OTLC

SEC source: 0001493152-26-033169 · ownership.xml · derivative · entry 1

MAIDA ANTHONY E III · CIK 0001273213 · Director · DIRECTOR AND CMO - TRANS. MED.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Series A Preferred Stock · 1,500 shares

Expires not disclosed

F1 · security: On July 10, 2026, the reporting person was granted 1,500 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.

F2 · derivative.exercise_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

F2 · derivative.expiration_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

SEC source: 0001493152-26-033167 · ownership.xml · derivative · entry 1

Shah Amit B. · CIK 0001719077 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Series A Preferred Stock · 1,500 shares

Expires not disclosed

F1 · security: On July 10, 2026, the reporting person was granted 1,500 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.

F2 · derivative.exercise_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

F2 · derivative.expiration_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

SEC source: 0001493152-26-033168 · ownership.xml · derivative · entry 1

Saund Saran · CIK 0001834417 · CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Series A Preferred Stock · 1,500 shares

Expires not disclosed

F1 · security: On July 10, 2026, the reporting person was granted 1,500 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.

F2 · derivative.exercise_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

F2 · derivative.expiration_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

SEC source: 0001493152-26-033166 · ownership.xml · derivative · entry 4

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Series A Preferred Stock · 2,000 shares

Expires not disclosed

F1 · security: On July 10, 2026, the reporting person was granted 2,000 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.

F2 · derivative.exercise_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

F2 · derivative.expiration_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

SEC source: 0001493152-26-034069 · ownership.xml · derivative · entry 1

KING STEVEN W · CIK 0001244106 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250

Underlying: Series A Preferred Stock · 250 shares

Expires not disclosed

F1 · security: On July 10, 2026, the reporting person was granted 250 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.

F2 · derivative.exercise_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

F2 · derivative.expiration_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

SEC source: 0001493152-26-034397 · ownership.xml · derivative · entry 1

Fein Seymour Howard · CIK 0002147180 · CRO/CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250

Underlying: Series A Preferred Stock · 250 shares

Expires not disclosed

F1 · security: On July 10, 2026, the reporting person was granted 250 restricted stock units ("RSUs"), subject to performance and time-based vesting. On vesting each RSU will immediately be settled by delivery of, and each RSU represents the contingent right to receive, one share of the issuer's Series A Convertible Preferred Stock, par value $0.01. Each share of Series A Convertible Preferred Stock, in turn, is convertible into 1,000 shares of the issuer's common stock, par value $0.01 per share.

F2 · derivative.exercise_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

F2 · derivative.expiration_date: The RSU's will vest upon (a) achievement of an uplisting of the issuer's common stock to a national securities exchange on or before June 30, 2027 (or such later date as the Board of Directors may approve), subject to the reporting person's continued service for a period of six months following the uplisting.

SEC source: 0001493152-26-031846 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,124,319

F1 · date: On July 1, 2026, Dr. Vuong Trieu purchased 240,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.0431.

F1 · deemedExecutionDate: On July 1, 2026, Dr. Vuong Trieu purchased 240,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.0431.

SEC source: 0001493152-26-029997 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,884,319

F1 · date: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045.

F1 · deemedExecutionDate: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045.

SEC source: 0001493152-26-029997 · ownership.xml · nonDerivative · entry 2

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,769,319

F1 · date: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045.

F1 · deemedExecutionDate: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045.

SEC source: 0001493152-26-029594 · ownership.xml · nonDerivative · entry 1

Shah Amit B. · CIK 0001719077 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 378,837

F1 · date: On June 22, 2026, Amit Shah purchased 20,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.05.

F1 · deemedExecutionDate: On June 22, 2026, Amit Shah purchased 20,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.05.

SEC source: 0001493152-26-029997 · ownership.xml · nonDerivative · entry 3

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,694,319

F1 · date: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045.

F1 · deemedExecutionDate: On June 22, 2026, Dr. Vuong Trieu purchased 65,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 23, 2026, Dr. Vuong Trieu purchased 75,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045. Further, on June 24, 2026, Dr. Vuong Trieu purchased 115,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.045.

SEC source: 0001493152-26-029137 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,629,319

F1 · date: On June 15, 2026, Dr. Vuong Trieu purchased 96,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.05. Further, on June 17, 2026, Dr. Vuong Trieu purchased 239,759 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.0446.

