bernhard · CIK 0001830354 · VP of Corp. Dev. and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,110

Underlying: Common Stock · 30,110 shares

Expires 2029-12-27

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F3 · derivative.exercise_date: 3,486 shares vested on December 31, 2019, and the remaining shares vest in equal monthly installments from January 2020 through December 2021, subject to continued service.

SEC source: 0001596771-20-000110 · primary_doc.xml · derivative · entry 2

Hoffmann Bernhard · CIK 0001830354 · VP of Corp. Dev. and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,867

Underlying: Common Stock · 42,867 shares

Expires 2028-10-01

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001596771-20-000110 · primary_doc.xml · nonDerivative · entry 1

Hoffmann Bernhard · CIK 0001830354 · VP of Corp. Dev. and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,120

F1 · price: The reporting person acquired the shares and options to acquire shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares and options to acquire shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc. and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

SEC source: 0001596771-20-000108 · primary_doc.xml · nonDerivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,910

F1 · price: The reporting person acquired the shares of the common stock of Rexahn Pharmaceuticals, Inc. ("Rexahn") on November 5, 2020, in exchange for shares of the common stock of Ocuphire Pharma, Inc. ("Ocuphire"), pursuant to the Agreement and Plan of Merger and Reorganization, dated as of June 17, 2020, as amended, between Rexahn, Razor Merger Sub, Inc., and Ocuphire pursuant to which Ocuphire became a wholly-owned subsidiary of Rexahn. Per the terms of the Merger Agreement, each share of Ocuphire common stock was converted into the right to receive 1.0565 shares of Rexahn common stock. Subsequent to the merger, the name of the issuer was changed from Rexahn Pharmaceuticals, Inc. to Ocuphire Pharma, Inc.

SEC source: 0001140361-19-010669 · form4.xml · derivative · entry 1

Price Ben Gil · CIK 0001417915 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,537

Underlying: Common Stock · 3,537 shares

Expires 2029-06-06

SEC source: 0001140361-19-010671 · form4.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,537

Underlying: Common Stock · 3,537 shares

Expires 2029-06-06

SEC source: 0001140361-19-010676 · form4.xml · derivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,537

Underlying: Common Stock · 3,537 shares

Expires 2029-06-06

SEC source: 0001140361-19-010678 · form4.xml · derivative · entry 1

Cheong Kwang Soo · CIK 0001361686 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,537

Underlying: Common Stock · 3,537 shares

Expires 2029-06-06

SEC source: 0001140361-19-010673 · form4.xml · derivative · entry 1

Sullivan Lara · CIK 0001769457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,537

Underlying: Common Stock · 3,537 shares

Expires 2029-06-06

SEC source: 0001140361-19-010668 · form4.xml · derivative · entry 1

Beever Charles · CIK 0001361687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,537

Underlying: Common Stock · 3,537 shares

Expires 2029-06-06

SEC source: 0001140361-19-004276 · form4.xml · derivative · entry 2

Nolan Lisa · CIK 0001661400 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,250

Underlying: Common Stock · 1,625 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On January 20, 2017, the reporting person was granted 6,500 RSUs, of which 1,625 vested on February 28, 2018 and 1,625 vested on February 28, 2019. The remaining RSUs will vest in two equal annual installments on the last business day in February, beginning February 28, 2020.

F2 · derivative.expiration_date: On January 20, 2017, the reporting person was granted 6,500 RSUs, of which 1,625 vested on February 28, 2018 and 1,625 vested on February 28, 2019. The remaining RSUs will vest in two equal annual installments on the last business day in February, beginning February 28, 2020.

SEC source: 0001140361-19-004276 · form4.xml · nonDerivative · entry 1

Nolan Lisa · CIK 0001661400 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,250

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: 0001140361-19-004274 · form4.xml · derivative · entry 2

Benaim Ely · CIK 0001632237 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,750

Underlying: Common Stock · 2,375 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On January 20, 2017, the reporting person was granted 9,500 RSUs, of which 2,375 vested on February 28, 2018 and 2,375 vested on February 28, 2019. The remaining RSUs will vest in two equal annual installments on the last business day in February, beginning February 28, 2020.

F2 · derivative.expiration_date: On January 20, 2017, the reporting person was granted 9,500 RSUs, of which 2,375 vested on February 28, 2018 and 2,375 vested on February 28, 2019. The remaining RSUs will vest in two equal annual installments on the last business day in February, beginning February 28, 2020.

SEC source: 0001140361-19-004274 · form4.xml · nonDerivative · entry 1

Benaim Ely · CIK 0001632237 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,750

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: 0001140361-19-004271 · form4.xml · derivative · entry 1

Sullivan Lara · CIK 0001769457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,968

Underlying: Common Stock · 84,968 shares

Expires 2019-02-27

F1 · derivative.exercise_date: Options will vest and become exercisable based on the following schedule: 28,322 on February 27, 2020, 28,323 on February 27, 2021, and 28,323 on February 27, 2022.

