NERV

SEC source: 0002095703-26-000006 · form4-08032026_100811.xml · derivative · entry 1

Kaul Inderjit · CIK 0002095703 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,147

Underlying: Common Stock · 12,147 shares

Expires 2036-08-02

F1 · derivative.exercise_date: 25% of the option shall vest on November 14, 2026; an additional 45% of the Consultant Option shall vest on the tenth day following the date of the Company's public announcement that it has achieved, on a statistically significant basis, the primary endpoint of its Phase 3 confirmatory trial of roluperidone in schizophrenia at the 12-week timepoint; and the remaining 30% of the Consultant Option shall vest on the tenth day following the date of the Company's public announcement of safety data from the 40-week relapse assessment phase; provided, however, in each case, that the Reporting Person is providing services pursuant to that certain consulting agreement dated November 14, 2025 on each such vesting date.

SEC source: 0001021040-26-000002 · form4-06052026_060603.xml · derivative · entry 1

VAN HEEK G JAN · CIK 0001021040 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2036-06-02

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 3, 2026 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001642015-26-000002 · form4-06052026_060609.xml · derivative · entry 1

Laghrissi-Thode Fouzia · CIK 0001642015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2036-06-02

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 3, 2026 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001642053-26-000002 · form4-06052026_060607.xml · derivative · entry 1

Kupfer David · CIK 0001642053 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2036-06-02

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 3, 2026 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001405279-26-000002 · form4-06052026_060613.xml · derivative · entry 1

Ahlholm Frederick W · CIK 0001405279 · SVP, CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 680,000

Underlying: Common Stock · 680,000 shares

Expires 2036-06-02

F1 · derivative.exercise_date: The option vests 25% on June 3, 2027 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001226286-26-000002 · form4-06052026_060601.xml · derivative · entry 1

HASLER HANS PETER · CIK 0001226286 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2036-06-02

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 3, 2026 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001610384-26-000002 · form4-06052026_060611.xml · derivative · entry 1

Luthringer Remy · CIK 0001610384 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,690,700

Underlying: Common Stock · 1,690,700 shares

Expires 2036-06-02

F1 · derivative.exercise_date: The option vests 25% on June 3, 2027 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0002095703-26-000004 · form4-06052026_060605.xml · derivative · entry 1

Kaul Inderjit · CIK 0002095703 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2036-06-02

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 3, 2026 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0002129698-26-000004 · form4-04222026_080414.xml · derivative · entry 1

O'Connor James Joseph · CIK 0002129698 · Chief Business Officer and GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,800

Underlying: Common Stock · 350,800 shares

Expires 2036-04-20

F1 · derivative.exercise_date: The option vests 25% on April 21, 2027 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0002095703-26-000002 · form4-04012026_040401.xml · derivative · entry 1

Kaul Inderjit · CIK 0002095703 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,169

Underlying: Common Stock · 12,169 shares

Expires 2036-03-30

F1 · derivative.exercise_date: 25% of the option shall vest on November 14, 2026; an additional 45% of the option shall vest on the tenth day following the date of the Issuer's public announcement that it has achieved, on a statistically significant basis, the primary endpoint of its Phase 3 confirmatory trial of roluperidone in schizophrenia at the 12-week timepoint; and the remaining 30% of the option shall vest on the tenth day following the date of the Issuer's public announcement of safety data from the 40-week relapse assessment phase; provided, however, in each case, that the Reporting Person is providing services pursuant to that certain consulting agreement dated November 14, 2025 on each such vesting date.

