OTLK

SEC source: 0001415889-24-024704 · form4-10032024_081007.xml · derivative · entry 3

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,771

Underlying: Common Stock · 19,771 shares

Expires 2034-10-03

F3 · derivative.exercise_date: The options were granted under the 2024 Plan in lieu of $90,000 cash fees payable under the Issuer's Non-Employee Director Compensation Policy and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024703 · form4-10032024_081005.xml · derivative · entry 3

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,771

Underlying: Common Stock · 19,771 shares

Expires 2034-10-03

F3 · derivative.exercise_date: The options were granted under the 2024 Plan in lieu of $90,000 cash fees payable under the Issuer's Non-Employee Director Compensation Policy and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024707 · form4-10032024_081013.xml · derivative · entry 2

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,509

Underlying: Common Stock · 23,509 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024707 · form4-10032024_081013.xml · derivative · entry 1

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024706 · form4-10032024_081011.xml · derivative · entry 2

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,493

Underlying: Common Stock · 29,493 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024706 · form4-10032024_081011.xml · derivative · entry 1

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024702 · form4-10032024_081003.xml · derivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,151

Underlying: Common Stock · 105,151 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024702 · form4-10032024_081003.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024701 · form4-10032024_081001.xml · derivative · entry 2

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,549

Underlying: Common Stock · 89,549 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024701 · form4-10032024_081001.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024711 · form4-10042024_011036.xml · derivative · entry 2

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,169

Underlying: Common Stock · 71,169 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024711 · form4-10042024_011036.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024708 · form4-10032024_081015.xml · derivative · entry 2

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,232

Underlying: Common Stock · 47,232 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024708 · form4-10032024_081015.xml · derivative · entry 1

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024704 · form4-10032024_081007.xml · derivative · entry 2

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,293

Underlying: Common Stock · 132,293 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024704 · form4-10032024_081007.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024703 · form4-10032024_081005.xml · derivative · entry 2

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,430

Underlying: Common Stock · 134,430 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024703 · form4-10032024_081005.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024093 · form4-09302024_080919.xml · nonDerivative · entry 1

KENYON LAWRENCE A · CIK 0001230484 · Director · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,946

F1 · balance_after: Reflects the Issuer's 1-for-20 reverse stock split effected on March 13, 2024.

SEC source: 0001415889-24-011064 · form4-04182024_120410.xml · derivative · entry 2

Syntone Ventures LLC · CIK 0001814394 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,071,429

Underlying: Common Stock · 1,071,429 shares

Expires 2029-04-15

F1 · kind: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and Syntone Ventures LLC ("Syntone"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, Syntone purchased 714,286 shares of common stock and warrants to acquire 1,071,429 shares of common stock closed on April 15, 2024.

F1 · price: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and Syntone Ventures LLC ("Syntone"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, Syntone purchased 714,286 shares of common stock and warrants to acquire 1,071,429 shares of common stock closed on April 15, 2024.

SEC source: 0001415889-24-011064 · form4-04182024_120410.xml · nonDerivative · entry 1

Syntone Ventures LLC · CIK 0001814394 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,705,438

F1 · kind: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and Syntone Ventures LLC ("Syntone"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, Syntone purchased 714,286 shares of common stock and warrants to acquire 1,071,429 shares of common stock closed on April 15, 2024.

F1 · price: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and Syntone Ventures LLC ("Syntone"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, Syntone purchased 714,286 shares of common stock and warrants to acquire 1,071,429 shares of common stock closed on April 15, 2024.

F2 · balance_after: Effective March 14, 2024, every 20 issued and outstanding shares of the Issuer's common stock was automatically combined into one issued and outstanding share of the Issuer's common stock (the "Reverse Stock Split"). Prior to the Reverse Stock Split, Syntone held 19,823,045 shares of common stock and, as a result of the Reverse Stock Split, such shares of common stock became 991,152 shares of common stock.

SEC source: 0001415889-24-009394 · form4-03292024_020304.xml · nonDerivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,048.7112

F1 · price: The price reported in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $11.78 to $11.8249 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: Reflects the Issuer's 1-for-20 reverse stock split effected on March 13, 2024.

SEC source: 0001415889-24-008975 · form4-03222024_050317.xml · derivative · entry 1

Evanson Jeff · CIK 0001760511 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2034-03-20

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on March 20, 2025, with the remaining shares vesting in equal monthly installments over the following three years thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date. The option is also subject to acceleration under certain circumstances.

SEC source: 0001415889-24-008973 · form4-03222024_050307.xml · derivative · entry 1

TRENARY C RUSSELL III · CIK 0001227307 · Director · CEO AND PRESIDENT

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 455,000

Underlying: Common Stock · 455,000 shares

Expires 2034-03-20

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on March 20, 2025, with the remaining shares vesting in equal monthly installments over the following three years thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date. The option is also subject to acceleration under certain circumstances.

SEC source: 0001415889-24-008974 · form4-03222024_050315.xml · derivative · entry 1

KENYON LAWRENCE A · CIK 0001230484 · Director · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2034-03-20

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on March 20, 2025, with the remaining shares vesting in equal monthly installments over the following three years thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date. The option is also subject to acceleration under certain circumstances.

