NRXP

SEC source: 0000950142-21-001939 · es210157183_4-fricker.xml · derivative · entry 2

Fricker William · CIK 0001752213 · CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,400

Underlying: Common Stock · 99,200 shares

Expires 2030-11-14

F1 · price: Pursuant to the Merger Agreement, each option and warrant of NeuroRx that was outstanding and unexercised immediately prior to the Effective Time was assumed by NRX Pharmaceuticals (each, a "Substitute Security") and represents the right to acquire an adjusted number of shares of Common Stock at an adjusted exercise price, in each case, pursuant to the terms of the Merger Agreement. In the event that any Substitute Security is exercised prior to the earlier of the date on which both the Earnout Share Milestone and the Earnout Cash Milestone (as defined in the Merger Agreement) have been achieved and December 31, 2022, a number of shares of the Issuer's common stock will be subject to forfeiture pursuant to the Option Post-Earnout Adjustment (as defined in the Merger Agreement).

F1 · derivative.exercise_date: Pursuant to the Merger Agreement, each option and warrant of NeuroRx that was outstanding and unexercised immediately prior to the Effective Time was assumed by NRX Pharmaceuticals (each, a "Substitute Security") and represents the right to acquire an adjusted number of shares of Common Stock at an adjusted exercise price, in each case, pursuant to the terms of the Merger Agreement. In the event that any Substitute Security is exercised prior to the earlier of the date on which both the Earnout Share Milestone and the Earnout Cash Milestone (as defined in the Merger Agreement) have been achieved and December 31, 2022, a number of shares of the Issuer's common stock will be subject to forfeiture pursuant to the Option Post-Earnout Adjustment (as defined in the Merger Agreement).

F2 · derivative.exercise_date: Subject to certain conditions, the options will generally vest in 36 equal installments every month commencing on 11/30/20 and fully vesting on 11/30/23.

SEC source: 0000950142-21-001939 · es210157183_4-fricker.xml · derivative · entry 1

Fricker William · CIK 0001752213 · CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,200

Underlying: Common Stock · 99,200 shares

Expires 2030-11-14

F1 · price: Pursuant to the Merger Agreement, each option and warrant of NeuroRx that was outstanding and unexercised immediately prior to the Effective Time was assumed by NRX Pharmaceuticals (each, a "Substitute Security") and represents the right to acquire an adjusted number of shares of Common Stock at an adjusted exercise price, in each case, pursuant to the terms of the Merger Agreement. In the event that any Substitute Security is exercised prior to the earlier of the date on which both the Earnout Share Milestone and the Earnout Cash Milestone (as defined in the Merger Agreement) have been achieved and December 31, 2022, a number of shares of the Issuer's common stock will be subject to forfeiture pursuant to the Option Post-Earnout Adjustment (as defined in the Merger Agreement).

F1 · derivative.exercise_date: Pursuant to the Merger Agreement, each option and warrant of NeuroRx that was outstanding and unexercised immediately prior to the Effective Time was assumed by NRX Pharmaceuticals (each, a "Substitute Security") and represents the right to acquire an adjusted number of shares of Common Stock at an adjusted exercise price, in each case, pursuant to the terms of the Merger Agreement. In the event that any Substitute Security is exercised prior to the earlier of the date on which both the Earnout Share Milestone and the Earnout Cash Milestone (as defined in the Merger Agreement) have been achieved and December 31, 2022, a number of shares of the Issuer's common stock will be subject to forfeiture pursuant to the Option Post-Earnout Adjustment (as defined in the Merger Agreement).

SEC source: 0001062993-20-001375 · form4.xml · nonDerivative · entry 1

Polar Asset Management Partners Inc. · CIK 0001326389 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 488,036

F1 · ownership.nature: Polar Asset Management Partners Inc., a company incorporated under the laws of Ontario, Canada, (the "Reporting Person") serves as investment advisor to Polar Multi-Strategy Master Fund, a Cayman Islands exempted company ("PMSMF") and certain managed accounts (together with PMSMF, the "Polar Vehicles") and has sole voting and investment discretion with respect to the securities reported herein which are held by the Polar Vehicles. The Reporting Person disclaims beneficial ownership of the securities reported herein, and this report shall not be deemed an admission that Reporting Person is the beneficial owner of the securities reported herein for the purpose of Section 16 of the Securities and Exchange Act of 1934, as amended, or for any other purpose, except to the extent of Reporting Person's pecuniary interest therein.

SEC source: 0001654954-18-013065 · section16.xml · nonDerivative · entry 1

ACKERMAN RICHARD · CIK 0001724016 · Director · President and CEO

Big Rock Partners Sponsor, LLC · CIK 0001723217 · Director · President and CEO

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Big Rock Partners Sponsor, LLC

Disclosed balance after: 225,000

F1 · price: Pursuant to the Agreement among Big Rock Partners Acquisition Corp. (the "Issuer"), Big Rock Partners Sponsor, LLC (the "Sponsor") and BRAC Lending Group LLC (the "Investor"), the Sponsor transferred 1,500,000 shares of common stock of the Issuer in exchange for the terms set forth in the Agreement and an aggregate cash consideration of $1.00. For a description and copy of the Agreement, see the Issuer's Form 8-K filed with the SEC on 11/20/2018.

