OTLC

SEC source: 0001493152-21-017106 · ownership.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 74,455,719 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 · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 6,872,529

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 · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Autotelic, Inc.

Disclosed balance after: 16,780,384

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 · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,268,021

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: 0001493152-21-017105 · ownership.xml · derivative · entry 2

KING STEVEN W · CIK 0001244106 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Artius Bioconsulting

Disclosed balance after: 0

Underlying: Common Stock · 3,291,720 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: 0001493152-21-017105 · ownership.xml · nonDerivative · entry 1

KING STEVEN W · CIK 0001244106 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Artius Bioconsulting

Disclosed balance after: 3,330,647

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: 0001493152-21-017102 · ownership.xml · derivative · entry 3

Saund Saran · CIK 0001834417 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,354,961 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 August 17, 2019, as amended November 1, 2019, between the Issuer and PointR Data Inc., (the "Merger"), 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 August 17, 2019, as amended November 1, 2019, between the Issuer and PointR Data Inc., (the "Merger"), 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 August 17, 2019, as amended November 1, 2019, between the Issuer and PointR Data Inc., (the "Merger"), 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: 0001493152-21-017102 · ownership.xml · nonDerivative · entry 1

Saund Saran · CIK 0001834417 · CHIEF BUSINESS OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,354,961

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 August 17, 2019, as amended November 1, 2019, between the Issuer and PointR Data Inc., (the "Merger"), 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: 0001493152-20-022450 · ownership.xml · nonDerivative · entry 3

Shah Amit B. · CIK 0001719077 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

SEC source: 0001493152-20-022450 · ownership.xml · nonDerivative · entry 2

Shah Amit B. · CIK 0001719077 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,780

SEC source: 0001493152-20-022450 · ownership.xml · nonDerivative · entry 1

Shah Amit B. · CIK 0001719077 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,692

SEC source: 0001493152-20-022256 · ownership.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,812,308

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.186 to $0.195 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001493152-20-022257 · ownership.xml · nonDerivative · entry 1

Park Chulho · CIK 0001775662 · CHIEF TECHNOLOGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,833,992

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.183 to $0.185 per share, inclusive. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001415889-20-000880 · form4-03272020_020342.xml · nonDerivative · entry 1

Trieu Vuong · CIK 0001587074 · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,761,808

SEC source: 0001209191-18-039187 · doc4.xml · derivative · entry 2

Schwieterman William D · CIK 0001403961 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-06-20

F3 · shares: Dr. Schwieterman was awarded options to purchase Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "2015 Plan Options" and, collectively with the 2017 Plan Options, the "Options"), pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan in connection with his service as President and Chief Executive Officer.

F2 · derivative.exercise_date: The Options will vest in twelve equal monthly installments beginning one month after the date of grant.

SEC source: 0001209191-18-039187 · doc4.xml · derivative · entry 1

Schwieterman William D · CIK 0001403961 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-06-20

F1 · shares: Dr. Schwieterman was awarded options to purchase Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "2017 Plan Options"), pursuant to the Mateon Therapeutics, Inc. 2017 Equity Incentive Plan in connection with his service as President and Chief Executive Officer.

F2 · derivative.exercise_date: The Options will vest in twelve equal monthly installments beginning one month after the date of grant.

SEC source: 0001209191-18-039183 · doc4.xml · derivative · entry 1

SANDAGE BOBBY W. JR., PHD. · CIK 0001046352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,171

Underlying: Common Stock · 258,171 shares

Expires 2024-06-20

F1 · shares: Dr. Sandage was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per shares (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in full on June 20, 2019, subject to Dr. Sandage's continued service on the Board of Directors as of such date.

SEC source: 0001209191-18-039172 · doc4.xml · derivative · entry 1

Pedder Simon · CIK 0001316736 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,171

Underlying: Common Stock · 258,171 shares

Expires 2024-06-20

F1 · shares: Dr. Pedder was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per shares (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in full on June 20, 2019, subject to Dr. Pedder's continued service on the Board of Directors as of such date.

SEC source: 0001209191-18-039176 · doc4.xml · derivative · entry 1

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,171

Underlying: Common Stock · 258,171 shares

Expires 2024-06-20

F1 · shares: Mr. Reynolds was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per shares (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in full on June 20, 2019, subject to Mr. Reynolds' continued service on the Board of Directors as of such date.

SEC source: 0001209191-18-039169 · doc4.xml · derivative · entry 2

LOAR MATTHEW M · CIK 0001236260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-06-20

F3 · shares: Mr. Loar was awarded options to purchase Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "2015 Plan Options" and, collectively with the 2017 Plan Options, the "Options"), pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan in connection with his service as Chief Financial Officer.

F2 · derivative.exercise_date: The Options will vest in twelve equal monthly installments beginning one month after the date of grant.

