NVNO

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 17

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,005,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 16

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,055,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 15

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,105,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 14

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,111,883

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 13

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,168,883

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 12

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,213,883

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 11

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,281,977

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 10

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,361,977

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 9

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,461,977

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 8

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,517,507

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 7

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,597,507

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 6

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,660,693

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 5

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,740,693

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 4

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,802,333

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 3

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,005,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 2

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,155,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-018750 · ownership.xml · nonDerivative · entry 1

Biodyne Holding, S.A. · CIK 0001730174 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,255,433

F1 · price: 1,950,000 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.38. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-20-010731 · ownership.xml · nonDerivative · entry 3

Biodyne Holding, S.A. · CIK 0001730174 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,355,433

SEC source: 0001493152-20-010731 · ownership.xml · nonDerivative · entry 2

Biodyne Holding, S.A. · CIK 0001730174 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,357,116

SEC source: 0001493152-20-010731 · ownership.xml · nonDerivative · entry 1

Biodyne Holding, S.A. · CIK 0001730174 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,361,016

SEC source: 0001493152-19-014616 · ownership.xml · derivative · entry 2

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2029-09-13

F3 · derivative.exercise_date: The common stock options were issued to the Reporting Person on September 13, 2019 in connection with joining the Issuer's board of directors pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from September 13, 2019.

SEC source: 0001493152-19-014616 · ownership.xml · derivative · entry 1

Gray Robert · CIK 0001788480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,125

Underlying: Common Stock · 78,125 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit ("RSU") entitles the Reporting Person to one share of the Issuer's common stock or the cash equivalent, at the discretion of the Issuer.

F2 · derivative.exercise_date: The RSU were issued to the Reporting Person on September 13, 2019 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) September 13, 2020; (ii) September 13, 2021; and (iii) September 13, 2022.

F2 · derivative.expiration_date: The RSU were issued to the Reporting Person on September 13, 2019 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) September 13, 2020; (ii) September 13, 2021; and (iii) September 13, 2022.

SEC source: 0001493152-20-019736 · ownership.xml · derivative · entry 3

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2029-09-13

F3 · derivative.exercise_date: The common stock options were issued to the Reporting Person on September 13, 2019 in connection with joining the Issuer's board of directors pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from September 13, 2019.

SEC source: 0001493152-20-019736 · ownership.xml · derivative · entry 2

Jenusaitis Matthew · CIK 0001357864 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,125

Underlying: Common Stock · 78,125 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit ("RSU") entitles the Reporting Person to one share of the Issuer's common stock or the cash equivalent, at the discretion of the Issuer.

F2 · derivative.exercise_date: The RSU were issued to the Reporting Person on September 13, 2019 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) September 13, 2020; (ii) September 13, 2021; and (iii) September 13, 2022.

F2 · derivative.expiration_date: The RSU were issued to the Reporting Person on September 13, 2019 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) September 13, 2020; (ii) September 13, 2021; and (iii) September 13, 2022.

SEC source: 0001493152-19-011362 · ownership.xml · derivative · entry 3

Glickman Marc H. · CIK 0001730171 · CMO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2029-07-26

F2 · derivative.exercise_date: The shares subject to the option shall vest quarterly over a three (3) year period commencing on July 26, 2019.

SEC source: 0001493152-19-011362 · ownership.xml · derivative · entry 2

Glickman Marc H. · CIK 0001730171 · CMO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,500

Underlying: Common Stock · 184,500 shares

Expires 2026-10-01

F1 · price: The reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 1, 2016, and provides that the options will have vested over a period of 2 years, with 1/5th of the shares subject to the option vested on October 1, 2016, and with the remaining shares vesting in equal monthly installments over the 24 months thereafter.

SEC source: 0001493152-19-011362 · ownership.xml · derivative · entry 1

Glickman Marc H. · CIK 0001730171 · CMO and Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 184,500 shares

Expires 2026-10-01

F1 · price: The reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 1, 2016, and provides that the options will have vested over a period of 2 years, with 1/5th of the shares subject to the option vested on October 1, 2016, and with the remaining shares vesting in equal monthly installments over the 24 months thereafter.

F1 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on October 1, 2016, and provides that the options will have vested over a period of 2 years, with 1/5th of the shares subject to the option vested on October 1, 2016, and with the remaining shares vesting in equal monthly installments over the 24 months thereafter.

