RLMD

SEC source: 0001213900-24-047639 · ownership.xml · derivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,881

Underlying: Common Stock · 122,358 shares

Expires 2033-12-15

F2 · kind: On May 24, 2024, the Reporting Person voluntarily forfeited to the Issuer a portion of the December Award equal to the Additional Award Shares so that those shares can be allocated to the holders of Similar Awards who are not executive officers or directors of the Issuer.

SEC source: 0001213900-24-047639 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,239

Underlying: Common Stock · 122,358 shares

Expires 2033-12-15

F1 · kind: On May 24, 2024, under the terms of the option award granted to the Reporting Person on December 15, 2023 (the "December Award"), the Reporting Person became entitled to receive options for up to 122,358 additional shares of the Issuer's Common Stock on the same terms as the December Award (the "Additional Award Shares") out of shares that had become available under the terms of the Issuer's 2021 Equity Incentive Plan, as amended (the "Plan"), since December 15, 2023, as a result of expirations, cancelations, forfeitures and terminations of other outstanding awards under the Plan and/or tenders or withholding of shares.

SEC source: 0001213900-24-047636 · ownership.xml · derivative · entry 2

GLASSPOOL JOHN · CIK 0001644079 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,522

Underlying: Common Stock · 20,976 shares

Expires 2033-12-15

F2 · kind: On May 24, 2024, the Reporting Person voluntarily forfeited to the Issuer a portion of the December Award equal to the Additional Award Shares so that those shares can be allocated to the holders of Similar Awards who are not executive officers or directors of the Issuer.

SEC source: 0001213900-24-047636 · ownership.xml · derivative · entry 1

GLASSPOOL JOHN · CIK 0001644079 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,498

Underlying: Common Stock · 20,976 shares

Expires 2033-12-15

F1 · kind: On May 24, 2024, under the terms of the option award granted to the Reporting Person on December 15, 2023 (the "December Award"), the Reporting Person became entitled to receive options for up to 20,976 additional shares of the Issuer's Common Stock on the same terms as the December Award (the "Additional Award Shares") out of shares that had become available under the terms of the Issuer's 2021 Equity Incentive Plan, as amended (the "Plan"), since December 15, 2023, as a result of expirations, cancelations, forfeitures and terminations of other outstanding awards under the Plan and/or tenders or withholding of shares.

SEC source: 0001213900-24-047635 · ownership.xml · derivative · entry 2

Fedeli Fabiana · CIK 0001961902 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,522

Underlying: Common Stock · 20,976 shares

Expires 2033-12-15

F2 · kind: On May 24, 2024, the Reporting Person voluntarily forfeited to the Issuer a portion of the December Award equal to the Additional Award Shares so that those shares can be allocated to the holders of Similar Awards who are not executive officers or directors of the Issuer.

SEC source: 0001213900-24-047635 · ownership.xml · derivative · entry 1

Fedeli Fabiana · CIK 0001961902 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,498

Underlying: Common Stock · 20,976 shares

Expires 2033-12-15

F1 · kind: On May 24, 2024, under the terms of the option award granted to the Reporting Person on December 15, 2023 (the "December Award"), the Reporting Person became entitled to receive options for up to 20,976 additional shares of the Issuer's Common Stock on the same terms as the December Award (the "Additional Award Shares") out of shares that had become available under the terms of the Issuer's 2021 Equity Incentive Plan, as amended (the "Plan"), since December 15, 2023, as a result of expirations, cancelations, forfeitures and terminations of other outstanding awards under the Plan and/or tenders or withholding of shares.

SEC source: 0001213900-24-047633 · ownership.xml · derivative · entry 2

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,090

Underlying: Common Stock · 54,624 shares

Expires 2033-12-15

F2 · kind: On May 24, 2024, the Reporting Person voluntarily forfeited to the Issuer a portion of the December Award equal to the Additional Award Shares so that those shares can be allocated to the holders of Similar Awards who are not executive officers or directors of the Issuer.

