JAGX

SEC source: 0000950170-25-049808 · ownership.xml · derivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 3,600 shares

Expires not disclosed

F1 · derivative.exercise_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,600 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,600 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

SEC source: 0000950170-25-049807 · ownership.xml · derivative · entry 2

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2030-03-31

F2 · price: As an inducement to enter into the Purchase Agreement, the reporting person received a warrant (the "Warrant") to purchase up to 9,000 shares of Common Stock with an exercise price of $5.43 per share. The Warrant is exercisable immediately upon issuance and will expire on the earlier of (i) five years from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

F3 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16

SEC source: 0000950170-25-049807 · ownership.xml · derivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 9,000 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 9,000 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F3 · ownership.nature: Securities held directly by JBS Healthcare Ventures LLC. Mr. Siegel, by virtue of his position as the sole member of JBS Healthcare Ventures LLC, may be deemed to beneficially own the securities held by JBS Healthcare Ventures LLC for purposes of Section 16

SEC source: 0000950170-25-049803 · ownership.xml · derivative · entry 2

Wolin Jonathan S. · CIK 0001787587 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires 2030-03-31

F2 · price: As an inducement to enter into the Purchase Agreement, the reporting person received a warrant (the "Warrant") to purchase up to 9,000 shares of Common Stock with an exercise price of $5.43 per share. The Warrant is exercisable immediately upon issuance and will expire on the earlier of (i) five years from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

SEC source: 0000950170-25-049803 · ownership.xml · derivative · entry 1

Wolin Jonathan S. · CIK 0001787587 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 9,000 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 9,000 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

SEC source: 0000950170-25-049805 · ownership.xml · derivative · entry 2

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 3,600 shares

Expires 2030-03-31

F2 · price: As an inducement to enter into the Purchase Agreement, the reporting person received a warrant (the "Warrant") to purchase up to 3,600 shares of Common Stock with an exercise price of $5.43 per share. The Warrant is exercisable immediately upon issuance and will expire on the earlier of (i) five years from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

SEC source: 0000950170-25-049805 · ownership.xml · derivative · entry 1

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 3,600 shares

Expires not disclosed

F1 · derivative.exercise_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,600 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 3,600 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

SEC source: 0000950170-25-049802 · ownership.xml · derivative · entry 2

Lizak Carol R. · CIK 0001785794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,400

Underlying: Common Stock · 5,400 shares

Expires 2030-03-31

F2 · price: As an inducement to enter into the Purchase Agreement, the reporting person received a warrant (the "Warrant") to purchase up to 5,400 shares of Common Stock with an exercise price of $5.43 per share. The Warrant is exercisable immediately upon issuance and will expire on the earlier of (i) five years from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

SEC source: 0000950170-25-049802 · ownership.xml · derivative · entry 1

Lizak Carol R. · CIK 0001785794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,400

Underlying: Common Stock · 5,400 shares

Expires not disclosed

F1 · derivative.exercise_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 5,400 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 5,400 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

SEC source: 0000950170-24-114187 · ownership.xml · derivative · entry 2

CONTE LISA A · CIK 0001008377 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,020

Underlying: Common Stock · 132,020 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F5 · derivative.exercise_date: The options will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0000950170-24-114187 · ownership.xml · nonDerivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,624

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F3 · date: Each restricted stock unit represents a contingent right to receive one share of the issuer's voting common stock. The restricted stock units vest in three equal annual installments beginning on October 8, 2025. Vested shares will be delivered to the reporting person on the vesting date or dates provided in the grant notice.

F4 · balance_after: On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the " Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0000950170-24-114185 · ownership.xml · derivative · entry 1

MICEK JOHN · CIK 0001243187 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,500

Underlying: Common Stock · 26,500 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on October 8, 2024.

F3 · derivative.exercise_date: The options will vest 100% on the first anniversary of the grant date, so long as the reporting person continues to serve on the board of directors of the issuer and Napo Therapeutics, S.p.A., the issuer's subsidiary, as applicable.

SEC source: 0000950170-24-114184 · ownership.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,200

Underlying: Common Stock · 23,200 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on October 8, 2024.

F3 · derivative.exercise_date: The options will vest 100% on the first anniversary of the grant date, so long as the reporting person continues to serve on the board of directors of the issuer.