SEC source: 0001493152-20-008636 · ownership.xml · nonDerivative · entry 1

Biodyne Holding, S.A. · CIK 0001730174 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,865,161

F1 · security: 400,668 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.87. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 5.

SEC source: 0001493152-20-008635 · ownership.xml · nonDerivative · entry 1

Biodyne Holding, S.A. · CIK 0001730174 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,581,016

F1 · shares: 684,813 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.67. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

F1 · price: 684,813 is the total number of shares sold and these shares were sold in multiple transactions at an average price of $0.67. The reporting person undertakes to provide to Hancock Laboratories Jaffe, Inc., any security holder of Hancock Jaffe Laboratories, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate transaction at the price set forth in footnote (1) to this Form 4.

SEC source: 0001493152-19-008257 · ownership.xml · nonDerivative · entry 1

Biodyne Holding, S.A. · CIK 0001730174 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,265,829

F1 · kind: Biodyne Holding, S.A., an entity organized under the laws of Switzerland, transferred an aggregate of 177,740 shares to two of its minority shareholders in exchange for the forfeiture of thier equity ownership in Biodyne Holding, S.A.

F1 · price: Biodyne Holding, S.A., an entity organized under the laws of Switzerland, transferred an aggregate of 177,740 shares to two of its minority shareholders in exchange for the forfeiture of thier equity ownership in Biodyne Holding, S.A.

SEC source: 0001493152-19-003384 · ownership.xml · nonDerivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,740

F1 · security: The reporting person purchased the shares of common stock in the Registrant's private placement transaction that closed on March 12, 2019.

SEC source: 0001493152-19-005579 · ownership.xml · nonDerivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,382

F1 · security: The reporting person purchased the shares of common stock in the Registrant's private placement transaction that closed on March 12, 2019.

F2 · security: The reporting person's original Form 4 included the incorrect number of shares purchased in the private placement and the incorrect price per share paid by the reporting person in the private placement.

SEC source: 0001493152-18-016880 · ownership.xml · derivative · entry 2

Robins Marcus W. · CIK 0001755426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2021-10-02

F3 · security: The common stock options were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to a grant under the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (the "Plan"), as amended. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from October 2, 2018.

F3 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to a grant under the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (the "Plan"), as amended. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from October 2, 2018.

SEC source: 0001493152-18-016880 · ownership.xml · nonDerivative · entry 1

Robins Marcus W. · CIK 0001755426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,183

F1 · security: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021.

F2 · security: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock. The Reporting Person has been granted the right to elect to defer actual payment of a vested RSU award, subject to compliance with Internal Revenue Code Section 409A.

F1 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021.

SEC source: 0001493152-18-016879 · ownership.xml · derivative · entry 2

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2021-10-02

F3 · security: The common stock options were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to a grant under the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (the "Plan"), as amended. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from October 2, 2018.

F3 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to a grant under the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (the "Plan"), as amended. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from October 2, 2018.

SEC source: 0001493152-18-016879 · ownership.xml · nonDerivative · entry 1

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,183

F1 · security: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to the Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021.

F2 · security: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock. The Reporting Person has been granted the right to elect to defer actual payment of a vested RSU award, subject to compliance with Internal Revenue Code Section 409A.

F1 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to the Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021.

SEC source: 0001493152-18-016878 · ownership.xml · nonDerivative · entry 1

Broennimann Benedict · CIK 0001730165 · Chief Medical Officer, OUS

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rosewall Ventures Ltd.

Disclosed balance after: 437,778

F1 · kind: The issuer entered into a services agreement with Rosewall Ventures Ltd. ("Rosewall"), dated May 1, 2018 (the "Service Agreement"), whereby Rosewall is providing the services of Ben Broennimann as the Company's Chief Medical Officer - Out of U.S.. The Service Agreement provides for the monthly payment of fifteen thousand dollars ($15,000) (the " Rosewall Monthly Fee"), provided however that the Company may, at its sole option, elect to pay twenty five percent (25%) of the Rosewall Monthly Fee in company common stock, par value $0.0001 per share (the "Common Stock"), with the number of Common Stock determined by dividing three thousand seven hundred fifty dollars ($3,750) by the closing price of Common Stock on the second (2nd) work day of each month. On November 27, 2018, the Company elected to issue Rosewall Common Stock for the months of October and November.

