SDEV

SEC source: 0001437749-23-014700 · rdgdoc.xml · nonDerivative · entry 1

Zheng Yongxiang · CIK 0001910375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 858

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 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · balance_after: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-22-028673 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-22-028672 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-22-028031 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Director · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · shares: On November 15, 2022, the common stock of NovaBay Pharmaceuticals, Inc. split 1-for-35, and is reflected accordingly in the number of shares sold.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.09 to $2.12. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-22-028029 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · shares: On November 15, 2022, the common stock of NovaBay Pharmaceuticals, Inc. split 1-for-35, and is reflected accordingly in the number of shares sold.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.09 to $2.12. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-22-028439 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1

F1 · shares: On November 15, 2022, the common stock of NovaBay Pharmaceuticals, Inc. split 1-for-35, and is reflected accordingly in the number of shares sold.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.09 to $2.12. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: The original Form 4, filed on November 23, 2022, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported that the reporting person beneficially owned no shares following the reported transaction when in fact the reporting person beneficially owned one share following the reported transaction.

F4 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-22-028438 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1

F1 · shares: On November 15, 2022, the common stock of NovaBay Pharmaceuticals, Inc. split 1-for-35, and is reflected accordingly in the number of shares sold.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.09 to $2.12. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F3 · balance_after: The original Form 4, filed on November 23, 2022, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported that the reporting person beneficially owned no shares following the reported transaction when in fact the reporting person beneficially owned one share following the reported transaction.

F4 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-22-022651 · rdgdoc.xml · nonDerivative · entry 1

Hall Justin · CIK 0001663021 · Director · CEO, GC and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,172

SEC source: 0001437749-22-022648 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 208,632

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.1565 to $0.1605. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-22-022646 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Director · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 208,632

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.1565 to $0.1605. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-22-013459 · rdgdoc.xml · derivative · entry 3

Freiman Paul E. · CIK 0001410074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

SEC source: 0001437749-22-013459 · rdgdoc.xml · nonDerivative · entry 1

Freiman Paul E. · CIK 0001410074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

SEC source: 0001437749-22-013460 · rdgdoc.xml · derivative · entry 2

Zheng Yenyou · CIK 0001330748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

SEC source: 0001437749-22-013460 · rdgdoc.xml · nonDerivative · entry 1

Zheng Yenyou · CIK 0001330748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

SEC source: 0001437749-22-013461 · rdgdoc.xml · derivative · entry 2

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

SEC source: 0001437749-22-013461 · rdgdoc.xml · nonDerivative · entry 1

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

SEC source: 0001437749-22-013458 · rdgdoc.xml · derivative · entry 2

Sit Swan · CIK 0001801128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

SEC source: 0001437749-22-013458 · rdgdoc.xml · nonDerivative · entry 1

Sit Swan · CIK 0001801128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

SEC source: 0001437749-22-012433 · rdgdoc.xml · derivative · entry 1

Freiman Paul E. · CIK 0001410074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-22-012435 · rdgdoc.xml · derivative · entry 1

Zheng Yenyou · CIK 0001330748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-22-012436 · rdgdoc.xml · derivative · entry 1

Zheng Yongxiang · CIK 0001910375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-22-012438 · rdgdoc.xml · derivative · entry 1

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-22-012437 · rdgdoc.xml · derivative · entry 1

Sit Swan · CIK 0001801128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-22-012434 · rdgdoc.xml · derivative · entry 1

Garlikov Julie · CIK 0001793266 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-21-027958 · rdgdoc.xml · nonDerivative · entry 1

Hall Justin · CIK 0001663021 · Director · CEO, GC and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,172

SEC source: 0001437749-21-027933 · rdgdoc.xml · nonDerivative · entry 2

Jones Andrew D. · CIK 0001811872 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,461

SEC source: 0001437749-21-027933 · rdgdoc.xml · nonDerivative · entry 1

Jones Andrew D. · CIK 0001811872 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,696

SEC source: 0001437749-21-028027 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 500,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.4600 to $0.4650. The price reported above reflected the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-21-028029 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 500,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.4600 to $0.4650. The price reported above reflected the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-21-027935 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 398,350

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.4650 to $0.4900. The price reported above reflected the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-21-027934 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 398,350

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.4650 to $0.4900. The price reported above reflected the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-21-027852 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 135,981

F1 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-21-027850 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 135,981

F1 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-21-027708 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 121,133

F1 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-21-027706 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 121,133

F1 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-21-027397 · rdgdoc.xml · nonDerivative · entry 2

Kunin Audrey · CIK 0001738781 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 91,133

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.4545 to $0.4610. The price reported above reflected the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-21-027396 · rdgdoc.xml · nonDerivative · entry 2

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 91,133

F1 · price: This transaction was executed in multiple trades at prices ranging from $0.4545 to $0.4610. The price reported above reflected the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-21-027397 · rdgdoc.xml · nonDerivative · entry 1

Kunin Audrey · CIK 0001738781 · Chief Product Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 25,000

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person serves as the trustee and has investment control.

SEC source: 0001437749-21-027396 · rdgdoc.xml · nonDerivative · entry 1

Kunin Jeffrey · CIK 0001738782 · President, DERMAdoctor, LLC

10b5-1 filing: Not disclosed

Ownership: Indirect · see footnote

Disclosed balance after: 25,000

F2 · ownership.nature: By The Audrey G. Kunin Trust in which the reporting person's spouse serves as the trustee and has investment control.

SEC source: 0001437749-21-013297 · rdgdoc.xml · derivative · entry 1

Freiman Paul E. · CIK 0001410074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-21-013293 · rdgdoc.xml · derivative · entry 1

Zheng Yenyou · CIK 0001330748 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-21-013296 · rdgdoc.xml · derivative · entry 1

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-21-013295 · rdgdoc.xml · derivative · entry 1

Sit Swan · CIK 0001801128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-21-013294 · rdgdoc.xml · derivative · entry 1

Li Xinzhou · CIK 0001565534 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-21-011378 · rdgdoc.xml · nonDerivative · entry 1

Jones Andrew D. · CIK 0001811872 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,006

F1 · security: Represents payment of tax liability due to vesting of 160,000 time-based restricted stock units (as previously reported on Mr. Jones' Form 3, as filed with the SEC on May 13, 2020).

SEC source: 0001437749-20-018610 · rdgdoc.xml · derivative · entry 1

Xu Wang · CIK 0001807054 · NEO - Sr Mgr and Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-08-20

F1 · derivative.exercise_date: The stock option grant will vest over four years, with 25% vesting on the first anniversary of the grant date and 6.25% vesting very three months thereafter.

SEC source: 0001437749-20-018608 · rdgdoc.xml · derivative · entry 1

Jones Andrew D. · CIK 0001811872 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-08-20

F1 · derivative.exercise_date: The stock option grant will vest over four years, with 25% vesting on the first anniversary of the grant date and 6.25% vesting very three months thereafter.

SEC source: 0001437749-20-018607 · rdgdoc.xml · derivative · entry 1

Hall Justin · CIK 0001663021 · CEO and GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common stock · 350,000 shares

Expires 2030-08-20

F1 · derivative.exercise_date: The stock option grant will vest over four years, with 25% vesting on the first anniversary of the grant date and 6.25% vesting very three months thereafter.

SEC source: 0001437749-20-018340 · rdgdoc.xml · derivative · entry 3

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 20,000 shares

Expires 2029-05-30

SEC source: 0001437749-20-018340 · rdgdoc.xml · nonDerivative · entry 2

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0