SEC source: 0001021040-25-000004 · form4-12232025_041213.xml · derivative · entry 1

VAN HEEK G JAN · CIK 0001021040 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-12-21

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following December 22, 2025 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001642015-25-000004 · form4-12232025_041207.xml · derivative · entry 1

Laghrissi-Thode Fouzia · CIK 0001642015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-12-21

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following December 22, 2025 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001642053-25-000004 · form4-12232025_041211.xml · derivative · entry 1

Kupfer David · CIK 0001642053 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-12-21

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following December 22, 2025 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001405279-25-000004 · form4-12232025_041205.xml · derivative · entry 1

Ahlholm Frederick W · CIK 0001405279 · SVP, CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2035-12-21

F1 · derivative.exercise_date: The option vests 25% on December 22, 2026 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001226286-25-000003 · form4-12232025_041209.xml · derivative · entry 1

HASLER HANS PETER · CIK 0001226286 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2035-12-21

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following December 22, 2025 and an additional 1/4 vesting every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0002095703-25-000007 · form4-12232025_041215.xml · derivative · entry 1

Kaul Inderjit · CIK 0002095703 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 364,504

Underlying: Common Stock · 364,504 shares

Expires 2035-12-21

F1 · derivative.exercise_date: 25% of the option shall vest on November 14, 2026; an additional 45% of the option shall vest on the tenth day following the date of the Issuer's public announcement that it has achieved, on a statistically significant basis, the primary endpoint of its Phase 3 confirmatory trial of roluperidone in schizophrenia at the 12-week timepoint; and the remaining 30% of the option shall vest on the tenth day following the date of the Issuer's public announcement of safety data from the 40-week relapse assessment phase; provided, however, in each case, that the Reporting Person is providing services pursuant to that certain consulting agreement dated November 14, 2025 on each such vesting date.

SEC source: 0001610382-25-000004 · form4-12232025_041203.xml · derivative · entry 1

Race Geoff · CIK 0001610382 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2035-12-21

F1 · derivative.exercise_date: The option vests 25% on December 22, 2026 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001610384-25-000005 · form4-12232025_041201.xml · derivative · entry 1

Luthringer Remy · CIK 0001610384 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,250,000

Underlying: Common Stock · 2,250,000 shares

Expires 2035-12-21

F1 · derivative.exercise_date: The option vests 25% on December 22, 2026 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0002095703-25-000005 · form4-11182025_091123.xml · derivative · entry 1

Kaul Inderjit · CIK 0002095703 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,500

Underlying: Common Stock · 9,500 shares

Expires 2035-11-13

F1 · derivative.exercise_date: The shares subject to this option vest in equal quarterly installments over three years with the first installment vesting on February 14, 2026, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001415889-24-028544 · form4-12062024_051214.xml · derivative · entry 1

VAN HEEK G JAN · CIK 0001021040 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2034-12-04

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following December 5, 2024 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001415889-24-028543 · form4-12062024_051212.xml · derivative · entry 1

Laghrissi-Thode Fouzia · CIK 0001642015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2034-12-04

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following December 5, 2024 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001415889-24-028542 · form4-12062024_051210.xml · derivative · entry 1

Kupfer David · CIK 0001642053 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2034-12-04

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following December 5, 2024 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001415889-24-028540 · form4-12062024_051206.xml · derivative · entry 1

Ahlholm Frederick W · CIK 0001405279 · SVP, CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,500

Underlying: Common Stock · 47,500 shares

Expires 2034-12-04

F1 · derivative.exercise_date: The option vests 25% on December 5, 2025 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001415889-24-028541 · form4-12062024_051208.xml · derivative · entry 1

HASLER HANS PETER · CIK 0001226286 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2034-12-04

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following December 5, 2024 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001415889-24-028539 · form4-12062024_051203.xml · derivative · entry 1

Race Geoff · CIK 0001610382 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2034-12-04

F1 · derivative.exercise_date: The option vests 25% on December 5, 2025 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001415889-24-028538 · form4-12062024_051201.xml · derivative · entry 1

Luthringer Remy · CIK 0001610384 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 105,000 shares

Expires 2034-12-04

F1 · derivative.exercise_date: The option vests 25% on December 5, 2025 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001209191-23-052204 · doc4.xml · derivative · entry 1

Ahlholm Frederick W · CIK 0001405279 · SVP, CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,850

