NRXS

SEC source: 0001641172-25-027017 · ownership.xml · derivative · entry 2

Carrico Brian Allen · CIK 0001959279 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,640

Underlying: Common Stock · 90,640 shares

Expires not disclosed

F2 · derivative.exercise_price: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F2 · derivative.exercise_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F2 · derivative.expiration_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027017 · ownership.xml · derivative · entry 1

Carrico Brian Allen · CIK 0001959279 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

F1 · derivative.exercise_date: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

F1 · derivative.expiration_date: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027022 · ownership.xml · derivative · entry 2

Miranda Adrian · CIK 0001992525 · CMO, SVP Science & Tech

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F2 · derivative.exercise_price: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F2 · derivative.exercise_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F2 · derivative.expiration_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027022 · ownership.xml · derivative · entry 1

Miranda Adrian · CIK 0001992525 · CMO, SVP Science & Tech

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

F1 · derivative.exercise_date: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

F1 · derivative.expiration_date: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027018 · ownership.xml · derivative · entry 2

Carrico Thomas Joeseph · CIK 0001959325 · CRO, CCO, CPO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,435

Underlying: Common Stock · 27,435 shares

Expires not disclosed

F2 · derivative.exercise_price: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F2 · derivative.exercise_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F2 · derivative.expiration_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027018 · ownership.xml · derivative · entry 1

Carrico Thomas Joeseph · CIK 0001959325 · CRO, CCO, CPO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

F1 · derivative.exercise_date: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

F1 · derivative.expiration_date: These shares of common stock are restricted stock units (RSUs) granted to the reporting person as bonus under Neuraxis, Inc. 2022 Omnibus Securities and Incentive Plan, as amended. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027021 · ownership.xml · nonDerivative · entry 1

Keyser Jane Elizabeth · CIK 0001959756 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,737

F1 · price: These shares of common stock were issued to the reporting person as compensation for services as independent director of the Issuer.

SEC source: 0001641172-25-027019 · ownership.xml · nonDerivative · entry 1

Ferge Kristin A · CIK 0001343345 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,340

F1 · price: These shares of common stock were issued to the reporting person as compensation for services as independent director of the Issuer.

SEC source: 0001641172-25-027023 · ownership.xml · nonDerivative · entry 1

Watkins Bradley Mitchell · CIK 0001959534 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,737

F1 · price: These shares of common stock were issued to the reporting person as compensation for services as independent director of the Issuer.

SEC source: 0001641172-25-027020 · ownership.xml · derivative · entry 4

Henrichs Timothy Robert · CIK 0001959954 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,980

Underlying: Common Stock · 67,980 shares

Expires not disclosed

F4 · derivative.exercise_price: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F4 · derivative.exercise_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F4 · derivative.expiration_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027017 · ownership.xml · derivative · entry 3

Carrico Brian Allen · CIK 0001959279 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,019

Underlying: Common Stock · 70,019 shares

Expires not disclosed

F3 · derivative.exercise_price: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F3 · derivative.exercise_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F3 · derivative.expiration_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027022 · ownership.xml · derivative · entry 3

Miranda Adrian · CIK 0001992525 · CMO, SVP Science & Tech

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires not disclosed

F3 · derivative.exercise_price: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F3 · derivative.exercise_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F3 · derivative.expiration_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

SEC source: 0001641172-25-027018 · ownership.xml · derivative · entry 3

Carrico Thomas Joeseph · CIK 0001959325 · CRO, CCO, CPO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires not disclosed

F3 · derivative.exercise_price: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F3 · derivative.exercise_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

F3 · derivative.expiration_date: These shares of common stock are RSUs granted to the reporting person under the Long-Term Incentive Plan. The RSUs will vest in full at the end of 36 months.

SEC source: 0001493152-24-025970 · ownership.xml · nonDerivative · entry 1

Keyser Jane Elizabeth · CIK 0001959756 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,580

F1 · kind: These shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), were issued to Ms. Keyser pursuant to an Unrestricted Stock Award Agreement dated June 28, 2024 (the "Agreement"), by and between NeurAxis, Inc. (the "Company") and Ms. Keyser. Pursuant to the Agreement, as compensation for the services provided as a member of the Board of Directors of the Company by Ms. Keyser through March 31, 2024, the Company issued Ms. Keyser the number of shares of Common Stock as determined by dividing $32,191.78 by the closing price of the Common Stock on June 28, 2024, which was $2.78 per share.

SEC source: 0001493152-24-025972 · ownership.xml · nonDerivative · entry 1

Ferge Kristin A · CIK 0001343345 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,183

F1 · kind: These shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), were issued to Ms. Ferge pursuant to an Unrestricted Stock Award Agreement dated June 28, 2024 (the "Agreement"), by and between NeurAxis, Inc. (the "Company") and Ms. Ferge. Pursuant to the Agreement, as compensation for the services provided as a member of the Board of Directors of the Company by Ms. Ferge through March 31, 2024, the Company issued Ms. Ferge the number of shares of Common Stock as determined by dividing $3,287.67 by the closing price of the Common Stock on June 28, 2024, which was $2.78 per share.