SEC source: 0001140361-19-002419 · form4.xml · nonDerivative · entry 1

Beever Charles · CIK 0001361687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

SEC source: 0001140361-19-002080 · form4.xml · nonDerivative · entry 1

Nolan Lisa · CIK 0001661400 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,625

F1 · price: The price of $0.648 per share represents a weighted average of purchase prices ranging from $0.635 to $0.650 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price

SEC source: 0001140361-19-001802 · form4.xml · nonDerivative · entry 1

Swirsky Douglas J · CIK 0001375884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: The price of $0.6344 per share represents a weighted average of purchase prices ranging from $0.6097 to $0.6386 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001140361-19-002082 · form4.xml · nonDerivative · entry 1

Price Ben Gil · CIK 0001417915 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · price: The price of $0.6094 per share represents a weighted average of purchase prices ranging from $0.6016 to $0.6100 per share. The reporting person undertakes to provide upon request by the Commission staff, the issuer, or any security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001140361-19-001635 · form4.xml · derivative · entry 1

Nolan Lisa · CIK 0001661400 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2029-01-25

F1 · derivative.exercise_date: One quarter of the option vests and becomes exercisable on January 25, 2020, and, thereafter, 1/36th of the remaining option vests in equal installments on each monthly anniversary of such date until fully vested.

SEC source: 0001140361-19-001633 · form4.xml · derivative · entry 1

Benaim Ely · CIK 0001632237 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-01-25

F1 · derivative.exercise_date: One quarter of the option vests and becomes exercisable on January 25, 2020, and, thereafter, 1/36th of the remaining option vests in equal installments on each monthly anniversary of such date until fully vested.

SEC source: 0001140361-18-044426 · form4.xml · derivative · entry 1

Price Ben Gil · CIK 0001417915 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,878

Underlying: Common Stock · 112,878 shares

Expires 2028-11-29

F1 · derivative.exercise_date: Options will vest and become exercisable based on the following schedule: 37,626 on November 29, 2019, 37,626 on November 29, 2020, and 37,626 on November 29, 2021.

SEC source: 0001140361-18-043286 · form4.xml · derivative · entry 1

Swirsky Douglas J · CIK 0001375884 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-11-14

F1 · derivative.exercise_date: One quarter of the option vests and becomes exercisable on November 14, 2019, and, thereafter, 1/36th of the remaining option vests in equal installments on the first business day of each month following such date until fully vested.

SEC source: 0001140361-18-030732 · form4.xml · derivative · entry 1

Brandt Peter C. · CIK 0001434099 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,742

Underlying: Common Stock · 39,742 shares

Expires 2028-06-28

SEC source: 0001140361-18-030736 · form4.xml · derivative · entry 1

Beever Charles · CIK 0001361687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,742

Underlying: Common Stock · 39,742 shares

Expires 2028-06-28

SEC source: 0001140361-18-030728 · form4.xml · derivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,742

Underlying: Common Stock · 39,742 shares

Expires 2028-06-28

SEC source: 0001140361-18-030725 · form4.xml · derivative · entry 1

Cheong Kwang Soo · CIK 0001361686 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,742

Underlying: Common Stock · 39,742 shares

Expires 2028-06-28

SEC source: 0001140361-18-012871 · form4.xml · derivative · entry 1

Benaim Ely · CIK 0001632237 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-03-07

F1 · derivative.exercise_date: One quarter of the option vests and becomes exercisable on March 7, 2019, and, thereafter, 1/36th of the remaining option vests in equal installments on the first business day of each month until fully vested.

SEC source: 0001140361-18-011646 · form4.xml · derivative · entry 2

Suzdak Peter David · CIK 0001296629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 6,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On January 20, 2017, the reporting person was granted 25,000 RSUs, of which 6,250 vested on February 28, 2018. The remaining RSUs will vest in three equal annual installments on the last business day in February, beginning February 28, 2019.

F2 · derivative.expiration_date: On January 20, 2017, the reporting person was granted 25,000 RSUs, of which 6,250 vested on February 28, 2018. The remaining RSUs will vest in three equal annual installments on the last business day in February, beginning February 28, 2019.

SEC source: 0001140361-18-011646 · form4.xml · nonDerivative · entry 1

Suzdak Peter David · CIK 0001296629 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,250

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: 0001140361-18-011675 · form4.xml · derivative · entry 2

Nolan Lisa · CIK 0001661400 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,875

Underlying: Common Stock · 1,625 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On January 20, 2017, the reporting person was granted 6,500 RSUs, of which 1,625 vested on February 28, 2018. The remaining RSUs will vest in three equal annual installments on the last business day in February, beginning February 28, 2019.

F2 · derivative.expiration_date: On January 20, 2017, the reporting person was granted 6,500 RSUs, of which 1,625 vested on February 28, 2018. The remaining RSUs will vest in three equal annual installments on the last business day in February, beginning February 28, 2019.

SEC source: 0001140361-18-011675 · form4.xml · nonDerivative · entry 1

Nolan Lisa · CIK 0001661400 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,625

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: 0001140361-18-011667 · form4.xml · derivative · entry 2

Benaim Ely · CIK 0001632237 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,125

Underlying: Common Stock · 2,375 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock.

F2 · derivative.exercise_date: On January 20, 2017, the reporting person was granted 9,500 RSUs, of which 2,375 vested on February 28, 2018. The remaining RSUs will vest in three equal annual installments on the last business day in February, beginning February 28, 2019.

F2 · derivative.expiration_date: On January 20, 2017, the reporting person was granted 9,500 RSUs, of which 2,375 vested on February 28, 2018. The remaining RSUs will vest in three equal annual installments on the last business day in February, beginning February 28, 2019.