SEC source: 0001209191-18-039169 · doc4.xml · derivative · entry 1

LOAR MATTHEW M · CIK 0001236260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2028-06-20

F1 · shares: Mr. Loar was awarded options to purchase Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "2017 Plan Options"), pursuant to the Mateon Therapeutics, Inc. 2017 Equity Incentive Plan in connection with his service as Chief Financial Officer.

F2 · derivative.exercise_date: The Options will vest in twelve equal monthly installments beginning one month after the date of grant.

SEC source: 0001209191-18-039167 · doc4.xml · derivative · entry 1

CHAPLIN DAVID · CIK 0001167232 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,171

Underlying: Common Stock · 258,171 shares

Expires 2024-06-20

F1 · shares: Dr. Chaplin was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per shares (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Amended and Restated Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in full on June 20, 2019, subject to Dr. Chaplin's continued service on the Board of Directors as of such date.

SEC source: 0001209191-18-024991 · doc4.xml · derivative · entry 3

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires not disclosed

F1 · price: The reported securities are included within one Unit purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

F2 · derivative.exercise_date: The Common Stock B Warrants shall become exercisable immediately following the Company's stockholders' approval of an increase in the number of the Company's authorized shares of Common Stock sufficient to cover the number of shares issuable upon the exercise of all of the Common Stock B Warrants issued pursuant to the Subscription Agreement (the "Stock Authorization"). The Company is obligated to effect the Stock Authorization no later than June 30, 2018 (the "Authorization Date").

F3 · derivative.expiration_date: The Common Stock B Warrants shall expire on the date that is two years after the Stock Authorization is effected (the "Expiration Date"). In the event that the Company fails to effect the Stock Authorization by the Authorization Date, the Expiration Date will be extended for two additional years.

SEC source: 0001209191-18-024991 · doc4.xml · derivative · entry 2

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2020-04-12

F1 · price: The reported securities are included within one Unit purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

SEC source: 0001209191-18-024991 · doc4.xml · nonDerivative · entry 1

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,000

F1 · price: The reported securities are included within one Unit purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

SEC source: 0001209191-18-024989 · doc4.xml · derivative · entry 3

Schwieterman William D · CIK 0001403961 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,500

Underlying: Common Stock · 312,500 shares

Expires not disclosed

F1 · price: The reported securities are included within 2.5 Units purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

F2 · derivative.exercise_date: The Common Stock B Warrants shall become exercisable immediately following the Company's stockholders' approval of an increase in the number of the Company's authorized shares of Common Stock sufficient to cover the number of shares issuable upon the exercise of all of the Common Stock B Warrants (the "Stock Authorization"). The Company is obligated to effect the Stock Authorization no later than June 30, 2018 (the "Authorization Date").

F3 · derivative.expiration_date: The Common Stock B Warrants shall expire on the date that is two years after the Stock Authorization is effected (the "Expiration Date"). In the event that the Company fails to effect the Stock Authorization by the Authorization Date, the Expiration Date will be extended for two additional years.

SEC source: 0001209191-18-024989 · doc4.xml · derivative · entry 2

Schwieterman William D · CIK 0001403961 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,500

Underlying: Common Stock · 312,500 shares

Expires 2020-04-12

F1 · price: The reported securities are included within 2.5 Units purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

SEC source: 0001209191-18-024989 · doc4.xml · nonDerivative · entry 1

Schwieterman William D · CIK 0001403961 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 625,747

F1 · price: The reported securities are included within 2.5 Units purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

SEC source: 0001209191-18-024986 · doc4.xml · derivative · entry 3

LOAR MATTHEW M · CIK 0001236260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires not disclosed

F1 · price: The reported securities are included within one Unit purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

F2 · derivative.exercise_date: The Common Stock B Warrants shall become exercisable immediately following the Company's stockholders' approval of an increase in the number of the Company's authorized shares of Common Stock sufficient to cover the number of shares issuable upon the exercise of all of the Common Stock B Warrants (the "Stock Authorization"). The Company is obligated to effect the Stock Authorization no later than June 30, 2018 (the "Authorization Date").

F3 · derivative.expiration_date: The Common Stock B Warrants shall expire on the date that is two years after the Stock Authorization is effected (the "Expiration Date"). In the event that the Company fails to effect the Stock Authorization by the Authorization Date, the Expiration Date will be extended for two additional years.

SEC source: 0001209191-18-024986 · doc4.xml · derivative · entry 2

LOAR MATTHEW M · CIK 0001236260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2020-04-12

F1 · price: The reported securities are included within one Unit purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

SEC source: 0001209191-18-024986 · doc4.xml · nonDerivative · entry 1

LOAR MATTHEW M · CIK 0001236260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

F1 · price: The reported securities are included within one Unit purchased by the reporting person for $50,000 per Unit pursuant to a Subscription Agreement between the reporting person and Mateon Therapeutics, Inc. (the "Company"), dated April 12, 2018 (the "Subscription Agreement"). Each Unit consists of (i) 250,000 shares of Common Stock of the Company, par value $0.01 per share (the "Common Stock"), (ii) an "A" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share and (iii) a "B" warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.40 per share.