Underlying: Common Stock · 42,850 shares

Expires 2033-10-03

F1 · derivative.exercise_date: The option vests 25% on October 4, 2024 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001209191-23-052206 · doc4.xml · derivative · entry 1

Luthringer Remy · CIK 0001610384 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,450

Underlying: Common Stock · 100,450 shares

Expires 2033-10-03

F1 · derivative.exercise_date: The option vests 25% on October 4, 2024 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001209191-23-052205 · doc4.xml · derivative · entry 1

Race Geoff · CIK 0001610382 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,050

Underlying: Common Stock · 87,050 shares

Expires 2033-10-03

F1 · derivative.exercise_date: The option vests 25% on October 4, 2024 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001209191-23-050827 · doc4.xml · derivative · entry 1

VAN HEEK G JAN · CIK 0001021040 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-09-26

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following September 27, 2023 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001209191-23-050824 · doc4.xml · derivative · entry 1

Laghrissi-Thode Fouzia · CIK 0001642015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-09-26

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following September 27, 2023 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001209191-23-050825 · doc4.xml · derivative · entry 1

Kupfer David · CIK 0001642053 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-09-26

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following September 27, 2023 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001209191-23-050826 · doc4.xml · derivative · entry 1

HILLEMAN JERYL L · CIK 0001216628 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-09-26

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following September 27, 2023 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001209191-23-050828 · doc4.xml · derivative · entry 1

HASLER HANS PETER · CIK 0001226286 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2033-09-26

F1 · security: This option is granted to non-employee directors in accordance with the Company's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 12,500 shares of common stock per year.

F2 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following September 27, 2023 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

SEC source: 0001209191-23-026683 · doc4.xml · nonDerivative · entry 3

Luthringer Remy · CIK 0001610384 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,994

F2 · kind: The sales reported in this Form 4 represent nondiscretionary sales of shares required to be sold by the Reporting Person pursuant to sell to cover transactions to satisfy tax withholding obligations in connection with the settlement of the PRSUs.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.56 to $3.90 inclusive.

SEC source: 0001209191-23-026678 · doc4.xml · nonDerivative · entry 2

Ahlholm Frederick W · CIK 0001405279 · SVP, CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,518

F2 · kind: The sales reported in this Form 4 represent nondiscretionary sales of shares required to be sold by the Reporting Person pursuant to sell to cover transactions to satisfy tax withholding obligations in connection with the settlement of the PRSUs.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.31 to $4.55 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-23-026683 · doc4.xml · nonDerivative · entry 2

Luthringer Remy · CIK 0001610384 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,635

F2 · kind: The sales reported in this Form 4 represent nondiscretionary sales of shares required to be sold by the Reporting Person pursuant to sell to cover transactions to satisfy tax withholding obligations in connection with the settlement of the PRSUs.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.52 to $4.10 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3) and (4).

SEC source: 0001209191-23-026681 · doc4.xml · nonDerivative · entry 2

Race Geoff · CIK 0001610382 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,324

F2 · kind: The sales reported in this Form 4 represent nondiscretionary sales of shares required to be sold by the Reporting Person pursuant to sell to cover transactions to satisfy tax withholding obligations in connection with the settlement of the PRSUs.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.52 to $4.10 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-23-026678 · doc4.xml · nonDerivative · entry 1

Ahlholm Frederick W · CIK 0001405279 · SVP, CFO and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,098

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units ("PRSUs"), representing 50% of the shares underlying the PRSUs. On April 28, 2023, the Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition, which occurs upon FDA acceptance of a new drug application for roluperidone.

SEC source: 0001209191-23-026683 · doc4.xml · nonDerivative · entry 1

Luthringer Remy · CIK 0001610384 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 96,388

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units ("PRSUs"), representing 50% of the shares underlying the PRSUs. On April 28, 2023, the Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition, which occurs upon FDA acceptance of a new drug application for roluperidone.

