PALI

SEC source: 0001493152-23-045474 · ownership.xml · derivative · entry 3

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,583

Underlying: Common Stock · 5,559 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.

F4 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F4 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F4 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: This restricted stock unit was granted on June 11, 2023, and 5,559 restricted stock units subject to the award vested on December 11, 2023, and an additional 55,583 restricted stock units will vest in equal quarterly installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F3 · derivative.expiration_date: This restricted stock unit was granted on June 11, 2023, and 5,559 restricted stock units subject to the award vested on December 11, 2023, and an additional 55,583 restricted stock units will vest in equal quarterly installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-045474 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,340

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 · security: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

F1 · shares: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

F1 · price: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

SEC source: 0001493152-23-042665 · ownership.xml · derivative · entry 2

Trenschel Robert J. · CIK 0001849917 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,880

Underlying: Common Stock · 6,880 shares

Expires 2033-11-21

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-042665 · ownership.xml · derivative · entry 1

Trenschel Robert J. · CIK 0001849917 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,820

Underlying: Common Stock · 5,820 shares

Expires not disclosed

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042663 · ownership.xml · derivative · entry 4

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-11-21

F3 · security: The Grants were made as discretionary grants to Reporting Person from the Issuer's 2021 Equity Incentive Plan, as amended ("Plan"). Pursuant to Nasdaq rules, no shares may be issued pursuant to the grants until such time as there are sufficient shares of common stock available under the Plan. The applicable vesting for each grant is subject to the Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F7 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F8 · security: The grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date.

F8 · derivative.exercise_date: The grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date.

SEC source: 0001493152-23-042663 · ownership.xml · derivative · entry 3

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires not disclosed

F3 · security: The Grants were made as discretionary grants to Reporting Person from the Issuer's 2021 Equity Incentive Plan, as amended ("Plan"). Pursuant to Nasdaq rules, no shares may be issued pursuant to the grants until such time as there are sufficient shares of common stock available under the Plan. The applicable vesting for each grant is subject to the Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F4 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F5 · security: The grant vests in twelve (12) equal quarterly installments over a three (3) year period with the first vesting date to occur on February 6, 2024.

F5 · derivative.exercise_price: The grant vests in twelve (12) equal quarterly installments over a three (3) year period with the first vesting date to occur on February 6, 2024.

F4 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F5 · derivative.exercise_date: The grant vests in twelve (12) equal quarterly installments over a three (3) year period with the first vesting date to occur on February 6, 2024.

F6 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042666 · ownership.xml · derivative · entry 2

Diaz Stephanie · CIK 0001850265 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,880

Underlying: Common Stock · 6,880 shares

Expires 2033-11-21

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-042666 · ownership.xml · derivative · entry 1

Diaz Stephanie · CIK 0001850265 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,820

Underlying: Common Stock · 5,820 shares

Expires not disclosed

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042660 · ownership.xml · derivative · entry 2

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,880

Underlying: Common Stock · 6,880 shares

Expires 2033-11-21

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-042660 · ownership.xml · derivative · entry 1

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,820

Underlying: Common Stock · 5,820 shares

Expires not disclosed

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042664 · ownership.xml · derivative · entry 2

Jones Mitchell Lawrence · CIK 0001993292 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,160

Underlying: Common Stock · 33,160 shares

Expires 2033-11-21

F1 · security: The Grants were made as discretionary grants to Reporting Person from the Issuer's 2021 Equity Incentive Plan, as amended ("Plan"). Pursuant to Nasdaq rules, no shares may be issued pursuant to the grants until such time as there are sufficient shares of common stock available under the Plan. The applicable vesting for each grant is subject to the Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F6 · security: The grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date.

F6 · derivative.exercise_date: The grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date.

SEC source: 0001493152-23-042664 · ownership.xml · derivative · entry 1

Jones Mitchell Lawrence · CIK 0001993292 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires not disclosed

F1 · security: The Grants were made as discretionary grants to Reporting Person from the Issuer's 2021 Equity Incentive Plan, as amended ("Plan"). Pursuant to Nasdaq rules, no shares may be issued pursuant to the grants until such time as there are sufficient shares of common stock available under the Plan. The applicable vesting for each grant is subject to the Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F2 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F3 · security: The grant vests in twelve (12) equal quarterly installments over a three (3) year period with the first vesting date to occur on February 6, 2024.

F3 · derivative.exercise_price: The grant vests in twelve (12) equal quarterly installments over a three (3) year period with the first vesting date to occur on February 6, 2024.