F1 · deemedExecutionDate: On June 15, 2026, Dr. Vuong Trieu purchased 96,000 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.05. Further, on June 17, 2026, Dr. Vuong Trieu purchased 239,759 shares of Oncotelic Therapeutics, Inc. in his individual capacity, from the open market at a price of $0.0446.

SEC source: 0001493152-26-029137 · ownership.xml · nonDerivative · entry 2

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,389,560

SEC source: 0001493152-26-003634 · ownership.xml · derivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,491

Underlying: Common Stock · 4,426,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis.

F2 · price: The shares of Series A Convertible Preferred Stock were issued to Dr. Trieu as compensation pursuant to the accomplishment of performance milestones under a Restricted Stock Agreement dated January 21, 2026.

F1 · derivative.exercise_date: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis.

F1 · derivative.expiration_date: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis.

SEC source: 0001493152-25-024236 · ownership.xml · derivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,065

Underlying: Com-mon Stock · 4,065,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis.

F2 · price: The shares of Series A Convertible Preferred Stock were issued to Dr. Trieu as compensation pursuant to the accomplishment of performance milestones under a Restricted Stock Agreement dated November 17, 2025.

F1 · derivative.exercise_date: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis.

F1 · derivative.expiration_date: Series A Convertible Preferred Stock is convertible at any time at the option of the holder into Common Stock on a one-for-one thousand basis.

SEC source: 0001641172-25-018620 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,293,560

SEC source: 0001641172-25-018620 · ownership.xml · nonDerivative · entry 2

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,293,561

SEC source: 0001641172-25-018620 · ownership.xml · nonDerivative · entry 3

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,388,297

SEC source: 0001493152-25-004486 · ownership.xml · nonDerivative · entry 3

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,189,560

SEC source: 0001493152-25-004486 · ownership.xml · nonDerivative · entry 2

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,125,785

SEC source: 0001493152-25-004486 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,025,782

SEC source: 0001493152-24-047762 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,842,716

SEC source: 0001493152-24-033939 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,544,217

SEC source: 0001493152-23-023015 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,044,217

SEC source: 0001493152-23-023015 · ownership.xml · nonDerivative · entry 2

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,619,217

SEC source: 0001493152-23-021800 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,544,217

SEC source: 0001493152-23-021563 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,444,217

SEC source: 0001493152-23-019557 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,044,217

SEC source: 0001493152-23-015195 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,917,329

SEC source: 0001493152-22-034663 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,558,021

SEC source: 0001493152-22-033681 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,438,021

SEC source: 0001493152-22-026963 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,368,021

SEC source: 0001493152-22-024234 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,348,021

SEC source: 0001493152-21-022220 · ownership.xml · derivative · entry 1

Trieu Vuong · CIK 0001587074 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 225,000 shares

Expires 2031-09-03

F1 · derivative.exercise_date: Stock options vest as follows: (i) 1/5th on September 30, 2021; (ii) 1/5th on December 31, 2021; (iii) 1/5th on March 31, 2022; (iv) 1/5th on June 30, 2022; and (v) 1/5th on September 30, 2022.

SEC source: 0001493152-21-022219 · ownership.xml · derivative · entry 1

MAIDA ANTHONY E III · CIK 0001273213 · Director · Chief Clin. Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2031-09-03

F1 · derivative.exercise_date: Stock options vest as follows: (i) 1/5th on September 30, 2021; (ii) 1/5th on December 31, 2021; (iii) 1/5th on March 31, 2022; (iv) 1/5th on June 30, 2022; and (v) 1/5th on September 30, 2022.

SEC source: 0001493152-21-022218 · ownership.xml · derivative · entry 1

KING STEVEN W · CIK 0001244106 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-09-03

F1 · derivative.exercise_date: Stock options vest as follows: (i) 1/5th on September 30, 2021; (ii) 1/5th on December 31, 2021; (iii) 1/5th on March 31, 2022; (iv) 1/5th on June 30, 2022; and (v) 1/5th on September 30, 2022.

