RZLT

SEC source: 0001567619-20-014099 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,714,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.31 to $0.344, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-014015 · doc1.xml · nonDerivative · entry 2

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,589,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.30 to $0.344, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-014015 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,339,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.31 to $0.339, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013907 · doc1.xml · nonDerivative · entry 2

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,214,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.31 to $0.35, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013907 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,089,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.31 to $0.35, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013796 · doc1.xml · nonDerivative · entry 2

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,964,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.33 to $0.341, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013796 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,839,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.3095 to $0.325, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013679 · doc1.xml · nonDerivative · entry 2

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,714,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.28 to $0.3099, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013679 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,527,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.26 to $0.2999, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013563 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,277,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.225 to $0.268, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013523 · doc1.xml · nonDerivative · entry 2

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,027,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.255 to $0.267, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3).

SEC source: 0001567619-20-013523 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,777,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.191 to $0.24, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013383 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,527,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.17 to $0.20, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013331 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,277,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.157 to $0.167, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013298 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,027,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.155 to $0.1575, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 6

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,943,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.143 to $0.155, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (6).

SEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 5

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,843,587

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

SEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 4

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,825,037

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.125 to $0.130, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (5).

SEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 3

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,691,233

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.12 to $0.121, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (4).

SEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 2

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,646,033

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.10 to $0.109, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3).

SEC source: 0001567619-20-013287 · doc1.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,600,933

F1 · shares: The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.10 to $0.105, inclusive. The reporting person undertakes to provide to Rezolute, Inc., any security holder of Rezolute, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).

SEC source: 0001567619-19-018368 · doc1.xml · derivative · entry 1

Mantripragada Sankaram · CIK 0001405632 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500,000

Underlying: Common Stock · 3,500,000 shares

Expires 2029-07-31

F1 · derivative.exercise_date: 587,500 of the options is fully exercisable as of the date of grant. Vesting of 1,762,500 options will occur in thirty-six equal installments beginning on the first day of each month thereafter, such grant vested in full after 3 years. The remaining 1,150,000 options vest equally over a 36-month period following certain performance and market price criteria. Such remaining options will not necessarily vest or convert into non-derivative securities to be beneficially owned by the Reporting Person.

SEC source: 0001567619-19-018366 · doc1.xml · derivative · entry 1

Elam Nevan C · CIK 0001314773 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000,000

Underlying: Common Stock · 15,000,000 shares

Expires 2029-07-31

F1 · derivative.exercise_date: 2,500,000 of the options is fully exercisable as of the date of grant. Vesting of 7,500,000 options will occur in thirty-six equal installments beginning on the first day of each month thereafter, such grant vested in full after 3 years. The remaining 5,000,000 options vest equally over a 36-month period following certain performance and market price criteria. Such remaining options will not necessarily vest or convert into non-derivative securities to be beneficially owned by the Reporting Person.

SEC source: 0001567619-19-018370 · doc1.xml · derivative · entry 1

Vendola Keith A. · CIK 0001740994 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000,000

Underlying: Common Stock · 3,000,000 shares

Expires 2029-07-31

F1 · derivative.exercise_date: 500,000 of the options is fully exercisable as of the date of grant. Vesting of 1,500,000 options will occur in thirty-six equal installments beginning on the first day of each month thereafter, such grant vested in full after 3 years. The remaining 1,000,000 options vest equally over a 36-month period following certain performance and market price criteria. Such remaining options will not necessarily vest or convert into non-derivative securities to be beneficially owned by the Reporting Person.

SEC source: 0001104659-20-041173 · tm2014353d2_4.xml · nonDerivative · entry 2

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,300,933

F3 · kind: Issuer granted Reporting Person a call option whereby the earlier of, (i) December 31, 2020 and (ii) the date when Issuer asks Reporting Person for further financing, Reporting Person may elect to purchase up to $10,000,000 worth of shares of the Issuer's Common Stock at a purchase price equal to the greater of: (i) $0.29 per share or (ii) 75% of the volume weighted average closing price of the Issuer's Common Stock during the thirty (30) consecutive trading days prior to the date of the notice. Pursuant to a Purchase Agreement for Shares of Common Stock dated July 23, 2019, Reporting Person exercised the full call option to purchase Common Stock.

