TLPH

SEC source: 0001209191-24-004045 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,344

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 14, 2025, February 14, 2026 and February 14, 2027.

SEC source: 0001209191-24-004044 · doc4.xml · derivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,000

Underlying: Common Stock · 88,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: On February 14, 2024, the reporting person was granted an option to purchase 88,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-24-004044 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,820

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 14, 2025, February 14, 2026 and February 14, 2027.

SEC source: 0001209191-24-004043 · doc4.xml · derivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,000

Underlying: Common Stock · 108,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: On February 14, 2024, the reporting person was granted an option to purchase 108,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-24-004043 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,291

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 14, 2025, February 14, 2026 and February 14, 2027.

SEC source: 0001209191-24-004042 · doc4.xml · derivative · entry 2

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 352,000

Underlying: Common Stock · 352,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: On February 14, 2024, the reporting person was granted an option to purchase 352,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-24-004042 · doc4.xml · nonDerivative · entry 1

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,429

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 14, 2025, February 14, 2026 and February 14, 2027.

SEC source: 0001209191-24-003308 · doc4.xml · nonDerivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,153

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-003307 · doc4.xml · nonDerivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,344

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Balance includes non-reportable acquisition of 6,193 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-24-003306 · doc4.xml · nonDerivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,291

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-003304 · doc4.xml · nonDerivative · entry 2

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,762

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-003308 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,962

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-003307 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,145

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Balance includes non-reportable acquisition of 6,193 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-24-003306 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,186

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-003304 · doc4.xml · nonDerivative · entry 1

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,485

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-002098 · doc4.xml · derivative · entry 2

JAIN ABHINAV · CIK 0001981291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,228

Underlying: Common Stock · 5,228 shares

Expires 2034-01-22

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 33% of the shares subject to the option vest on the one year anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 24 months.

SEC source: 0001209191-24-002098 · doc4.xml · nonDerivative · entry 1

JAIN ABHINAV · CIK 0001981291 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 871

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on January 22, 2025, January 22, 2026 and January 22, 2027.

SEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 5

Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks

Harkey Wilmot B. · CIK 0001775952 · 10% owner

Mack Daniel · CIK 0001775831 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 6,168,832

Underlying: Common Stock · 6,168,832 shares

Expires not disclosed

F3 · derivative.expiration_date: These Warrants are exercisable indefinitely.

F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein.

SEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 4

Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks

Harkey Wilmot B. · CIK 0001775952 · 10% owner

Mack Daniel · CIK 0001775831 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,205,883

Underlying: Common Stock · 2,205,883 shares

Expires 2028-07-20

F1 · price: On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock.

F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein.

SEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 3

Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks

Harkey Wilmot B. · CIK 0001775952 · 10% owner

Mack Daniel · CIK 0001775831 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,205,883

Underlying: Common Stock · 2,205,883 shares

Expires 2028-07-20

F1 · price: On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock.

F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein.

SEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 2

Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks

Harkey Wilmot B. · CIK 0001775952 · 10% owner

Mack Daniel · CIK 0001775831 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,205,883 shares

Expires 2028-07-20

F1 · price: On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock.

F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein.

SEC source: 0001104659-24-006027 · tm243862-1_4seq1.xml · derivative · entry 1

Nantahala Capital Management, LLC · CIK 0001472322 · 10% owner · See remarks

Harkey Wilmot B. · CIK 0001775952 · 10% owner

Mack Daniel · CIK 0001775831 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,205,883 shares

Expires 2028-07-20

F1 · price: On January 24, 2024, as disclosed by Talphera, Inc (the "Issuer") in an 8-K filed with the SEC on the same date, the Issuer amended and restated certain warrants to purchase shares of Issuer common stock ("Common Stock") including those acquired by the NCM Investors (as defined below) on July 20, 2023, reducing the exercise price thereunder to $0.77 per share of Common Stock.