SEC source: 0000950170-24-114194 · ownership.xml · derivative · entry 3

Lizak Carol R. · CIK 0001785794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,240

Underlying: Common Stock · 34,240 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F5 · derivative.exercise_date: The options will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0000950170-24-114194 · ownership.xml · nonDerivative · entry 1

Lizak Carol R. · CIK 0001785794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,297

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F3 · date: Each restricted stock unit represents a contingent right to receive one share of the issuer's voting common stock. The restricted stock units vest in three equal annual installments beginning on October 8, 2025. Vested shares will be delivered to the reporting person on the vesting date or dates provided in the grant notice.

F4 · balance_after: On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the " Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0000950170-24-114193 · ownership.xml · derivative · entry 2

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,376

Underlying: Common Stock · 37,376 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F5 · derivative.exercise_date: The options will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0000950170-24-114193 · ownership.xml · nonDerivative · entry 1

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,957

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F3 · date: Each restricted stock unit represents a contingent right to receive one share of the issuer's voting common stock. The restricted stock units vest in three equal annual installments beginning on October 8, 2025. Vested shares will be delivered to the reporting person on the vesting date or dates provided in the grant notice.

F4 · balance_after: On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the " Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0000950170-24-114192 · ownership.xml · derivative · entry 2

Wolin Jonathan S. · CIK 0001787587 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,376

Underlying: Common Stock · 39,376 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F5 · derivative.exercise_date: The options will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0000950170-24-114192 · ownership.xml · nonDerivative · entry 1

Wolin Jonathan S. · CIK 0001787587 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,955

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F3 · date: Each restricted stock unit represents a contingent right to receive one share of the issuer's voting common stock. The restricted stock units vest in three equal annual installments beginning on October 8, 2025. Vested shares will be delivered to the reporting person on the vesting date or dates provided in the grant notice.

F4 · balance_after: On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the " Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0000950170-24-114183 · ownership.xml · derivative · entry 1

Jayasuriya Anula · CIK 0001822933 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on October 8, 2024.

F3 · derivative.exercise_date: The options will vest 100% on the first anniversary of the grant date, so long as the reporting person continues to serve on the board of directors of the issuer.

SEC source: 0000950170-24-114181 · ownership.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,376

Underlying: Common Stock · 39,376 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F5 · derivative.exercise_date: The options will vest ratably on a monthly basis over 36 months from the grant date, so long as the executive remains employed by the issuer.

SEC source: 0000950170-24-114181 · ownership.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,951

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on October 8, 2024.

F3 · date: Each restricted stock unit represents a contingent right to receive one share of the issuer's voting common stock. The restricted stock units vest in three equal annual installments beginning on October 8, 2025. Vested shares will be delivered to the reporting person on the vesting date or dates provided in the grant notice.

F4 · balance_after: On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the " Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0000950170-24-114180 · ownership.xml · derivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,500

Underlying: Common Stock · 26,500 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on October 8, 2024.

F3 · derivative.exercise_date: The options will vest 100% on the first anniversary of the grant date, so long as the reporting person continues to serve on the board of directors of the issuer and Napo Therapeutics, S.p.A., the issuer's subsidiary, as applicable.

SEC source: 0001104659-24-063892 · tm2414996-3_4seq1.xml · derivative · entry 2

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,694

Underlying: Common Stock · 2,695 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 606,280 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F3 · derivative.expiration_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 606,280 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-24-063892 · tm2414996-3_4seq1.xml · nonDerivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,295

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-24-063903 · tm2414996-4_4seq1.xml · derivative · entry 2

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 871

Underlying: Common Stock · 871 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 195,934 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F3 · derivative.expiration_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 195,934 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-24-063903 · tm2414996-4_4seq1.xml · nonDerivative · entry 1

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,141

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-24-063901 · tm2414996-2_4seq1.xml · derivative · entry 2

Wolin Jonathan S. · CIK 0001787587 · Chief of Staff, CCO & GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 871

Underlying: Common Stock · 871 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 196,018 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F3 · derivative.expiration_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 196,018 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-24-063901 · tm2414996-2_4seq1.xml · nonDerivative · entry 1