F2 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: The grant vests in twelve (12) equal quarterly installments over a three (3) year period with the first vesting date to occur on February 6, 2024.

F4 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042662 · ownership.xml · derivative · entry 2

Neal James R · CIK 0001600865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,880

Underlying: Common Stock · 6,880 shares

Expires 2033-11-21

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-042662 · ownership.xml · derivative · entry 1

Neal James R · CIK 0001600865 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,820

Underlying: Common Stock · 5,820 shares

Expires not disclosed

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042661 · ownership.xml · derivative · entry 2

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,880

Underlying: Common Stock · 6,880 shares

Expires 2033-11-21

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-042661 · ownership.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,820

Underlying: Common Stock · 5,820 shares

Expires not disclosed

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042659 · ownership.xml · derivative · entry 2

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,880

Underlying: Common Stock · 6,880 shares

Expires 2033-11-21

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-042659 · ownership.xml · derivative · entry 1

Csimma Cristina · CIK 0001501623 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,820

Underlying: Common Stock · 5,820 shares

Expires not disclosed

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042658 · ownership.xml · derivative · entry 2

Wei Binxian · CIK 0001773586 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,880

Underlying: Common Stock · 6,880 shares

Expires 2033-11-21

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-042658 · ownership.xml · derivative · entry 1

Wei Binxian · CIK 0001773586 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,820

Underlying: Common Stock · 5,820 shares

Expires not disclosed

F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A.

SEC source: 0001493152-23-042663 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,781

F1 · security: Shares were purchased pursuant to the Palisade Bio, Inc. 2021 Employee Stock Purchase Plan, as amended ("ESPP") for the ESPP purchase period from July 1, 2023 through November 20, 2023. In accordance with the ESPP, the shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of the closing price of the issuer's common stock on November 20, 2023.

F1 · shares: Shares were purchased pursuant to the Palisade Bio, Inc. 2021 Employee Stock Purchase Plan, as amended ("ESPP") for the ESPP purchase period from July 1, 2023 through November 20, 2023. In accordance with the ESPP, the shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of the closing price of the issuer's common stock on November 20, 2023.

F1 · price: Shares were purchased pursuant to the Palisade Bio, Inc. 2021 Employee Stock Purchase Plan, as amended ("ESPP") for the ESPP purchase period from July 1, 2023 through November 20, 2023. In accordance with the ESPP, the shares were purchased in a transaction exempt under Rule 16b-3(c) at a price equal to 85% of the closing price of the issuer's common stock on November 20, 2023.

SEC source: 0001493152-23-039935 · ownership.xml · nonDerivative · entry 2

Jones Mitchell Lawrence · CIK 0001993292 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,926

F2 · security: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units.

F2 · price: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units.

SEC source: 0001493152-23-039936 · ownership.xml · derivative · entry 3

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,275

Underlying: Common Stock · 3,475 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.

F4 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F4 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F4 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: This restricted stock unit was granted on February 6, 2023, and 3,475 restricted stock units subject to the award vested on November 6, 2023, and an additional 31,275 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F3 · derivative.expiration_date: This restricted stock unit was granted on February 6, 2023, and 3,475 restricted stock units subject to the award vested on November 6, 2023, and an additional 31,275 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-039936 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,781

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 · security: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

F1 · shares: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

F1 · price: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

SEC source: 0001493152-23-039935 · ownership.xml · derivative · entry 3

Jones Mitchell Lawrence · CIK 0001993292 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,144

Underlying: Common Stock · 4,556 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.

F4 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F4 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F4 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

F3 · derivative.exercise_date: This restricted stock unit was granted on September 5, 2023, and 4,556 restricted stock units subject to the award vested on November 6, 2023, and an additional 50,144 restricted stock units will vest in equal installments over the eleven (11) quarterly periods thereafter, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F3 · derivative.expiration_date: This restricted stock unit was granted on September 5, 2023, and 4,556 restricted stock units subject to the award vested on November 6, 2023, and an additional 50,144 restricted stock units will vest in equal installments over the eleven (11) quarterly periods thereafter, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-039935 · ownership.xml · nonDerivative · entry 1

Jones Mitchell Lawrence · CIK 0001993292 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,556

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 · security: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

F1 · shares: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

F1 · price: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units.

SEC source: 0001493152-23-036404 · ownership.xml · nonDerivative · entry 2

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,306

F2 · security: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units.