F2 · ownership.nature: Nantahala Capital Management, LLC ("NCM"), an investment adviser to certain private funds and managed accounts (the "NCM Investors") that hold shares of Common Stock and certain derivative securities related thereto (the "Derivatives"), including the warrants to purchase Common Stock ("Warrants") disclosed in this Form 4, may be deemed a beneficial owner of such Warrants. Each of Mr. Wilmot B Harkey and Mr. Daniel Mack may be deemed a beneficial owner of the Warrants beneficially owned by NCM. Each of NCM, Mr. Harkey and Mr. Mack (the "Reporting Persons") disclaims beneficial ownership of the Warrants disclosed herein except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-23-058578 · doc4.xml · nonDerivative · entry 1

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,805

F1 · price: The price reported on Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $0.7198 to $0.73 on December 13, 2023. The reporting person will provide upon request to the SEC, the issuer or security holder of Issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001209191-23-058481 · doc4.xml · derivative · entry 2

Bozilenko Marina · CIK 0001853794 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,487

Underlying: Common Stock · 3,487 shares

Expires 2033-10-10

F4 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-23-058481 · doc4.xml · nonDerivative · entry 1

Bozilenko Marina · CIK 0001853794 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,606

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Effective on October 25, 2022, the issuer effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-23-058489 · doc4.xml · derivative · entry 2

HOFFMAN STEPHEN J · CIK 0001190418 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,487

Underlying: Common Stock · 3,487 shares

Expires 2033-10-10

F4 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-23-058489 · doc4.xml · nonDerivative · entry 1

HOFFMAN STEPHEN J · CIK 0001190418 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,418

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Effective on October 25, 2022, the issuer effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-23-058487 · doc4.xml · derivative · entry 2

Afable Richard · CIK 0001594021 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,487

Underlying: Common Stock · 3,487 shares

Expires 2033-10-10

F4 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-23-058487 · doc4.xml · nonDerivative · entry 1

Afable Richard · CIK 0001594021 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,468

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Effective on October 25, 2022, the issuer effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-23-058486 · doc4.xml · derivative · entry 2

WAN MARK A · CIK 0001190472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,487

Underlying: Common Stock · 3,487 shares

Expires 2033-10-10

F4 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-23-058486 · doc4.xml · nonDerivative · entry 1

WAN MARK A · CIK 0001190472 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,418

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Effective on October 25, 2022, the issuer effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-23-058479 · doc4.xml · derivative · entry 2

Broadfoot Jill Marie · CIK 0001305178 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,487

Underlying: Common Stock · 3,487 shares

Expires 2033-10-10

F4 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-23-058479 · doc4.xml · nonDerivative · entry 1

Broadfoot Jill Marie · CIK 0001305178 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,106

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Effective on October 25, 2022, the issuer effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-23-058477 · doc4.xml · derivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,487

Underlying: Common Stock · 3,487 shares

Expires 2033-10-10

F4 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-23-058477 · doc4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,293

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Effective on October 25, 2022, the issuer effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-23-058474 · doc4.xml · derivative · entry 2

ADAMS ADRIAN · CIK 0001248144 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,487

Underlying: Common Stock · 3,487 shares

Expires 2033-10-10

F4 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-23-058474 · doc4.xml · nonDerivative · entry 1

ADAMS ADRIAN · CIK 0001248144 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,168

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Effective on October 25, 2022, the issuer effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-23-049016 · doc4.xml · nonDerivative · entry 1

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,805

F1 · balance_after: Balance includes non-reportable acquisitions of 7,969 and 10,000 shares of Common Stock through the Company's Employee Stock Purchase Plan on February 28, 2023 and August 31, 2023, respectively.

SEC source: 0001209191-23-047348 · doc4.xml · nonDerivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,753

F2 · balance_after: Balance includes non-reportable acquisition of 4,394 shares of Common Stock through the Company's Employee Stock Purchase Plan on February 28, 2023.

SEC source: 0001209191-23-047348 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,195

F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $1.17 to $1.19 on August 24, 2023. The reporting person will provide upon request to the SEC, the issuer or security holder of Issuer, full information regarding the number of shares sold at each separate price.

F2 · balance_after: Balance includes non-reportable acquisition of 4,394 shares of Common Stock through the Company's Employee Stock Purchase Plan on February 28, 2023.

SEC source: 0001209191-23-016330 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,771

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-016324 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,315

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-016311 · doc4.xml · nonDerivative · entry 1

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,836

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-016316 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,081

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009131 · doc4.xml · nonDerivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,885

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009127 · doc4.xml · nonDerivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,169

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009123 · doc4.xml · nonDerivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,591

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009115 · doc4.xml · nonDerivative · entry 2

Angotti Vincent J. · CIK 0001700225 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,539

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009131 · doc4.xml · derivative · entry 3

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,750

Underlying: Common Stock · 36,750 shares

Expires 2033-02-09

F4 · derivative.exercise_date: On February 10, 2023, the reporting person was granted an option to purchase 36,750 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-23-009131 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,902

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 10, 2024, February 10, 2025 and February 10, 2026.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.