SEC source: 0000947871-24-000291 · ownership.xml · derivative · entry 2

Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner

GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,458,571

Underlying: Common Stock · 3,458,571 shares

Expires 2029-03-18

F1 · kind: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and certain institutional and accredited investors, including GMS Ventures and Investments ("GMS Ventures"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, the purchase by GMS Ventures of 2,305,714 shares of common stock and warrants to acquire 3,458,571 shares of common stock closed on March 18, 2024.

F1 · price: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and certain institutional and accredited investors, including GMS Ventures and Investments ("GMS Ventures"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, the purchase by GMS Ventures of 2,305,714 shares of common stock and warrants to acquire 3,458,571 shares of common stock closed on March 18, 2024.

F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization.

F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000947871-24-000291 · ownership.xml · nonDerivative · entry 1

Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner

GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 5,808,074

F1 · kind: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and certain institutional and accredited investors, including GMS Ventures and Investments ("GMS Ventures"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, the purchase by GMS Ventures of 2,305,714 shares of common stock and warrants to acquire 3,458,571 shares of common stock closed on March 18, 2024.

F1 · price: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and certain institutional and accredited investors, including GMS Ventures and Investments ("GMS Ventures"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, the purchase by GMS Ventures of 2,305,714 shares of common stock and warrants to acquire 3,458,571 shares of common stock closed on March 18, 2024.

F2 · balance_after: Effective March 14, 2024, every 20 issued and outstanding shares of the Issuer's common stock was automatically combined into one issued and outstanding share of the Issuer's common stock (the "Reverse Stock Split"). Prior to the Reverse Stock Split, GMS Ventures held 70,047,204 shares of common stock and, as a result of the Reverse Stock Split, such shares of common stock became 3,502,360 shares of common stock.

F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization.

F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001415889-24-007342 · form4-03082024_090327.xml · derivative · entry 1

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007338 · form4-03082024_090337.xml · derivative · entry 1

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007324 · form4-03082024_090353.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007319 · form4-03082024_090322.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007335 · form4-03082024_090352.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007354 · form4-03082024_090336.xml · derivative · entry 1

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007332 · form4-03082024_090358.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007326 · form4-03082024_090335.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007516 · form4-03112024_080303.xml · nonDerivative · entry 1

Evanson Jeff · CIK 0001760511 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 808,459

F1 · price: The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $0.4044 to $0.42 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-23-052239 · doc4.xml · derivative · entry 1

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 191,113

Underlying: Common Stock · 191,113 shares

Expires 2033-10-04

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $40,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2024, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-23-052238 · doc4.xml · derivative · entry 1

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,225

Underlying: Common Stock · 210,225 shares

Expires 2033-10-04

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $44,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2024, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-23-052232 · doc4.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 286,670

Underlying: Common Stock · 286,670 shares

Expires 2033-10-04

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $60,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2024, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-23-052240 · doc4.xml · derivative · entry 1

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 210,225

Underlying: Common Stock · 210,225 shares

Expires 2033-10-04

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $44,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2024, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-23-052235 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 358,337

Underlying: Common Stock · 358,337 shares

Expires 2033-10-04

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $75,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2024, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-23-052233 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 372,671

Underlying: Common Stock · 372,671 shares

Expires 2033-10-04

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $78,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2024, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-23-052271 · doc4.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 370,282

Underlying: Common Stock · 370,282 shares

Expires 2033-10-04

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $77,500 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2024, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-23-025294 · doc4.xml · nonDerivative · entry 1

Dagnon Terry · CIK 0001760510 · Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 653,058

F1 · shares: These shares were sold to cover taxes upon lapse of Issuer's repurchase right as to 75% of the shares as provided in that certain Consulting Agreement dated January 27, 2020.

SEC source: 0001209191-23-024881 · doc4.xml · derivative · entry 1

Dagnon Terry · CIK 0001760510 · Chief Operations Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,143

Underlying: Common Stock · 192,143 shares

Expires 2033-04-17

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on April 17, 2024, with the remaining shares vesting in equal monthly installments over the following three years thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date. The option is also subject to acceleration under certain circumstances.

SEC source: 0001209191-23-024880 · doc4.xml · derivative · entry 1

Evanson Jeff · CIK 0001760511 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,143

Underlying: Common Stock · 192,143 shares

Expires 2033-04-17

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on April 17, 2024, with the remaining shares vesting in equal monthly installments over the following three years thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date. The option is also subject to acceleration under certain circumstances.

SEC source: 0001209191-23-024879 · doc4.xml · derivative · entry 1

TRENARY C RUSSELL III · CIK 0001227307 · Director · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,143

Underlying: Common Stock · 257,143 shares

Expires 2033-04-17

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on April 17, 2024, with the remaining shares vesting in equal monthly installments over the following three years thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date. The option is also subject to acceleration under certain circumstances.

SEC source: 0001209191-23-021910 · doc4.xml · derivative · entry 1

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-23-021909 · doc4.xml · derivative · entry 1

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-23-021904 · doc4.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.