TARA

SEC source: 0001209191-22-003084 · doc4.xml · derivative · entry 2

Bandari Jathin · CIK 0001903622 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,000

Underlying: Common Stock · 81,000 shares

Expires 2032-01-09

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 10, 2022 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-22-003084 · doc4.xml · nonDerivative · entry 1

Bandari Jathin · CIK 0001903622 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,500

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 10, 2022.

SEC source: 0001209191-22-001725 · doc4.xml · derivative · entry 2

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,800

Underlying: Common Stock · 84,800 shares

Expires 2032-01-02

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 3, 2022 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-22-001725 · doc4.xml · nonDerivative · entry 1

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,560

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 3, 2022.

SEC source: 0001209191-22-001719 · doc4.xml · derivative · entry 2

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 253,500

Underlying: Common Stock · 253,500 shares

Expires 2032-01-02

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 3, 2022 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-22-001719 · doc4.xml · nonDerivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 877,505

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 3, 2022.

SEC source: 0001209191-22-001715 · doc4.xml · derivative · entry 2

Davis Blaine · CIK 0001802188 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,800

Underlying: Common Stock · 84,800 shares

Expires 2032-01-02

F2 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 3, 2022 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-22-001715 · doc4.xml · nonDerivative · entry 1

Davis Blaine · CIK 0001802188 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,581

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards (RSUs), each of which represents a contingent right to receive one share of Issuer's common stock. The RSUs vest in equal one-third installments on the first, second and third anniversaries of January 3, 2022.

SEC source: 0001493152-21-032722 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 120,000

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $ 6.3172. The range of purchase prices on the transaction date was $6.26 to $6.38 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-032722 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 115,500

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.3588. The range of purchase prices on the transaction date was $6.24 to $6.49 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-032722 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,530,000

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.3588. The range of purchase prices on the transaction date was $6.24 to $6.49 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-21-032554 · ownership.xml · nonDerivative · entry 4

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 110,000

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $ 6.5317. The range of purchase prices on the transaction date was $6.47 to $6.59 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-032554 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,528,409

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $ 6.5317. The range of purchase prices on the transaction date was $6.47 to $6.59 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-21-032554 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 105,000

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.60. The range of purchase prices on the transaction date was $6.60 to $6.60 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-032554 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,496,709

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.60. The range of purchase prices on the transaction date was $6.60 to $6.60 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-21-032275 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,496,209

F2 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume-weighted average purchase price of $6.49. The range of purchase prices on the transaction date was $6.49 per share.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-21-032025 · ownership.xml · nonDerivative · entry 4

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 104,200

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $ 6.60. The range of purchase prices on the transaction date was $6.40 to $6.70 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-032025 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,495,506

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $ 6.60. The range of purchase prices on the transaction date was $6.40 to $6.70 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-21-032025 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 103,710

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.41. The range of purchase prices on the transaction date was $6.35 to $6.49 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-032025 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,493,206

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.41. The range of purchase prices on the transaction date was $6.35 to $6.49 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-21-029376 · ownership.xml · nonDerivative · entry 4

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 102,647

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $ 6.9795. The range of purchase prices on the transaction date was $6.92 to $6.99 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-029376 · ownership.xml · nonDerivative · entry 3

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,486,706

F4 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $ 6.9795. The range of purchase prices on the transaction date was $6.92 to $6.99 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-21-029376 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 101,647

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.98. The range of purchase prices on the transaction date was $6.9686 to $6.99 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-029376 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,472,500

F3 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $6.98. The range of purchase prices on the transaction date was $6.9686 to $6.99 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-21-027485 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 100,557

F2 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-21-027485 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,464,472

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001209191-22-008912 · doc5.xml · nonDerivative · entry 2

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870,376

SEC source: 0001209191-22-008912 · doc5.xml · nonDerivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870,889

SEC source: 0001209191-21-040311 · doc4.xml · nonDerivative · entry 2

Olivo Martin Sebastian · CIK 0001855055 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,344

SEC source: 0001209191-21-040311 · doc4.xml · nonDerivative · entry 1

Olivo Martin Sebastian · CIK 0001855055 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,410

SEC source: 0001209191-21-039686 · doc4.xml · derivative · entry 1

Solomon Michael Edward · CIK 0001799320 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-039727 · doc4.xml · derivative · entry 2

Huang Jane · CIK 0001683913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-08

F2 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-039727 · doc4.xml · derivative · entry 1

Huang Jane · CIK 0001683913 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The shares vest in a series of 36 successive equal monthly installments over the three-year period measured from the date of grant, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-039687 · doc4.xml · derivative · entry 1

Levy Richard S · CIK 0001454983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-039683 · doc4.xml · derivative · entry 1

GARCEAU ROGER · CIK 0001451767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-039685 · doc4.xml · derivative · entry 1

SARGEN GREGORY · CIK 0001227835 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-039680 · doc4.xml · derivative · entry 1

BESHAR LUKE M · CIK 0001192128 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-039691 · doc4.xml · derivative · entry 1

Flannelly Barry P · CIK 0001615842 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-039688 · doc4.xml · derivative · entry 1

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-027691 · doc4.xml · derivative · entry 1

Olivo Martin Sebastian · CIK 0001855055 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2031-04-18

F1 · derivative.exercise_date: One-fourth of the shares shall vest on April 19, 2022 and the remainder of the shares will vest in a series of thirty-six successive equal monthly installments measured from April 19, 2022, subject to the Reporting Person's Continuous Service (as defined in the Inducement Plan) with the Issuer through each such vesting date.

SEC source: 0001209191-21-006571 · doc4.xml · derivative · entry 2

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,750

Underlying: Common Stock · 3,750 shares

Expires 2031-01-28

F2 · derivative.exercise_date: The shares will vest in equal monthly installments over the 12 months following the date of grant, provided that the shares will, in any case, be fully vested on the date of the Company's next annual stockholder meeting, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-006571 · doc4.xml · derivative · entry 1

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares vest in a series of 36 successive equal monthly installments over the three-year period measured from the date of grant, subject to the optionholder's continuous service as a member of the Board through such vesting date and will vest in full upon a Change of Control.

SEC source: 0001209191-21-004652 · doc4.xml · derivative · entry 1

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2031-01-18

F1 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 19, 2021 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-21-004653 · doc4.xml · derivative · entry 1

Davis Blaine · CIK 0001802188 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2031-01-18

F1 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 19, 2021 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-21-004651 · doc4.xml · derivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,000

Underlying: Common Stock · 202,000 shares

Expires 2031-01-18

F1 · derivative.exercise_date: 25% of the shares vest on the one year anniversary of January 19, 2021 and 1/48th of the shares vest monthly thereafter over the next three years, subject to the Reporting Person's continuous service with the Issuer as of each such date.

SEC source: 0001209191-21-003448 · doc4.xml · nonDerivative · entry 1

Zummo Jacqueline · CIK 0001798929 · Chf Scientific Operations Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,460

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 10, 2020.

SEC source: 0001209191-21-003445 · doc4.xml · nonDerivative · entry 1

Shefferman Jesse · CIK 0001799167 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,205

F1 · shares: Represents shares withheld by the Issuer to satisfy income tax obligations associated with the vesting of a Restricted Stock Unit Award granted to the Reporting Person on January 10, 2020.

SEC source: 0001493152-20-018753 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,458,472

F1 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-20-018373 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 2,408,472

F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-20-018373 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 100,000

F1 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.