F2 · price: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units.

SEC source: 0001493152-23-036404 · ownership.xml · derivative · entry 4

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,309

Underlying: Common Stock · 1,309 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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F4 · derivative.exercise_date: This restricted stock unit was granted on January 3, 2023, and 1,309 restricted stock units subject to the award vested on October 4, 2023, and an additional 1,309 restricted stock units will vest on January 3, 2024, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F4 · derivative.expiration_date: This restricted stock unit was granted on January 3, 2023, and 1,309 restricted stock units subject to the award vested on October 4, 2023, and an additional 1,309 restricted stock units will vest on January 3, 2024, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-036404 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,703

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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001493152-23-034754 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,394

F1 · shares: Reporting Person purchased 15,000 shares of Common Stock of Issuer at a price per share of $0.5392 on September 27, 2023.

F1 · price: Reporting Person purchased 15,000 shares of Common Stock of Issuer at a price per share of $0.5392 on September 27, 2023.

SEC source: 0001493152-23-034756 · ownership.xml · nonDerivative · entry 1

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Reporting Person's Defined Benefit Plan

Disclosed balance after: 20,000

F1 · shares: Reporting Person purchased 20,000 shares of Common Stock of Issuer at a price per share of $0.54 on September 27, 2023.

F1 · price: Reporting Person purchased 20,000 shares of Common Stock of Issuer at a price per share of $0.54 on September 27, 2023.

SEC source: 0001493152-23-032794 · ownership.xml · nonDerivative · entry 1

Trenschel Robert J. · CIK 0001849917 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Reflects the weighted average sale price. The range of prices for such transaction was $0.6396 to $0.6507. Open market sale transactions were made on the same day at different prices through a trade order executed by a broker-dealer. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

F1 · price: Reflects the weighted average sale price. The range of prices for such transaction was $0.6396 to $0.6507. Open market sale transactions were made on the same day at different prices through a trade order executed by a broker-dealer. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001493152-23-032655 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,394

F1 · shares: Reporting Person purchased 15,000 shares of Common Stock at prices ranging from $0.636 to $0.658 with a weighted average price per share of $0.655 on September 13, 2023. The Reporting Person agrees to provide full information regarding the number of shares purchased at each separate price paid if requested by the SEC staff, the Issuer, or a security holder of the Issuer.

F1 · price: Reporting Person purchased 15,000 shares of Common Stock at prices ranging from $0.636 to $0.658 with a weighted average price per share of $0.655 on September 13, 2023. The Reporting Person agrees to provide full information regarding the number of shares purchased at each separate price paid if requested by the SEC staff, the Issuer, or a security holder of the Issuer.

SEC source: 0001493152-23-032505 · ownership.xml · nonDerivative · entry 2

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,394

F2 · security: Represents shares sold on behalf of Reporting Person on September 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units.

F2 · price: Represents shares sold on behalf of Reporting Person on September 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units.

SEC source: 0001493152-23-032505 · ownership.xml · derivative · entry 4

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,142

Underlying: Common Stock · 5,558 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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F4 · derivative.exercise_date: This restricted stock unit was granted on June 11, 2023, and 5,558 restricted stock units subject to the award vested on September 11, 2023, and an additional 61,142 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F4 · derivative.expiration_date: This restricted stock unit was granted on June 11, 2023, and 5,558 restricted stock units subject to the award vested on September 11, 2023, and an additional 61,142 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-032505 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,186

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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001493152-23-028702 · ownership.xml · nonDerivative · entry 2

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,628

F2 · security: Represents shares sold on behalf of Reporting Person on August 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units.

F2 · price: Represents shares sold on behalf of Reporting Person on August 11, 2023, to satisfy tax requirements related to the vesting of the restricted stock units.

SEC source: 0001493152-23-028702 · ownership.xml · derivative · entry 4

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,750

Underlying: Common Stock · 3,475 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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F4 · derivative.exercise_date: This restricted stock unit was granted on February 6, 2023, and 3,475 restricted stock units subject to the award vested on August 6, 2023, and an additional 34,750 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F4 · derivative.expiration_date: This restricted stock unit was granted on February 6, 2023, and 3,475 restricted stock units subject to the award vested on August 6, 2023, and an additional 34,750 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-028702 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,057

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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001493152-23-023867 · ownership.xml · nonDerivative · entry 2

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,193

F2 · security: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units.

F2 · price: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units.