SEC source: 0001213900-24-047633 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,714

Underlying: Common Stock · 54,624 shares

Expires 2033-12-15

F1 · kind: On May 24, 2024, under the terms of the option award granted to the Reporting Person on December 15, 2023 (the "December Award"), the Reporting Person became entitled to receive options for up to 54,624 additional shares of the Issuer's Common Stock on the same terms as the December Award (the "Additional Award Shares") out of shares that had become available under the terms of the Issuer's 2021 Equity Incentive Plan, as amended (the "Plan"), since December 15, 2023, as a result of expirations, cancelations, forfeitures and terminations of other outstanding awards under the Plan and/or tenders or withholding of shares.

SEC source: 0001213900-24-008559 · ownership.xml · nonDerivative · entry 3

Shenouda Maged · CIK 0001658369 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,903

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F4 · price: Purchase prices range from $3.95 to $4.18 per share, inclusive.

SEC source: 0001213900-24-008560 · ownership.xml · nonDerivative · entry 3

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 244,024

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F4 · price: Purchase prices range from $3.95 to $4.05 per share, inclusive.

SEC source: 0001213900-24-008557 · ownership.xml · nonDerivative · entry 3

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,970

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F4 · price: Purchase prices range from $3.93 to $4.17 per share, inclusive.

SEC source: 0001213900-24-008559 · ownership.xml · nonDerivative · entry 2

Shenouda Maged · CIK 0001658369 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,028

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F3 · price: Purchase prices range from $3.82 to $3.90 per share, inclusive.

SEC source: 0001213900-24-008560 · ownership.xml · nonDerivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,564

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F3 · price: Purchase prices range from $3.88 to $3.97 per share, inclusive.

SEC source: 0001213900-24-008557 · ownership.xml · nonDerivative · entry 2

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,300

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F3 · price: Purchase prices range from $3.755 to $3.99 per share, inclusive.

SEC source: 0001213900-24-008559 · ownership.xml · nonDerivative · entry 1

Shenouda Maged · CIK 0001658369 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,028

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F2 · price: Purchase prices range from $3.57 to $3.745 per share, inclusive.

SEC source: 0001213900-24-008560 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,565

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F2 · price: Purchase prices range from $3.69 to $3.75 per share, inclusive.

SEC source: 0001213900-24-008557 · ownership.xml · nonDerivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,800

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F2 · price: Purchase prices range from $3.585 to $3.73 per share, inclusive.

SEC source: 0001213900-23-097024 · ownership.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,522

Underlying: Common Stock · 31,522 shares

Expires 2033-12-15

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 15, 2024.

SEC source: 0001213900-23-097031 · ownership.xml · derivative · entry 1

Shenouda Maged · CIK 0001658369 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,090

Underlying: Common Stock · 82,090 shares

Expires 2033-12-15

F1 · derivative.exercise_date: The options vest in 16 equal quarterly installments commencing on March 15, 2024.

SEC source: 0001213900-23-097029 · ownership.xml · derivative · entry 1

Kelly Paul Edward · CIK 0001658544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,672

Underlying: Common Stock · 65,672 shares

Expires 2033-12-15

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 15, 2024.

SEC source: 0001213900-23-097032 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,881

Underlying: Common Stock · 183,881 shares

Expires 2033-12-15

F1 · derivative.exercise_date: The options vest in 16 equal quarterly installments commencing on March 15, 2024.

SEC source: 0001213900-23-097028 · ownership.xml · derivative · entry 1

GLASSPOOL JOHN · CIK 0001644079 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,522

Underlying: Common Stock · 31,522 shares

Expires 2033-12-15

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 15, 2024.

SEC source: 0001213900-23-097027 · ownership.xml · derivative · entry 1

Fedeli Fabiana · CIK 0001961902 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,522

Underlying: Common Stock · 31,522 shares

Expires 2033-12-15

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 15, 2024.

SEC source: 0001213900-23-097026 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · Chief Accounting and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,090

Underlying: Common Stock · 82,090 shares

Expires 2033-12-15

F1 · derivative.exercise_date: The options vest in 16 equal quarterly installments commencing on March 15, 2024.