SEC source: 0001493152-24-025968 · ownership.xml · nonDerivative · entry 1

Watkins Bradley Mitchell · CIK 0001959534 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,580

F1 · kind: These shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), were issued to Mr. Watkins pursuant to an Unrestricted Stock Award Agreement dated June 28, 2024 (the "Agreement"), by and between NeurAxis, Inc. (the "Company") and Mr. Watkins. Pursuant to the Agreement, as compensation for the services provided as a member of the Board of Directors of the Company by Mr. Watkins through March 31, 2024, the Company issued Mr. Watkins the number of shares of Common Stock as determined by dividing $32,191.78 by the closing price of the Common Stock on June 28, 2024, which was $2.78 per share.

SEC source: 0001437749-24-006005 · rdgdoc.xml · nonDerivative · entry 1

Hannasch Brian · CIK 0001911504 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 757,901

F1 · kind: On February 20, 2024, the reporting person received 75,000 shares of common stock of Neuraxis, Inc. pursuant to the terms of a Consulting Agreement dated December 27, 2023.

SEC source: 0001437749-24-004168 · rdgdoc.xml · nonDerivative · entry 1

Hannasch Brian · CIK 0001911504 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 682,901

F1 · kind: On February 6, 2024, the reporting person received an aggregate of 150,000 shares of Neuraxis, Inc. (the "Company") common stock from directors and officers of the Company pursuant to the terms of a promissory note dated August 1, 2023.

SEC source: 0001437749-24-001951 · rdgdoc.xml · derivative · entry 3

Hannasch Brian · CIK 0001911504 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2029-09-06

SEC source: 0001437749-24-001951 · rdgdoc.xml · nonDerivative · entry 2

Hannasch Brian · CIK 0001911504 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 532,901

F1 · kind: On December 28, 2023, the reporting person exercised a warrant to purchase 40,000 shares of Neuraxis, Inc. (the "Company") common stock for $0.005 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Company withholding 76 of the warrant shares to pay the exercise price and issuing the reporting person the remaining 39,924 shares.

SEC source: 0001437749-24-001951 · rdgdoc.xml · nonDerivative · entry 1

Hannasch Brian · CIK 0001911504 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 532,977

SEC source: 0000937556-23-000202 · wf-form4a_169179734438990.xml · derivative · entry 4

MASIMO CORP · CIK 0000937556 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,779

Underlying: Common Stock · 289,779 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.

F2 · derivative.exercise_date: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

F2 · derivative.expiration_date: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

SEC source: 0000937556-23-000202 · wf-form4a_169179734438990.xml · derivative · entry 3

MASIMO CORP · CIK 0000937556 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Series A Preferred Stock · 144,890 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.

F2 · derivative.exercise_date: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

F2 · derivative.expiration_date: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

F2 · derivative.underlying_shares: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

SEC source: 0000937556-23-000202 · wf-form4a_169179734438990.xml · derivative · entry 2

MASIMO CORP · CIK 0000937556 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 531,548 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

SEC source: 0000937556-23-000202 · wf-form4a_169179734438990.xml · nonDerivative · entry 1

MASIMO CORP · CIK 0000937556 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 531,548

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

F1 · price: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

SEC source: 0000937556-23-000199 · wf-form4_169170219111216.xml · derivative · entry 4

MASIMO CORP · CIK 0000937556 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,779

Underlying: Common Stock · 289,779 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.

F2 · derivative.exercise_date: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

F2 · derivative.expiration_date: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

SEC source: 0000937556-23-000199 · wf-form4_169170219111216.xml · derivative · entry 3

MASIMO CORP · CIK 0000937556 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Series A Preferred Stock · 144,890 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.

F2 · derivative.exercise_date: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

F2 · derivative.expiration_date: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

F2 · derivative.underlying_shares: The Pre-Funded Warrant (the "Warrant") is currently exercisable and has no expiration date. Upon the Issuer's consummation of an initial public offering, the Warrant automatically converted into a warrant exercisable for 289,779 shares of Issuer's Common Stock, and the exercise price was adjusted to be $0.00005 per share of the Issuer's Common Stock.

SEC source: 0000937556-23-000199 · wf-form4_169170219111216.xml · derivative · entry 2

MASIMO CORP · CIK 0000937556 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 531,548 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.

SEC source: 0000937556-23-000199 · wf-form4_169170219111216.xml · nonDerivative · entry 1

MASIMO CORP · CIK 0000937556 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 531,548

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

F1 · price: Each one share of Series A Preferred Stock converted automatically upon the Issuer's consummation of an initial public offering into two shares of the Issuer's Common Stock. The Series A Preferred Stock had no expiration date.