F2 · price: The closing price of the Common Stock on the 2nd work day of October was $2.57 and it was $2.00 for the 2nd work day of November.

F3 · ownership.nature: Dr. Benedict Broennimann is the chairman of Rosewall Ventures Ltd.

SEC source: 0001493152-18-017034 · ownership.xml · derivative · entry 2

Duhay Francis · CIK 0001760582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2021-10-02

F3 · security: The common stock options were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to a grant under the Plan, as amended. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from October 2, 2018.

F3 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to a grant under the Plan, as amended. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from October 2, 2018.

SEC source: 0001493152-18-017034 · ownership.xml · nonDerivative · entry 1

Duhay Francis · CIK 0001760582 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,183

F1 · security: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (the "Plan"),, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021.

F2 · security: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock.

F1 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on November 27, 2018, in connection with joining the Issuer's board of directors, pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (the "Plan"),, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021.

SEC source: 0001493152-19-016545 · ownership.xml · derivative · entry 2

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2021-10-02

F3 · derivative.exercise_date: The common stock options were issued to the Reporting Person on November 27, 2018 in connection with joining the Issuer's board of directors pursuant to the Plan. The award is subject to time-based vesting and will vest in equal quarterly portions over a three (3) year period starting from October 2, 2018.

SEC source: 0001493152-19-016545 · ownership.xml · derivative · entry 1

Shrivastava Sanjay · CIK 0001754588 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,183

Underlying: Common Stock · 29,183 shares

Expires not disclosed

F1 · security: This amendment to Form 4 is being filed by the Reporting Person to include those certain Restricted Stock Units (the "RSUs") granted to the Reporting Person on November 27, 2018 in Table II rather than Table I because the RSUs, upon vesting, entitle the Reporting Person to one share of the Issuer's common stock or the cash equivalent, at the discretion of the Issuer (not shares of common stock only).

F2 · derivative.exercise_price: The RSUs were issued to the Reporting Person on November 27, 2018 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021. The award will cease vesting at such time as the Reporting Person is no longer a director of the Issuer and any unvested portion of the RSU will be forfeited immediately.

F2 · derivative.exercise_date: The RSUs were issued to the Reporting Person on November 27, 2018 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021. The award will cease vesting at such time as the Reporting Person is no longer a director of the Issuer and any unvested portion of the RSU will be forfeited immediately.

F2 · derivative.expiration_date: The RSUs were issued to the Reporting Person on November 27, 2018 in connection with joining the Issuer's board of directors pursuant to the Issuer's Amended and Restated 2016 Omnibus Incentive Plan (as amended, the "Plan"). The award is subject to time-based vesting and will vest in equal annual portions on: (i) October 2, 2019; (ii) October 2, 2020; and (iii) October 2, 2021. The award will cease vesting at such time as the Reporting Person is no longer a director of the Issuer and any unvested portion of the RSU will be forfeited immediately.

SEC source: 0001493152-18-013747 · ownership.xml · derivative · entry 1

BERMAN ROBERT ANDREW · CIK 0001258360 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,080,207

Underlying: Common Stock · 1,080,207 shares

Expires 2028-09-24

F1 · derivative.exercise_date: On September 24, 2018, the Board of Directors of the Company approved the grant of a ten-year option to purchase an aggregate of 1,080,207 shares of the Company's common stock at an exercise price of $4.99 per share (the "Option") to the reporting person, which Option was issued pursuant to the terms of that certain employment agreement, dated March 30, 2018 (the "Effective Date"), between the reporting person and the Company (the "Employment Agreement"). The grant of the Option was in fulfillment of the express terms of the previously agreed to Employment Agreement, which was filed as an exhibit to the Company's Form S-1/A with the Securities and Exchange Commission on April 16, 2018.

F2 · derivative.exercise_date: The Employment Agreement provides that the reporting person is entitled to receive an equity grant of an option to purchase up to 6.5% of the Company's common stock outstanding on a fully diluted basis at the closing of the Company's initial public offering. The shares subject to the Option will vest over a period of 2 years, with 1/5th of the shares subject to the Option having vested on the Effective Date (the "Initial Vesting") and the remaining shares vesting in substantially equal monthly installments during the twenty-four (24) month period following the Effective Date and ending March 30, 2020 (as of the date of this report 396,076 shares subject to the Option, including the Initial Vesting, have vested).