SEC source: 0001209191-17-039320 · doc4.xml · derivative · entry 1

Pedder Simon · CIK 0001316736 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,483

Underlying: Common Stock · 121,483 shares

Expires 2023-06-09

F1 · shares: Dr. Pedder was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in full on June 9, 2018, subject to Dr. Pedder's continued service on the Board of Directors as of such date.

SEC source: 0001209191-17-039319 · doc4.xml · derivative · entry 1

SANDAGE BOBBY W. JR., PHD. · CIK 0001046352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,483

Underlying: Common Stock · 121,483 shares

Expires 2023-06-09

F1 · shares: Dr. Sandage was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in full on June 9, 2018, subject to Dr. Sandage's continued service on the Board of Directors as of such date.

SEC source: 0001209191-17-039317 · doc4.xml · derivative · entry 1

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,483

Underlying: Common Stock · 121,483 shares

Expires 2023-06-09

F1 · shares: Mr. Reynolds was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "Stock Options"), in connection with his service as a member of the Board of Directors pursuant to the Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Non-Employee Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in full on June 9, 2018, subject to Mr. Reynolds' continued service on the Board of Directors as of such date.

SEC source: 0001209191-17-003704 · doc4.xml · derivative · entry 1

Schwieterman William D · CIK 0001403961 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 550,000 shares

Expires 2027-01-12

F1 · shares: Dr. Schwieterman was awarded options to purchase Mateon Therapeutics, Inc. common stock, $0.01 par value per share, pursuant to the Mateon Therapeutics, Inc. 2017 Equity Incentive Plan in connection with his service as President and Chief Executive Officer.

F2 · derivative.exercise_date: The Options will vest in forty-eight equal monthly installments beginning one month after the grant date.

F1 · derivative.underlying_shares: Dr. Schwieterman was awarded options to purchase Mateon Therapeutics, Inc. common stock, $0.01 par value per share, pursuant to the Mateon Therapeutics, Inc. 2017 Equity Incentive Plan in connection with his service as President and Chief Executive Officer.

SEC source: 0001209191-17-003702 · doc4.xml · derivative · entry 1

LOAR MATTHEW M · CIK 0001236260 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2027-01-12

F1 · shares: Mr. Loar was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share, pursuant to the Mateon Therapeutics, Inc. 2017 Equity Incentive Plan in connection with his service as Chief Financial Officer.

F2 · derivative.exercise_date: The Options will vest in forty-eight equal monthly installments beginning one month after the grant date.

F1 · derivative.underlying_shares: Mr. Loar was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share, pursuant to the Mateon Therapeutics, Inc. 2017 Equity Incentive Plan in connection with his service as Chief Financial Officer.

SEC source: 0001209191-17-003700 · doc4.xml · derivative · entry 1

CHAPLIN DAVID · CIK 0001167232 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,500

Underlying: Common Stock · 262,500 shares

Expires 2027-01-12

F1 · shares: Dr. Chaplin was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share, pursuant to the Mateon Therapeutics, Inc. 2017 Equity Incentive Plan in connection with his service as Chief Scientific Officer.

F2 · derivative.exercise_date: The Options will vest in forty-eight equal monthly installments beginning one month after the grant date.

F1 · derivative.underlying_shares: Dr. Chaplin was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share, pursuant to the Mateon Therapeutics, Inc. 2017 Equity Incentive Plan in connection with his service as Chief Scientific Officer.

SEC source: 0001209191-16-156108 · doc4.xml · nonDerivative · entry 3

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

SEC source: 0001209191-16-156108 · doc4.xml · nonDerivative · entry 2

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,050

SEC source: 0001209191-16-156108 · doc4.xml · nonDerivative · entry 1

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,700

SEC source: 0001209191-16-147149 · doc4.xml · derivative · entry 1

Reynolds Donald Rogers · CIK 0001687930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,612

Underlying: Common Stock · 135,612 shares

Expires 2022-10-25

F1 · shares: Mr. Reynolds was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "Stock Options"), in connection with his appointment to the Board of Directors pursuant to the Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in three equal annual installments on the first, second and third anniversary of the date of grant, subject to Mr. Reynolds' continued service on the Board of Directors as of such date.

SEC source: 0001209191-16-147151 · doc4.xml · derivative · entry 1

SANDAGE BOBBY W PHD · CIK 0001046352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,612

Underlying: Common Stock · 135,612 shares

Expires 2022-10-25

F1 · shares: Dr. Sandage was awarded options to purchase shares of Mateon Therapeutics, Inc. common stock, $0.01 par value per share (the "Stock Options"), in connection with his appointment to the Board of Directors pursuant to the Mateon Therapeutics, Inc. 2015 Equity Incentive Plan and the Amended and Restated Director Compensation Policy.

F2 · derivative.exercise_date: The Stock Options will vest in three equal annual installments on the first, second and third anniversary of the date of grant, subject to Dr. Sandage's continued service on the Board of Directors as of such date.