PTN

SEC source: 0001654954-21-007427 · section16.xml · nonDerivative · entry 1

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,660,939

SEC source: 0001654954-21-007425 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,705,051

SEC source: 0001654954-21-007425 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,694,451

SEC source: 0001654954-21-007518 · section16.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 786,518

SEC source: 0001654954-21-007518 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 776,518

SEC source: 0001654954-21-007562 · section16.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 786,518

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007562 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 776,518

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007559 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,705,051

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007559 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,694,451

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007558 · section16.xml · nonDerivative · entry 3

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,734,696

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007558 · section16.xml · nonDerivative · entry 2

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,684,696

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007558 · section16.xml · nonDerivative · entry 1

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,660,939

F1 · kind: Amended to reflect open market purchases of non-derivative security.

SEC source: 0001654954-21-007252 · section16.xml · derivative · entry 6

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,985

Underlying: Common stock · 179,985 shares

Expires 2030-06-16

F6 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 16, 2020, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of stock option shares for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

SEC source: 0001654954-21-007252 · section16.xml · derivative · entry 5

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 497,000

Underlying: Common stock · 497,000 shares

Expires 2031-06-22

F5 · derivative.exercise_date: The options vest at the rate of 25% per year, starting on June 22, 2022.

SEC source: 0001654954-21-007252 · section16.xml · nonDerivative · entry 4

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,659,696

F4 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of share units for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

F4 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of share units for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

SEC source: 0001654954-21-007252 · section16.xml · nonDerivative · entry 3

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,551,081

F3 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 24, 2019, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of share units for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

F3 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 24, 2019, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of share units for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

SEC source: 0001654954-21-007252 · section16.xml · nonDerivative · entry 2

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,505,782

F2 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest only if within two years of the date of grant for a twenty consecutive trading day period the price of common stock on the NYSE American for Palatin Technologies, Inc. closes at $2.00 per share or greater.

F2 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest only if within two years of the date of grant for a twenty consecutive trading day period the price of common stock on the NYSE American for Palatin Technologies, Inc. closes at $2.00 per share or greater.

SEC source: 0001654954-21-007252 · section16.xml · nonDerivative · entry 1

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,305,782

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, starting on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, starting on June 22, 2022.

SEC source: 0001654954-21-007257 · section16.xml · derivative · entry 2

Hull Joseph Stanley · CIK 0001338384 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

Underlying: Common Stock · 128,000 shares

Expires 2031-06-22

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2021.

SEC source: 0001654954-21-007257 · section16.xml · nonDerivative · entry 1

Hull Joseph Stanley · CIK 0001338384 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 765,966

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

SEC source: 0001654954-21-007251 · section16.xml · derivative · entry 6

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,985

Underlying: Common stock · 208,943 shares

Expires 2030-06-16

F6 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 16, 2020, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of stock option shares for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

SEC source: 0001654954-21-007251 · section16.xml · derivative · entry 5

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,000

Underlying: Common stock · 575,000 shares

Expires 2031-06-22

F5 · derivative.exercise_date: The options vest at the rate of 25% per year, starting on June 22, 2022.

SEC source: 0001654954-21-007251 · section16.xml · nonDerivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,630,051

F4 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of share units for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

F4 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of share units for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

SEC source: 0001654954-21-007251 · section16.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,503,983

F3 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 24, 2019, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of share units for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

F3 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 24, 2019, vested in part on June 22, 2021, upon certification by the Compensation Committee that a defined performance objective as to 78% of the target number of share units for the fiscal year ending June 30, 2021 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi.

SEC source: 0001654954-21-007251 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,451,060

F2 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest only if within two years of the date of grant for a twenty consecutive trading day period the price of common stock on the NYSE American for Palatin Technologies, Inc. closes at $2.00 per share or greater.

F2 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest only if within two years of the date of grant for a twenty consecutive trading day period the price of common stock on the NYSE American for Palatin Technologies, Inc. closes at $2.00 per share or greater.

SEC source: 0001654954-21-007251 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,201,060

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, starting on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, starting on June 22, 2022.

SEC source: 0001654954-21-007256 · section16.xml · derivative · entry 2

Morris Arlene · CIK 0001362520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

Underlying: Common stock · 128,000 shares

Expires 2031-06-22

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2021.

SEC source: 0001654954-21-007256 · section16.xml · nonDerivative · entry 1

Morris Arlene · CIK 0001362520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 665,666

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

SEC source: 0001654954-21-007254 · section16.xml · derivative · entry 2

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

Underlying: Common stock · 128,000 shares

Expires 2031-06-22

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2021.

SEC source: 0001654954-21-007254 · section16.xml · nonDerivative · entry 1

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 813,306

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

SEC source: 0001654954-21-007253 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

Underlying: Common Stock · 128,000 shares

Expires 2031-06-22

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2021.

SEC source: 0001654954-21-007253 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,518

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

SEC source: 0001654954-21-007255 · section16.xml · nonDerivative · entry 1

Manning Anthony M. · CIK 0001716468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,666

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

SEC source: 0001654954-21-007250 · section16.xml · derivative · entry 2

PRENDERGAST JOHN K A · CIK 0001042019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,000

Underlying: Common stock · 173,000 shares

Expires 2031-06-22

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2021.

SEC source: 0001654954-21-007250 · section16.xml · nonDerivative · entry 1

PRENDERGAST JOHN K A · CIK 0001042019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,361,683

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 22, 2022.

