KPRX

SEC source: 0001104659-21-133652 · tm2131814-2_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,136

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 11/01/2021.

SEC source: 0001104659-21-133655 · tm2131814-3_4seq1.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,292

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 11/01/2021.

SEC source: 0001104659-21-133650 · tm2131814-1_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,059

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 11/01/2021.

SEC source: 0001104659-21-136953 · tm2132572-1_4seq1.xml · derivative · entry 1

Daniels Eric Joseph · CIK 0001892943 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2031-10-21

F1 · derivative.exercise_date: The reporting person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on October 21, 2022, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001104659-21-142537 · tm2133588-1_4seq1.xml · nonDerivative · entry 1

Strem Brian M. · CIK 0001876429 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,517

F1 · price: Received by the Reporting Person in connection with the acquisition by the issuer of all of the outstanding securities of Bayon Therapeutics, Inc. on October 21, 2021.

SEC source: 0001104659-21-142530 · tm2133588-2_4a.xml · nonDerivative · entry 1

Daniels Eric Joseph · CIK 0001892943 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,520

F1 · shares: These shares were omitted from the Reporting Person's Form 4 filed on November 10, 2021.

F2 · price: Received by the Reporting Person in connection with the acquisition by the issuer of all of the outstanding securities of Bayon Therapeutics, Inc. on October 21, 2021.

SEC source: 0001104659-21-123266 · tm2129310d2_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,198

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 10/01/2021.

SEC source: 0001104659-21-123267 · tm2129310d3_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,142

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 10/01/2021.

SEC source: 0001104659-21-123265 · tm2129310d1_4seq1.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,542

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 10/01/2021.

SEC source: 0001104659-21-112937 · tm2126978-1_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,260

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 09/01/2021.

SEC source: 0001104659-21-112940 · tm2126978-2_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,225

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 09/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.81, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-112942 · tm2126978-3_4seq1.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,791

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 09/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.79 to $1.81, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-100197 · tm2124160d2_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,321

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 08/01/2021.

SEC source: 0001104659-21-100200 · tm2124160d4_4seq1.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,044

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 08/01/2021.

SEC source: 0001104659-21-100199 · tm2124160d3_4seq1.xml · nonDerivative · entry 1

MANZO MICHAEL P. · CIK 0001620189 · VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,378

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 08/01/2021.

SEC source: 0001104659-21-100196 · tm2124160d1_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,309

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 08/01/2021.

SEC source: 0001567619-21-014361 · doc1.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 785,000

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.3595 to $2.5144, inclusive.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001567619-21-014361 · doc1.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · 10% owner

Boyd Steven · CIK 0001706140 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 977,775

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.6145 to $2.7604, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · nonDerivative · entry 8

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,045,963

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.85 to $3.24, inclusive.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · nonDerivative · entry 7

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,445,963

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.1713 to $3.4093, inclusive.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · derivative · entry 9

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 852,500 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.

F3 · derivative.expiration_date: The Series C Convertible Preferred Stock has no expiration date and was convertible at any time at the option of the Master Fund.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · nonDerivative · entry 6

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,821,406

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.5852 to $3.9402, inclusive.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · nonDerivative · entry 5

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,403,020

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.0011 to $4.9908, inclusive.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · nonDerivative · entry 4

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,935,089

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.1066 to $5.9464, inclusive.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · nonDerivative · entry 3

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,664,203

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.0052 to $6.9970, inclusive.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · nonDerivative · entry 2

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,126,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.002 to $7.1559, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (4), (5), (6), (7), (8) and (9) to this Form 4.

F1 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-21-030722 · doc4.xml · nonDerivative · entry 1

ARMISTICE CAPITAL, LLC · CIK 0001601086 · Director · 10% owner

Armistice Capital Master Fund Ltd. · CIK 0001633584 · Director · 10% owner

Boyd Steven · CIK 0001706140 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,199,101

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 · ownership.nature: The reported securities of EyeGate Pharmaceuticals, Inc. (the "Issuer") are directly held by Armistice Capital Master Fund Ltd., a Cayman Islands exempted company (the "Master Fund"), and may be deemed to be indirectly beneficially owned by: (i) Armistice Capital, LLC ("Armistice Capital"), as the investment manager of the Master Fund; and (ii) Steven Boyd, as the Managing Member of Armistice Capital ("Mr. Boyd", and collectively with the Master Fund and Armistice Capital, the "Reporting Persons"). Each of Armistice Capital and Mr. Boyd disclaim beneficial ownership of the reported securities except to the extent of their respective pecuniary interests therein, and this report shall not be deemed an admission that either of them are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001104659-21-098991 · tm2123223d1_4.xml · derivative · entry 1

Strem Brian M. · CIK 0001876429 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-07-26

F1 · derivative.exercise_date: The reporting person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on July 26, 2022, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001104659-21-089443 · tm2121558d2_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,384

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/01/2021.

SEC source: 0001104659-21-089447 · tm2121558d4_4.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,396

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/01/2021.

SEC source: 0001104659-21-089446 · tm2121558d3_4.xml · nonDerivative · entry 1

MANZO MICHAEL P. · CIK 0001620189 · VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,443

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.70 to $3.78, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-089442 · tm2121558d1_4.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,305

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.70 to $3.75, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-077763 · tm2119042d1_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,538

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 06/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.19 to $4.39, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-077766 · tm2119042d4_4seq1.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,182

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 06/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.19 to $4.39, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-077765 · tm2119042d3_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,576

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 06/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.19 to $4.39, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-077764 · tm2119042d2_4seq1.xml · nonDerivative · entry 1

MANZO MICHAEL P. · CIK 0001620189 · VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,603

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 06/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.19 to $4.31, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-061946 · tm2115347d1_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,693

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 05/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.12 to $4.37, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-061950 · tm2115347d4_4.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,060

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 05/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.13 to $4.48, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-061949 · tm2115347d3_4.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,756

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 05/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.13 to $4.48, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-061948 · tm2115347d2_4.xml · nonDerivative · entry 1

MANZO MICHAEL P. · CIK 0001620189 · VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,758

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 05/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.12 to $4.36, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-053166 · tm2113676d1_form4.xml · derivative · entry 1

Shapiro Aron · CIK 0001855207 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2031-04-19

F1 · derivative.exercise_date: The reporting person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on April 19, 2022, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001104659-21-053167 · tm2113676d2_form4.xml · derivative · entry 1

Gayron Kenneth L · CIK 0001669103 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2031-04-19

F1 · derivative.exercise_date: The reporting person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on April 19, 2022, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001104659-21-048712 · tm2112624-1_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,884

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 04/01/2021.

SEC source: 0001104659-21-048716 · tm2112624-4_4seq1.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,949

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 04/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.75 to $4.94, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-048715 · tm2112624-3_4seq1.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,933

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 04/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.71 to $4.94, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-048714 · tm2112624-2_4seq1.xml · nonDerivative · entry 1

MANZO MICHAEL P. · CIK 0001620189 · VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,916

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 04/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.77 to $4.94, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-032763 · tm218853-1_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,076

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 03/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.46 to $5.51, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-032768 · tm218853-4_4.xml · nonDerivative · entry 1

FROM STEPHEN · CIK 0001620137 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,848

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 03/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.46 to $5.51, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-032766 · tm218853-3_4.xml · nonDerivative · entry 1

Romano Sarah · CIK 0001697536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,113

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 03/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.41 to $5.46, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-032764 · tm218853-2_4.xml · nonDerivative · entry 1

MANZO MICHAEL P. · CIK 0001620189 · VP of Engineering

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,110

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 03/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.41 to $5.49, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.