SEC source: 0001209191-21-048448 · doc4.xml · nonDerivative · entry 2

Genexine Inc. · CIK 0001834377 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,300,933

F3 · kind: Issuer granted Reporting Person a call option whereby the earlier of, (i) December 31, 2020 and (ii) the date when Issuer asks Reporting Person for further financing, Reporting Person may elect to purchase up to $10,000,000 worth of shares of the Issuer's Common Stock at a purchase price equal to the greater of: (i) $0.29 per share or (ii) 75% of the volume weighted average closing price of the Issuer's Common Stock during the thirty (30) consecutive trading days prior to the date of the notice. Pursuant to a Purchase Agreement for Shares of Common Stock dated July 23, 2019, Reporting Person exercised the full call option to purchase Common Stock.

F4 · balance_after: Such amount now represents 1,826,019 shares of common stock after taking into account the 50:1 reverse stock split effected October 7, 2020.

SEC source: 0001104659-20-041173 · tm2014353d2_4.xml · derivative · entry 3

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,818,175 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_date: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.

F2 · derivative.exercise_date: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.

F1 · derivative.expiration_date: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.

F2 · derivative.expiration_date: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.

F1 · derivative.underlying_shares: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.

F2 · derivative.underlying_shares: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.

SEC source: 0001104659-20-041173 · tm2014353d2_4.xml · nonDerivative · entry 1

HANDOK, INC. · CIK 0001798101 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,818,175

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: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.

F2 · price: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.

SEC source: 0001209191-21-048448 · doc4.xml · derivative · entry 3

Genexine Inc. · CIK 0001834377 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,818,175 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_date: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.

F2 · derivative.exercise_date: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.

F1 · derivative.expiration_date: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.

F2 · derivative.expiration_date: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.

F1 · derivative.underlying_shares: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.

F2 · derivative.underlying_shares: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.

SEC source: 0001209191-21-048448 · doc4.xml · nonDerivative · entry 1

Genexine Inc. · CIK 0001834377 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,818,175

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: Reporting Person acquired 1,250,000 shares of Issuer's Series AA Preferred Stock on January 30, 2019. Each share of the Issuer's Series AA Preferred Stock is convertible into shares of the Issuer's Common Stock at a ratio of 45.45454 shares of Common Stock for one share of Series AA Preferred Stock ("Conversion Rate") at the holder's election and has no expiration date. The Series AA Preferred Stock will automatically convert, at the Conversion Rate, into Common Stock (i) at any time upon the vote or consent of the holders of two thirds of the voting power of the then outstanding Series AA Preferred Stock or (ii) the amendment to Issuer's Certificate of Incorporation to increase the number of shares of Common Stock authorized to be issued to at least 500,000,000 shares of Common Stock.

F2 · price: Upon the filing of Issuer's amendment to Certificate of Incorporation on April 26, 2019, which amendment increased the authorized number of shares of Common Stock of the Issuer to 500,000,000, each share of Series AA Preferred Stock automatically converted into shares of the Issuer's Common Stock at the Conversion Rate.

SEC source: 0001140361-17-012107 · doc1.xml · nonDerivative · entry 5

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LRFA

Disclosed balance after: 1,811,415

F2 · ownership.nature: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.

SEC source: 0001140361-17-012107 · doc1.xml · nonDerivative · entry 4

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LRFA

Disclosed balance after: 1,806,415

F2 · ownership.nature: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.

SEC source: 0001140361-17-012107 · doc1.xml · nonDerivative · entry 3

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LRFA

Disclosed balance after: 1,801,415

F2 · ownership.nature: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.

SEC source: 0001140361-17-010998 · doc1.xml · nonDerivative · entry 3

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LRFA

Disclosed balance after: 1,796,415

F2 · ownership.nature: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.

SEC source: 0001140361-17-008085 · doc1.xml · nonDerivative · entry 1

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Welch Group

Disclosed balance after: 28,100

F1 · ownership.nature: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.

