RKTO

SEC source: 0001213900-20-018411 · ownership.xml · derivative · entry 1

Knie Robb · CIK 0001609695 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-07-21

F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.

SEC source: 0001213900-20-018409 · ownership.xml · derivative · entry 1

Sarnoff David · CIK 0001751105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-07-21

F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.

SEC source: 0001213900-20-013694 · ownership.xml · nonDerivative · entry 1

Hayes Anthony · CIK 0001538372 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,130,674

SEC source: 0001213900-21-009746 · ownership.xml · nonDerivative · entry 1

AIkido Pharma Inc. · CIK 0000012239 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,130,674

SEC source: 0001213900-21-009744 · ownership.xml · nonDerivative · entry 1

Hayes Anthony · CIK 0001538372 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001213900-21-008623 · ownership.xml · nonDerivative · entry 1

Knie Robb · CIK 0001609695 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 808,259

F1 · kind: On May 18, 2020, AIkido Pharma, Inc. ("AIkido") distributed shares of the Issuer's common stock on a pro rata basis to its stockholders of record as of April 30, 2020 (the "Record Date"). Stockholders of AIkido received 1 share of the Issuer's common stock for each 500 shares of AIkido common stock held by such stockholders as of the Record Date.

SEC source: 0001213900-20-009344 · ownership.xml · nonDerivative · entry 1

Springer Graig · CIK 0001805261 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333

F1 · price: Issued for services rendered as a member of the Issuer's Board of Directors.

F2 · balance_after: The common stock was issued pursuant to the Issuer's 2018 Equity Incentive Plan and vests in 36 equal monthly installments with the first installment vesting on the date of grant.

SEC source: 0001213900-20-009453 · ownership.xml · nonDerivative · entry 1

Linsley Wayne · CIK 0001809972 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333

F1 · price: Issued for services rendered as a member of the Issuer's Board of Directors.

F2 · balance_after: The common stock was issued pursuant to the Issuer's 2018 Equity Incentive Plan and vests in 36 equal monthly installments with the first installment vesting on the date of grant.

SEC source: 0001213900-19-027000 · ownership.xml · derivative · entry 1

RICE KENNETH L JR · CIK 0001126350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-12-24

F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.

SEC source: 0001213900-19-026997 · ownership.xml · derivative · entry 1

Knie Robb · CIK 0001609695 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-12-24

F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.

SEC source: 0001213900-19-026996 · ownership.xml · derivative · entry 1

Hayes Anthony · CIK 0001538372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-12-24

F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.

SEC source: 0001213900-19-026999 · ownership.xml · derivative · entry 1

MATS VADIM · CIK 0001546594 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-12-24

F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.

SEC source: 0001213900-19-027001 · ownership.xml · derivative · entry 1

Sarnoff David · CIK 0001751105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-12-24

F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.

SEC source: 0001213900-20-003890 · ownership.xml · nonDerivative · entry 3

Hayes Anthony · CIK 0001538372 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Self as CEO for Spherix

Disclosed balance after: 1,600,516

F1 · kind: On October 28, 2019, Spherix Incorporated ("Spherix") distributed shares of the Issuer's common stock on a pro rata basis to its stockholders of record as of October 21, 2019 (the "Record Date"). Stockholders of Spherix received 1 share of the Issuer's common stock for each 29 shares of Spherix common stock held by such stockholders as of the Record Date.

F2 · ownership.direct: 1,636,230 shares of the Issuer's common stock are owned by Spherix as of December 31, 2019. Anthony Hayes is the Chief Executive Officer and a member of the board of directors of Spherix. However, the board of directors of Spherix (with Mr. Hayes abstaining) appointed a committee that does not include Mr. Hayes to exercise voting and dispositive power over the securities held by such Spherix. As such, Mr. Hayes does not have voting and dispositive power over the shares held by Spherix.

SEC source: 0001104659-20-026941 · tm2011292-2_5.xml · nonDerivative · entry 4

SPHERIX INC · CIK 0000012239 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,636,230

F3 · kind: On October 28, 2019 and November 8, 2019, Spherix Incorporated ("Spherix") distributed an aggregate of 99,484 shares of the Issuer's common stock on a pro rata basis to its stockholders of record as of October 21, 2019 (the "Record Date"). Stockholders of Spherix received 1 share of the Issuer's common stock for each 29 shares of Spherix common stock held by such stockholders as of the Record Date.

SEC source: 0001213900-20-003890 · ownership.xml · nonDerivative · entry 2

Hayes Anthony · CIK 0001538372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,301

F1 · kind: On October 28, 2019, Spherix Incorporated ("Spherix") distributed shares of the Issuer's common stock on a pro rata basis to its stockholders of record as of October 21, 2019 (the "Record Date"). Stockholders of Spherix received 1 share of the Issuer's common stock for each 29 shares of Spherix common stock held by such stockholders as of the Record Date.