Wolin Jonathan S. · CIK 0001787587 · Chief of Staff, CCO & GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,012

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-24-063897 · tm2414996-1_4seq1.xml · derivative · entry 3

Lizak Carol R. · CIK 0001785794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 431

Underlying: Common Stock · 431 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 97,025 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F3 · derivative.expiration_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 97,025 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-24-063897 · tm2414996-1_4seq1.xml · nonDerivative · entry 1

Lizak Carol R. · CIK 0001785794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,042

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-24-063895 · tm2414996-5_4seq1.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 612

Underlying: Common Stock · 612 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 137,685 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F3 · derivative.expiration_date: The restricted stock units were originally approved by the issuer's board of directors on March 28, 2022 and previously reported as covering 137,685 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. The restricted stock units vest in three equal annual installments beginning on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-24-063895 · tm2414996-5_4seq1.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,756

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-24-048338 · tm2411853-2_4seq1.xml · derivative · entry 2

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 600 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "September 2021 Reverse Stock Split"). Upon effectiveness of the September 2021 Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 405,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 405,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

SEC source: 0001104659-24-048338 · tm2411853-2_4seq1.xml · nonDerivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,600

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001104659-24-048347 · tm2411853-3_4seq1.xml · derivative · entry 2

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 134 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "September 2021 Reverse Stock Split"). Upon effectiveness of the September 2021 Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 30,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 30,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

SEC source: 0001104659-24-048347 · tm2411853-3_4seq1.xml · nonDerivative · entry 1

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,270

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001104659-24-048345 · tm2411853-4_4seq1.xml · derivative · entry 2

Wolin Jonathan S. · CIK 0001787587 · Chief of Staff, CCO & GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 89 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "September 2021 Reverse Stock Split"). Upon effectiveness of the September 2021 Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 60,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 60,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

SEC source: 0001104659-24-048345 · tm2411853-4_4seq1.xml · nonDerivative · entry 1

Wolin Jonathan S. · CIK 0001787587 · Chief of Staff, CCO & GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,141

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001104659-24-048343 · tm2411853-1_4seq1.xml · derivative · entry 3

Lizak Carol R. · CIK 0001785794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "September 2021 Reverse Stock Split"). Upon effectiveness of the September 2021 Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 40,625 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 40,625 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

SEC source: 0001104659-24-048343 · tm2411853-1_4seq1.xml · nonDerivative · entry 1

Lizak Carol R. · CIK 0001785794 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 611

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001104659-24-048341 · tm2411853-5_4seq1.xml · derivative · entry 2

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 178 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock. On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "September 2021 Reverse Stock Split"). Upon effectiveness of the September 2021 Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 120,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 120,000 shares, but were adjusted to reflect the September 2021 Reverse Stock Split and January 2023 Reverse Stock Split. Such restricted stock units were granted on April 5, 2021 and vest in three equal annual installments beginning on April 5, 2022, the first anniversary of the grant date.

SEC source: 0001104659-24-048341 · tm2411853-5_4seq1.xml · nonDerivative · entry 1

King Steven R. · CIK 0001622052 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,144

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

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001104659-23-091447 · tm2320633-2_4seq1.xml · nonDerivative · entry 1

CONTE LISA A · CIK 0001008377 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 387,605

SEC source: 0001104659-23-091459 · tm2322677-2_4seq1.xml · nonDerivative · entry 1

MICEK JOHN · CIK 0001243187 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,701

SEC source: 0001104659-23-091458 · tm2322677-4_4seq1.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,876

SEC source: 0001104659-23-091463 · tm2322677-3_4seq1.xml · nonDerivative · entry 2

Jayasuriya Anula · CIK 0001822933 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,286

SEC source: 0001104659-23-091461 · tm2322677-1_4seq1.xml · nonDerivative · entry 1

Siegel Jonathan B. · CIK 0001588209 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,874

SEC source: 0001104659-23-091457 · tm2320633-5_4seq1.xml · nonDerivative · entry 1

Chaturvedi Pravin R · CIK 0001916935 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 205,328

SEC source: 0001104659-23-091455 · tm2320633-3_4seq1.xml · nonDerivative · entry 1

Wolin Jonathan S. · CIK 0001787587 · Chief of Staff, CCO & GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 197,680