SEC source: 0001654954-20-013035 · section16.xml · nonDerivative · entry 1

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 728,638

SEC source: 0001654954-20-010788 · section16.xml · nonDerivative · entry 1

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 643,472

F1 · shares: Weighted average of price received per share on open market sell order. The reporting person hereby undertakes upon request to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · price: Weighted average of price received per share on open market sell order. The reporting person hereby undertakes upon request to provide to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001654954-20-009652 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,187,368

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll for the period ended August 31, 2020, with the per share value determined as of June 24, 2020, the date of vesting. The grant of the underlying 59,000 time-based restricted share units which vested on June 24, 2020 was reported on Form 4 filed on June 26, 2019, with a transaction date of June 24, 2019.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll for the period ended August 31, 2020, with the per share value determined as of June 24, 2020, the date of vesting. The grant of the underlying 59,000 time-based restricted share units which vested on June 24, 2020 was reported on Form 4 filed on June 26, 2019, with a transaction date of June 24, 2019.

SEC source: 0001654954-20-009652 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,207,576

F1 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll for the period ended August 31, 2020, with the per share value determined as of June 24, 2020, the date of vesting. The grant and vesting of the underlying 50,150 restricted share units was reported on Form 4 filed on June 26, 2020, with a transaction date of June 24, 2020.

F1 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll for the period ended August 31, 2020, with the per share value determined as of June 24, 2020, the date of vesting. The grant and vesting of the underlying 50,150 restricted share units was reported on Form 4 filed on June 26, 2020, with a transaction date of June 24, 2020.

SEC source: 0001654954-20-009651 · section16.xml · nonDerivative · entry 2

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,380,047

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll for the period ended August 31, 2020, with the per share value determined as of June 24, 2020, the date of vesting. The grant of the underlying 50,500 time-based restricted share units which vested on June 24, 2020 was reported on Form 4 filed on June 26, 2019, with a transaction date of June 24, 2019.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll for the period ended August 31, 2020, with the per share value determined as of June 24, 2020, the date of vesting. The grant of the underlying 50,500 time-based restricted share units which vested on June 24, 2020 was reported on Form 4 filed on June 26, 2019, with a transaction date of June 24, 2019.

SEC source: 0001654954-20-009651 · section16.xml · nonDerivative · entry 1

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,393,894

F1 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll for the period ended August 31, 2020, with the per share value determined as of June 24, 2020, the date of vesting. The grant and vesting of the underlying 42,925 restricted share units was reported on Form 4 filed on June 26, 2020, with a transaction date of June 24, 2020.

F1 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll for the period ended August 31, 2020, with the per share value determined as of June 24, 2020, the date of vesting. The grant and vesting of the underlying 42,925 restricted share units was reported on Form 4 filed on June 26, 2020, with a transaction date of June 24, 2020.

SEC source: 0001654954-20-007014 · section16.xml · derivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,750

Underlying: Common Stock · 535,750 shares

Expires 2030-06-16

F3 · derivative.exercise_date: The options vest at the rate of 25% per year, starting on June 16, 2021. Options were granted June 16, 2020, contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved by the stockholders at a meeting on June 25, 2020.

SEC source: 0001654954-20-007014 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,097,102

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, starting on June 16, 2021. Restricted share units were granted June 16, 2020, contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved by the stockholders at a meeting on June 25, 2020.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, starting on June 16, 2021. Restricted share units were granted June 16, 2020, contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved by the stockholders at a meeting on June 25, 2020.

SEC source: 0001654954-20-007013 · section16.xml · derivative · entry 3

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,500

Underlying: Common Stock · 461,500 shares

Expires 2030-06-16

F3 · derivative.exercise_date: The options vest at the rate of 25% per year, starting on June 16, 2021. Options were granted June 16, 2020, contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved by the stockholders at a meeting on June 25, 2020.

SEC source: 0001654954-20-007013 · section16.xml · nonDerivative · entry 1

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,291,489

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, starting on June 16, 2021. Restricted share units were granted June 16, 2020, contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved by the stockholders at a meeting on June 25, 2020.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, starting on June 16, 2021. Restricted share units were granted June 16, 2020, contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved by the stockholders at a meeting on June 25, 2020.

SEC source: 0001654954-20-007014 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,147,252

F2 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 24, 2019, vested in part on June 24, 2020, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ending June 30, 2020 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in licensing of Vyleesi in additional countries or regions.

SEC source: 0001654954-20-007013 · section16.xml · nonDerivative · entry 2

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,334,414

F2 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 24, 2019, vested in part on June 24, 2020, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ending June 30, 2020 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in licensing of Vyleesi in additional countries or regions.

F2 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 24, 2019, vested in part on June 24, 2020, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ending June 30, 2020 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in licensing of Vyleesi in additional countries or regions.

SEC source: 0001654954-21-007255 · section16.xml · derivative · entry 2

Manning Anthony M. · CIK 0001716468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

Underlying: Common Stock · 128,000 shares

Expires 2031-06-22

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2021.

SEC source: 0001654954-20-006794 · section16.xml · derivative · entry 2

PRENDERGAST JOHN K A · CIK 0001042019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,000

Underlying: Common Stock · 172,000 shares

Expires 2030-06-16

F2 · derivative.exercise_date: The options vest at the rate of 1/12 per month on the last day of each month, starting on July 31, 2020.

SEC source: 0001654954-20-006794 · section16.xml · nonDerivative · entry 1

PRENDERGAST JOHN K A · CIK 0001042019 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,165,350

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 16, 2021.