SEC source: 0001140361-17-006314 · doc1.xml · nonDerivative · entry 3

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Welch Group

Disclosed balance after: 23,100

F1 · ownership.nature: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.

SEC source: 0001140361-17-006314 · doc1.xml · nonDerivative · entry 2

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Welch Group

Disclosed balance after: 20,000

F1 · ownership.nature: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.

SEC source: 0001140361-17-006314 · doc1.xml · nonDerivative · entry 1

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Welch Group

Disclosed balance after: 15,000

F1 · ownership.nature: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.

SEC source: 0001140361-17-005415 · doc1.xml · nonDerivative · entry 2

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Welch Group

Disclosed balance after: 10,000

F1 · ownership.nature: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.

SEC source: 0001140361-17-005415 · doc1.xml · nonDerivative · entry 1

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Welch Group

Disclosed balance after: 5,000

F1 · ownership.nature: The Reporting Person is General Partner of Welch Group, LP and has voting and dispositive power of the shares of the Issuer's common stock owned by Welch Group, LP.

SEC source: 0001140361-17-002753 · doc1.xml · nonDerivative · entry 4

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LRFA, LLC

Disclosed balance after: 1,791,415

F1 · ownership.nature: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.

SEC source: 0001140361-17-002753 · doc1.xml · nonDerivative · entry 3

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LRFA, LLC

Disclosed balance after: 1,781,432

F1 · ownership.nature: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.

SEC source: 0001140361-17-002753 · doc1.xml · nonDerivative · entry 2

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LRFA, LLC

Disclosed balance after: 1,771,432

F1 · ownership.nature: The Reporting Person is President of LRFA, LLC and has voting and dispositive power of the shares of the Issuer's common stock owned by LRFA, LLC.

SEC source: 0001140361-17-002392 · doc1.xml · nonDerivative · entry 1

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001144204-17-002464 · v457047_4.xml · nonDerivative · entry 2

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001144204-17-002464 · v457047_4.xml · nonDerivative · entry 1

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001140361-17-001943 · doc1.xml · derivative · entry 1

Elam Nevan C · CIK 0001314773 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500,000

Underlying: Common Stock · 3,500,000 shares

Expires 2026-10-31

F1 · shares: On October 31, 2016, the Reporting Person was granted 9,500,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 3,600,000 shares may be issued upon certain performance only criteria.

F2 · derivative.exercise_date: The option vests in forty-eight equal installments beginning on the date so indicated and every month thereafter, such grant vested in full at 4 years.

F1 · derivative.underlying_shares: On October 31, 2016, the Reporting Person was granted 9,500,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 3,600,000 shares may be issued upon certain performance only criteria.

F1 · balance_after: On October 31, 2016, the Reporting Person was granted 9,500,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 3,600,000 shares may be issued upon certain performance only criteria.

SEC source: 0001140361-17-001948 · doc1.xml · derivative · entry 1

Sherman Barry Michael · CIK 0001614973 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2026-10-31

F1 · derivative.exercise_date: The option vests in forty-eight equal installments beginning on the date so indicated and every month thereafter, such grant vested in full at 4 years.

SEC source: 0001140361-17-001946 · doc1.xml · derivative · entry 1

Fields Morgan · CIK 0001614600 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2026-10-31

F1 · shares: On October 31, 2016, the Reporting Person was granted 1,000,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 240,000 shares may be issued upon certain performance only criteria.

F2 · derivative.exercise_date: The option vests in forty-eight equal installments beginning on the date so indicated and every month thereafter, such grant vested in full at 4 years.

F1 · derivative.underlying_shares: On October 31, 2016, the Reporting Person was granted 1,000,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 240,000 shares may be issued upon certain performance only criteria.

F1 · balance_after: On October 31, 2016, the Reporting Person was granted 1,000,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 240,000 shares may be issued upon certain performance only criteria.

SEC source: 0001144204-17-002464 · v457047_4.xml · derivative · entry 4

Welch David F · CIK 0001399122 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2026-10-31

F2 · derivative.exercise_date: The option vests in forty-eight equal installments beginning on the date so indicated and every month thereafter, such grant vested in full at 4 years.