SEC source: 0001209191-23-026681 · doc4.xml · nonDerivative · entry 1

Race Geoff · CIK 0001610382 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,406

F1 · shares: Represents shares earned upon the vesting of performance-based restricted stock units ("PRSUs"), representing 50% of the shares underlying the PRSUs. On April 28, 2023, the Compensation Committee of the Board of Directors of the Issuer certified the achievement of a performance condition, which occurs upon FDA acceptance of a new drug application for roluperidone.

SEC source: 0001209191-22-061237 · doc4.xml · derivative · entry 1

Ahlholm Frederick W · CIK 0001405279 · SVP, CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,000

Underlying: Common Stock · 26,000 shares

Expires 2032-12-12

F1 · derivative.exercise_date: The option vests 25% on December 13, 2023 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001209191-22-061239 · doc4.xml · derivative · entry 1

Luthringer Remy · CIK 0001610384 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-12-12

F1 · derivative.exercise_date: The option vests 25% on December 13, 2023 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001209191-22-061238 · doc4.xml · derivative · entry 1

Race Geoff · CIK 0001610382 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2032-12-12

F1 · derivative.exercise_date: The option vests 25% on December 13, 2023 and then in equal quarterly installments over 3 years thereafter.

SEC source: 0001209191-22-039685 · doc4.xml · derivative · entry 1

VAN HEEK G JAN · CIK 0001021040 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2032-06-09

F1 · security: This option is granted to non-employee directors in accordance with the Issuer's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 2,500 shares of common stock per year.

F2 · derivative.exercise_price: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F3 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 10, 2022 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

F2 · derivative.underlying_shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · balance_after: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

SEC source: 0001209191-22-039683 · doc4.xml · derivative · entry 1

Laghrissi-Thode Fouzia · CIK 0001642015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2032-06-09

F1 · security: This option is granted to non-employee directors in accordance with the Issuer's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 2,500 shares of common stock per year.

F2 · derivative.exercise_price: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F3 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 10, 2022 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

F2 · derivative.underlying_shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · balance_after: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

SEC source: 0001209191-22-039684 · doc4.xml · derivative · entry 1

Kupfer David · CIK 0001642053 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2032-06-09

F1 · security: This option is granted to non-employee directors in accordance with the Issuer's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 2,500 shares of common stock per year.

F2 · derivative.exercise_price: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F3 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 10, 2022 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

F2 · derivative.underlying_shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · balance_after: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

SEC source: 0001209191-22-039688 · doc4.xml · derivative · entry 1

DOYLE WILLIAM F · CIK 0001194459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2032-06-09

F1 · security: This option is granted to non-employee directors in accordance with the Issuer's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 2,500 shares of common stock per year.

F2 · derivative.exercise_price: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F3 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 10, 2022 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

F2 · derivative.underlying_shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · balance_after: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

SEC source: 0001209191-22-039689 · doc4.xml · derivative · entry 1

HILLEMAN JERYL L · CIK 0001216628 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2032-06-09

F1 · security: This option is granted to non-employee directors in accordance with the Issuer's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 2,500 shares of common stock per year.

F2 · derivative.exercise_price: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F3 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 10, 2022 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

F2 · derivative.underlying_shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · balance_after: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

SEC source: 0001209191-22-039686 · doc4.xml · derivative · entry 1

HASLER HANS PETER · CIK 0001226286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2032-06-09

F1 · security: This option is granted to non-employee directors in accordance with the Issuer's compensation program for non-employee directors, which provides that each non-employee director is eligible to receive an annual option grant to purchase 2,500 shares of common stock per year.

F2 · derivative.exercise_price: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F3 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments at a rate of 1/4 of the total number of shares every three months, with the first 1/4 vesting on the date that is three months following June 10, 2022 and an additional 1/4 every three months thereafter, subject in each case to the continued service of the Reporting Person as a non-employee director as of such vesting date.

F2 · derivative.underlying_shares: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.

F2 · balance_after: On June 17, 2022, the Issuer completed a 1-for-8 reverse stock split of the Issuer's common stock ("Reverse Stock Split"). This amount has been adjusted to give effect to the Reverse Stock Split.