SEC source: 0001213900-23-044079 · ownership.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 92,958 shares

Expires 2032-12-16

F1 · date: The option grant was approved by the Board of Directors of the Company on December 16, 2022, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-23-044089 · ownership.xml · derivative · entry 1

Shenouda Maged · CIK 0001658369 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 512,560

Underlying: Common Stock · 317,643 shares

Expires 2032-12-16

F1 · date: The option grant was approved by the Board of Directors of the Company on December 16, 2022, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: 62,560 of the options immediately vested; 450,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

F2 · balance_after: 62,560 of the options immediately vested; 450,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-23-044087 · ownership.xml · derivative · entry 1

Kelly Paul Edward · CIK 0001658544 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 92,958 shares

Expires 2032-12-16

F1 · date: The option grant was approved by the Board of Directors of the Company on December 16, 2022, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-23-044093 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 850,728

Underlying: Common Stock · 527,211 shares

Expires 2032-12-16

F1 · date: The option grant was approved by the Board of Directors of the Company on December 16, 2022, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: 80,728 of the options immediately vested; 770,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

F2 · balance_after: 80,728 of the options immediately vested; 770,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-23-044088 · ownership.xml · derivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 92,958 shares

Expires 2032-12-16

F1 · date: The option grant was approved by the Board of Directors of the Company on December 16, 2022, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-23-044084 · ownership.xml · derivative · entry 1

GLASSPOOL JOHN · CIK 0001644079 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 92,958 shares

Expires 2032-12-16

F1 · date: The option grant was approved by the Board of Directors of the Company on December 16, 2022, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-23-044083 · ownership.xml · derivative · entry 1

Fedeli Fabiana · CIK 0001961902 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-01-12

F1 · date: The option grant was approved by the Board of Directors of the Company on January 12, 2023, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: 25% of the option vests on the first anniversary of the date grant and the remaining 75% in equal increments of 6.25% of the total options at the end of each three-month interval over the following three year period.

SEC source: 0001213900-23-044081 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 518,361

Underlying: Common Stock · 321,238 shares

Expires 2032-12-16

F1 · date: The option grant was approved by the Board of Directors of the Company on December 16, 2022, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: 18,361 of the options immediately vested; 500,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

F2 · balance_after: 18,361 of the options immediately vested; 500,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-23-042554 · ownership.xml · nonDerivative · entry 1

O'Gorman Cedric · CIK 0001962179 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,121

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F2 · price: Purchase prices range from $3.135 to $3.2096 per share, inclusive.

SEC source: 0001213900-23-002871 · ownership.xml · derivative · entry 1

O'Gorman Cedric · CIK 0001962179 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common stock · 400,000 shares

Expires 2033-01-06

F1 · derivative.exercise_date: The shares vest in 16 equal quarterly installments commencing on April 6, 2023.

SEC source: 0001213900-22-081473 · ownership.xml · derivative · entry 1

CASAMENTO CHARLES J · CIK 0001117167 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,042

Underlying: Common Stock · 57,042 shares

Expires 2032-12-16

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-081519 · ownership.xml · derivative · entry 1

Shenouda Maged · CIK 0001658369 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 200,000 shares

Expires 2031-12-17

F1 · kind: Represents the termination of milestone-based stock options granted to the reporting person on May 25, 2022, that were eligible to vest based on achievement of certain corporate objectives by the Issuer. Upon grant, the target vesting amount was reported in Table II of Form 4. On December 16, 2022, the Board of Directors determined that such milestone objectives were not achieved by the Issuer and that all 200,000 options would be terminated.

F1 · shares: Represents the termination of milestone-based stock options granted to the reporting person on May 25, 2022, that were eligible to vest based on achievement of certain corporate objectives by the Issuer. Upon grant, the target vesting amount was reported in Table II of Form 4. On December 16, 2022, the Board of Directors determined that such milestone objectives were not achieved by the Issuer and that all 200,000 options would be terminated.

F2 · price: Not applicable.

F2 · derivative.exercise_date: Not applicable.

F3 · derivative.expiration_date: Original expiration date.