SEC source: 0001213900-20-003890 · ownership.xml · nonDerivative · entry 1

Hayes Anthony · CIK 0001538372 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Self as CEO for Spherix

Disclosed balance after: 1,609,742

F1 · kind: On October 28, 2019, Spherix Incorporated ("Spherix") distributed shares of the Issuer's common stock on a pro rata basis to its stockholders of record as of October 21, 2019 (the "Record Date"). Stockholders of Spherix received 1 share of the Issuer's common stock for each 29 shares of Spherix common stock held by such stockholders as of the Record Date.

F2 · ownership.direct: 1,636,230 shares of the Issuer's common stock are owned by Spherix as of December 31, 2019. Anthony Hayes is the Chief Executive Officer and a member of the board of directors of Spherix. However, the board of directors of Spherix (with Mr. Hayes abstaining) appointed a committee that does not include Mr. Hayes to exercise voting and dispositive power over the securities held by such Spherix. As such, Mr. Hayes does not have voting and dispositive power over the shares held by Spherix.

SEC source: 0001213900-20-003951 · ownership.xml · nonDerivative · entry 1

Knie Robb · CIK 0001609695 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 808,255

F1 · kind: On October 28, 2019, Spherix Incorporated ("Spherix") distributed shares of the Issuer's common stock on a pro rata basis to its stockholders of record as of October 21, 2019 (the "Record Date"). Stockholders of Spherix received 1 share of the Issuer's common stock for each 29 shares of Spherix common stock held by such stockholders as of the Record Date.

SEC source: 0001104659-20-026941 · tm2011292-2_5.xml · nonDerivative · entry 3

SPHERIX INC · CIK 0000012239 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,645,456

F3 · kind: On October 28, 2019 and November 8, 2019, Spherix Incorporated ("Spherix") distributed an aggregate of 99,484 shares of the Issuer's common stock on a pro rata basis to its stockholders of record as of October 21, 2019 (the "Record Date"). Stockholders of Spherix received 1 share of the Issuer's common stock for each 29 shares of Spherix common stock held by such stockholders as of the Record Date.

SEC source: 0001213900-19-003749 · ownership.xml · derivative · entry 1

Briones David S. · CIK 0001599831 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-03-06

F1 · kind: The options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vested in full upon grant.

SEC source: 0001104659-20-026941 · tm2011292-2_5.xml · nonDerivative · entry 2

SPHERIX INC · CIK 0000012239 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,735,714

SEC source: 0001213900-19-003528 · ownership.xml · derivative · entry 2

EITNER MATTHEW D. · CIK 0001660665 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Shares of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's common stock at a 1-for-1 conversion rate immediately prior to the closing of the Issuer's initial public offering for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Articles of Incorporation, as amended).

F1 · derivative.exercise_date: Shares of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's common stock at a 1-for-1 conversion rate immediately prior to the closing of the Issuer's initial public offering for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Articles of Incorporation, as amended).

F1 · derivative.expiration_date: Shares of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's common stock at a 1-for-1 conversion rate immediately prior to the closing of the Issuer's initial public offering for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Articles of Incorporation, as amended).

SEC source: 0001213900-19-003528 · ownership.xml · nonDerivative · entry 1

EITNER MATTHEW D. · CIK 0001660665 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 765,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's common stock at a 1-for-1 conversion rate immediately prior to the closing of the Issuer's initial public offering for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Articles of Incorporation, as amended).

SEC source: 0001213900-19-003530 · ownership.xml · derivative · entry 2

Poor Kevin Jess · CIK 0001769193 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Shares of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's common stock at a 1-for-1 conversion rate immediately prior to the closing of the Issuer's initial public offering for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Articles of Incorporation, as amended).

F1 · derivative.exercise_date: Shares of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's common stock at a 1-for-1 conversion rate immediately prior to the closing of the Issuer's initial public offering for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Articles of Incorporation, as amended).

F1 · derivative.expiration_date: Shares of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's common stock at a 1-for-1 conversion rate immediately prior to the closing of the Issuer's initial public offering for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Articles of Incorporation, as amended).

SEC source: 0001213900-19-003530 · ownership.xml · nonDerivative · entry 1

Poor Kevin Jess · CIK 0001769193 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Shares of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's common stock at a 1-for-1 conversion rate immediately prior to the closing of the Issuer's initial public offering for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Articles of Incorporation, as amended).

SEC source: 0001104659-20-026941 · tm2011292-2_5.xml · nonDerivative · entry 1

SPHERIX INC · CIK 0000012239 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700,000

F1 · kind: Hoth Therapeutics, Inc. (the "Issuer") registered its shares of common stock under Section 12(b) of the Securities Exchange Act of 1934, as amended, on February 6, 2019. As of that date, Spherix Incorporated ("Spherix") owned 1,700,000 shares of common stock of the Issuer.

F2 · ownership.direct: The shares are held directly by Spherix. The board of directors of Spherix appointed a committee of 3 members to exercise voting and dispositive power over the securities held by such Spherix. Anthony Hayes, a director of the Issuer and the Chief Executive Officer and a member of the board of directors of Spherix, abstained from the vote to appoint the committee and is not part of the committee and does not exercise voting and dispositive power over the securities held by such Spherix.