SEC source: 0001493152-23-023867 · ownership.xml · derivative · entry 4

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,618

Underlying: Common Stock · 1,309 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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F4 · derivative.exercise_date: This restricted stock unit was granted on January 3, 2023, and 1,309 restricted stock units subject to the award vested on July 3, 2023, and an additional 1,309 restricted stock units will vest on each of October 3, 2023 and January 3, 2024, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F4 · derivative.expiration_date: This restricted stock unit was granted on January 3, 2023, and 1,309 restricted stock units subject to the award vested on July 3, 2023, and an additional 1,309 restricted stock units will vest on each of October 3, 2023 and January 3, 2024, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-023867 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,582

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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001493152-23-021308 · ownership.xml · nonDerivative · entry 2

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,273

F2 · security: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units.

F2 · price: Represents shares sold on behalf of Reporting Person to satisfy tax requirements related to the vesting of the restricted stock units.

SEC source: 0001493152-23-021308 · ownership.xml · derivative · entry 4

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,225

Underlying: Common Stock · 3,475 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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F4 · derivative.exercise_date: This restricted stock unit was granted on February 6, 2023, and 3,475 restricted stock units subject to the award vested on June 12, 2023, upon receipt of shareholder approval of the grant, and an additional 38,225 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

F4 · derivative.expiration_date: This restricted stock unit was granted on February 6, 2023, and 3,475 restricted stock units subject to the award vested on June 12, 2023, upon receipt of shareholder approval of the grant, and an additional 38,225 restricted stock units will vest in equal installments over the remaining three-year period from the grant date, subject to Reporting Person continuing to be a service provider to Issuer at the time of vesting.

SEC source: 0001493152-23-021308 · ownership.xml · nonDerivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,323

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 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

F1 · price: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. This transaction represents the settlement of restricted stock units in shares of common stock on their scheduled vesting date.

SEC source: 0001493152-23-021133 · ownership.xml · derivative · entry 2

Trenschel Robert J. · CIK 0001849917 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,160

Underlying: Common Stock · 12,160 shares

Expires 2033-06-11

F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

SEC source: 0001493152-23-021133 · ownership.xml · derivative · entry 1

Trenschel Robert J. · CIK 0001849917 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,100

Underlying: Common Stock · 5,100 shares

Expires not disclosed

F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant.

F3 · security: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date.

F3 · shares: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-021131 · ownership.xml · derivative · entry 2

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 148,500

Underlying: Common Stock · 148,500 shares

Expires 2033-06-11

F1 · security: The Grants were made as discretionary grants to the Reporting Person, from the Issuer's 2021 Equity Incentive Plan, as amended. Each grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date, subject to Reporting Person continuing to be a service provider at the time of vesting.

F3 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F1 · derivative.exercise_date: The Grants were made as discretionary grants to the Reporting Person, from the Issuer's 2021 Equity Incentive Plan, as amended. Each grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date, subject to Reporting Person continuing to be a service provider at the time of vesting.

SEC source: 0001493152-23-021131 · ownership.xml · derivative · entry 1

Finley John David · CIK 0001851034 · Director · CEO, CFO, Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,700

Underlying: Common Stock · 66,700 shares

Expires not disclosed

F1 · security: The Grants were made as discretionary grants to the Reporting Person, from the Issuer's 2021 Equity Incentive Plan, as amended. Each grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date, subject to Reporting Person continuing to be a service provider at the time of vesting.

F2 · security: Each restricted stock unit represents the right to receive one share of common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of common stock.

F2 · shares: Each restricted stock unit represents the right to receive one share of common stock.

F1 · derivative.exercise_date: The Grants were made as discretionary grants to the Reporting Person, from the Issuer's 2021 Equity Incentive Plan, as amended. Each grant vests in twelve (12) equal quarterly installments over a three (3) year period from the grant date, subject to Reporting Person continuing to be a service provider at the time of vesting.

F4 · derivative.expiration_date: N/A

SEC source: 0001493152-23-021126 · ownership.xml · derivative · entry 2

Diaz Stephanie · CIK 0001850265 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,580

Underlying: Common Stock · 9,580 shares

Expires 2033-06-11

F1 · security: Represents partial compensation for services rendered as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from the Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 1,880 restricted stock units and 2,580 common stock purchase options as a discretionary grant.

F2 · security: The grants vest fully on the one (1) year anniversary of the grant date.

F5 · security: Each option represents the right to purchase one share of common stock at the exercise price.

F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date.