SEC source: 0001493152-21-022217 · ownership.xml · derivative · entry 1

Saund Saran · CIK 0001834417 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 675,000

Underlying: Common Stock · 675,000 shares

Expires 2031-09-03

F1 · derivative.exercise_date: Stock Options vest as follows: (i) 50% of the options will vest upon the consummation of a qualifying joint venture agreement, licensing agreement, or acquisition transaction (a "Corporate Transaction"); (ii) The remaining 50% on the one-year anniversary of the consummation of a Corporate Transaction.

SEC source: 0001493152-21-017103 · ownership.xml · derivative · entry 1

Diamond David · CIK 0001802807 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 451,467

Underlying: Common Stock · 451,467 shares

Expires 2031-07-08

F1 · shares: Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan, which vest immediately on the date of grant.

SEC source: 0001493152-21-017107 · ownership.xml · derivative · entry 3

MAIDA ANTHONY E III · CIK 0001273213 · Director · CHIEF CLINICAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-07-08

F3 · shares: Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan, which vest immediately on the date of grant.

SEC source: 0001493152-21-017106 · ownership.xml · derivative · entry 8

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,953

Underlying: Common Stock · 513,953 shares

Expires 2031-07-08

F4 · shares: Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan and which vest immediately on the date of grant.

SEC source: 0001493152-21-017106 · ownership.xml · nonDerivative · entry 2

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,527,323

F2 · shares: Shares were issued in settlement of Restricted Stock Units granted pursuant to the Issuer's 2015 Equity Incentive Plan that vested immediately upon grant.

SEC source: 0001493152-21-017105 · ownership.xml · derivative · entry 3

KING STEVEN W · CIK 0001244106 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,412

Underlying: Common Stock · 357,412 shares

Expires 2031-07-08

F2 · shares: Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan, which vests immediately on the date of grant.

SEC source: 0001493152-21-017104 · ownership.xml · derivative · entry 2

Shah Amit B. · CIK 0001719077 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 698,256

Underlying: Common Stock · 698,256 shares

Expires 2031-07-08

F2 · shares: Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan, which vest immediately on date of grant.

SEC source: 0001493152-21-017104 · ownership.xml · nonDerivative · entry 1

Shah Amit B. · CIK 0001719077 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 358,837

F1 · shares: Shares were issued in settlement of Restricted Stock Units granted pursuant to the Issuer's 2015 Equity Incentive Plan that vested immediately upon grant.

SEC source: 0001493152-21-017102 · ownership.xml · derivative · entry 4

Saund Saran · CIK 0001834417 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,279

Underlying: Common Stock · 216,279 shares

Expires 2031-07-08

F4 · shares: Stock options granted pursuant to the Issuer's 2015 Equity Incentive Plan, which vest immediately on the date of grant.

SEC source: 0001493152-21-017102 · ownership.xml · nonDerivative · entry 2

Saund Saran · CIK 0001834417 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,457,480

F2 · shares: Shares were issued in settlement of Restricted Stock Units granted pursuant to the Issuer's 2015 Equity Incentive Plan that vested immediately upon grant.

SEC source: 0001493152-21-017107 · ownership.xml · derivative · entry 2

MAIDA ANTHONY E III · CIK 0001273213 · Director · CHIEF CLINICAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 938,646 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: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F2 · derivative.expiration_date: Shares of the Series A Convertible Preferred Stock does not expire.

SEC source: 0001493152-21-017107 · ownership.xml · nonDerivative · entry 1

MAIDA ANTHONY E III · CIK 0001273213 · Director · CHIEF CLINICAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,137,314

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: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

SEC source: 0001493152-21-017106 · ownership.xml · derivative · entry 7

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Underlying: Common Stock · 5,672,025 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: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F3 · derivative.expiration_date: Shares of the Series A Convertible Preferred Stock does not expire.

SEC source: 0001493152-21-017106 · ownership.xml · derivative · entry 6

Trieu Vuong · CIK 0001587074 · Director · CHAIRMAN AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Autotelic, Inc.

Disclosed balance after: 0

Underlying: Common Stock · 13,849,161 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: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F1 · price: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger dated April 17, 2019, between the Issuer and Oncotelic, Inc., shares of the Issuer's Series A Convertible Preferred Stock ("Series A Preferred") held by the reporting person converted into shares of the Issuer's common stock, following a recapitalization by the Issuer.

F3 · derivative.expiration_date: Shares of the Series A Convertible Preferred Stock does not expire.