F2 · ownership.nature: Mr. Ackerman is the Issuer's President, Chairman and Chief Executive Officer and the managing member of the Sponsor and has the sole voting and dispositive power of the securities held by the Sponsor. Accordingly, Mr. Ackerman may be deemed to have beneficial ownership of such shares.

SEC source: 0001654954-17-011320 · section16.xml · derivative · entry 4

ACKERMAN RICHARD · CIK 0001724016 · Director · President and CEO · 10% owner

Big Rock Partners Sponsor, LLC · CIK 0001723217 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Big Rock Partners Sponsor, LLC

Disclosed balance after: 136,250

Underlying: Common Stock · 11,250 shares

Expires not disclosed

F1 · security: Represents securities underlying units of the issuer. Each unit consists of one share of common stock, one right to receive one-tenth of one share of common stock upon the consummation of the issuer's initial business combination and one-half of one warrant, each whole warrant entitling the holder to purchase one share of common stock.

F2 · price: Represents securities purchased upon the exercise of the underwriters' over-allotment option in connection with the issuer's initial public offering.

F6 · derivative.exercise_date: Each whole warrant will become exercisable on the later of the completion of the issuer's initial business combination and 12 months from the closing of the issuer's initial public offering.

F7 · derivative.expiration_date: Each warrant will expire on the fifth anniversary of the completion of the issuer's initial business combination, or earlier upon redemption or liquidation.

F3 · ownership.nature: Mr. Ackerman is the issuer's President, Chairman and Chief Executive Officer and the managing member of Big Rock Partners Sponsor, LLC (the "Sponsor") and has the sole voting and dispositive power of the securities held by the Sponsor. Accordingly. Mr. Ackerman may be deemed to have beneficial ownership of such shares.

SEC source: 0001654954-17-011320 · section16.xml · derivative · entry 3

ACKERMAN RICHARD · CIK 0001724016 · Director · President and CEO · 10% owner

Big Rock Partners Sponsor, LLC · CIK 0001723217 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Big Rock Partners Sponsor, LLC

Disclosed balance after: 27,250

Underlying: Common Stock · 2,250 shares

Expires not disclosed

F1 · security: Represents securities underlying units of the issuer. Each unit consists of one share of common stock, one right to receive one-tenth of one share of common stock upon the consummation of the issuer's initial business combination and one-half of one warrant, each whole warrant entitling the holder to purchase one share of common stock.

F4 · derivative.exercise_price: Each right entitles the holder to receive one-tenth (1/10) of one share of common stock upon consummation of the issuer's initial business combination.

F2 · price: Represents securities purchased upon the exercise of the underwriters' over-allotment option in connection with the issuer's initial public offering.

F4 · derivative.exercise_date: Each right entitles the holder to receive one-tenth (1/10) of one share of common stock upon consummation of the issuer's initial business combination.

F5 · derivative.expiration_date: If the issuer fails to consummate an initial business combination within 12 months (or up to 18 months from the closing of the issuer's initial public offering, if the issuer extends the period of time to consummate a business combination as described in its amended and restated certificate of incorporation), the issuer will be dissolved and the rights will expire worthless.

F3 · ownership.nature: Mr. Ackerman is the issuer's President, Chairman and Chief Executive Officer and the managing member of Big Rock Partners Sponsor, LLC (the "Sponsor") and has the sole voting and dispositive power of the securities held by the Sponsor. Accordingly. Mr. Ackerman may be deemed to have beneficial ownership of such shares.

SEC source: 0001654954-17-011320 · section16.xml · nonDerivative · entry 1

ACKERMAN RICHARD · CIK 0001724016 · Director · President and CEO · 10% owner

Big Rock Partners Sponsor, LLC · CIK 0001723217 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Big Rock Partners Sponsor, LLC

Disclosed balance after: 272,500

F1 · shares: Represents securities underlying units of the issuer. Each unit consists of one share of common stock, one right to receive one-tenth of one share of common stock upon the consummation of the issuer's initial business combination and one-half of one warrant, each whole warrant entitling the holder to purchase one share of common stock.

F2 · shares: Represents securities purchased upon the exercise of the underwriters' over-allotment option in connection with the issuer's initial public offering.

F1 · balance_after: Represents securities underlying units of the issuer. Each unit consists of one share of common stock, one right to receive one-tenth of one share of common stock upon the consummation of the issuer's initial business combination and one-half of one warrant, each whole warrant entitling the holder to purchase one share of common stock.

F3 · ownership.nature: Mr. Ackerman is the issuer's President, Chairman and Chief Executive Officer and the managing member of Big Rock Partners Sponsor, LLC (the "Sponsor") and has the sole voting and dispositive power of the securities held by the Sponsor. Accordingly. Mr. Ackerman may be deemed to have beneficial ownership of such shares.