SEC source: 0001213900-22-081479 · ownership.xml · derivative · entry 1

Shenouda Maged · CIK 0001658369 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,917

Underlying: Common Stock · 194,917 shares

Expires 2032-12-16

F1 · derivative.exercise_date: 62,560 of the shares are immediately vested; 132,357 shares vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-081477 · ownership.xml · derivative · entry 1

Kelly Paul Edward · CIK 0001658544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,042

Underlying: Common Stock · 57,042 shares

Expires 2032-12-16

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-081520 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 300,000 shares

Expires 2031-12-17

F1 · kind: Represents the termination of milestone-based stock options granted to the reporting person on May 25, 2022, that were eligible to vest based on achievement of certain corporate objectives by the Issuer. Upon grant, the target vesting amount was reported in Table II of Form 4. On December 16, 2022, the Board of Directors determined that such milestone objectives were not achieved by the Issuer and that all 300,000 options would be terminated.

F1 · shares: Represents the termination of milestone-based stock options granted to the reporting person on May 25, 2022, that were eligible to vest based on achievement of certain corporate objectives by the Issuer. Upon grant, the target vesting amount was reported in Table II of Form 4. On December 16, 2022, the Board of Directors determined that such milestone objectives were not achieved by the Issuer and that all 300,000 options would be terminated.

F2 · price: Not applicable.

F2 · derivative.exercise_date: Not applicable.

F3 · derivative.expiration_date: Original expiration date.

SEC source: 0001213900-22-081518 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 200,000 shares

Expires 2031-12-17

F1 · kind: Represents the termination of milestone-based stock options granted to the reporting person on May 25, 2022, that were eligible to vest based on achievement of certain corporate objectives by the Issuer. Upon grant, the target vesting amount was reported in Table II of Form 4. On December 16, 2022, the Board of Directors determined that such milestone objectives were not achieved by the Issuer and that all 200,000 options would be terminated.

F1 · shares: Represents the termination of milestone-based stock options granted to the reporting person on May 25, 2022, that were eligible to vest based on achievement of certain corporate objectives by the Issuer. Upon grant, the target vesting amount was reported in Table II of Form 4. On December 16, 2022, the Board of Directors determined that such milestone objectives were not achieved by the Issuer and that all 200,000 options would be terminated.

F2 · price: Not applicable.

F2 · derivative.exercise_date: Not applicable.

F3 · derivative.expiration_date: Original expiration date.

SEC source: 0001213900-22-081481 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,517

Underlying: Common Stock · 323,517 shares

Expires 2032-12-16

F1 · derivative.exercise_date: 80,728 of the shares are immediately vested; 242,789 shares vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-081478 · ownership.xml · derivative · entry 1

SCHMIDT ERIC THOMAS · CIK 0001754403 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,042

Underlying: Common Stock · 57,042 shares

Expires 2032-12-16

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-081475 · ownership.xml · derivative · entry 1

GLASSPOOL JOHN · CIK 0001644079 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,042

Underlying: Common Stock · 57,042 shares

Expires 2032-12-16

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-081474 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,123

Underlying: Common Stock · 196,123 shares

Expires 2032-12-16

F1 · derivative.exercise_date: 18,361 of the shares are immediately vested; 178,762 shares vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-079244 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,024

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F2 · price: Purchase prices range from $2.05 to $2.13 per share, inclusive.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 7

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,500

Underlying: Common Stock · 87,500 shares

Expires 2031-01-07

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F7 · derivative.exercise_date: The options were granted on January 7, 2021. 25% of the options vested one year from the grant date, and thereafter in equal quarterly increments of 6.25% over the following three years.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 6

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,500

Underlying: Common Stock · 62,500 shares

Expires 2031-01-07

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F6 · derivative.exercise_date: The options were granted on January 7, 2021. 6.25% of the options vest each quarter from the date of grant.

SEC source: 0001213900-22-037231 · ownership.xml · derivative · entry 9

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,755 shares

Expires 2022-07-10

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 · kind: The transaction reported on this Form 4 reflects the exercise of stock options set to expire on July 10, 2022.

F8 · derivative.exercise_date: The options were granted on July 10, 2012 (the "Grant Date"). 25% of the options vested upon the Grant Date and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in July 2016.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 7

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,774

F2 · shares: The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person at each separate price within the range.

F7 · price: Sales prices range from $18.26 to $18.44 per share, inclusive.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 6

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,842

F2 · shares: The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by the Reporting Person at each separate price within the range.

F6 · price: Sales prices range from $18.45 to $18.47 per share, inclusive.