WINT

SEC source: 0001213900-18-017872 · ownership.xml · derivative · entry 4

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 1,042,224

Underlying: Common Stock · 307,859 shares

Expires 2020-05-24

F2 · security: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants.

SEC source: 0001213900-18-017872 · ownership.xml · nonDerivative · entry 2

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 12,794,970

F1 · balance_after: On December 22, 2017, the Issuer effected a 1-20 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.

F3 · balance_after: Pursuant to an Agreement and Plan of Merger dated as of December 2, 2018 ("Merger Agreement") entered into between the Issuer, WT Acquisition Corp. ("Merger Sub") a wholly-owned subsidiary of the Issuer, and CVie Investments Limited ("CVie") ("Merger Parties"), Merger Sub merged with and into CVie, with CVie becoming the sole surviving entity as a wholly owned subsidiary of the Issuer ("Merger"). Under the Merger Agreement the Issuer issued Common Stock to CVie's former shareholders at an exchange ratio of 0.3512 share of Common Stock for each outstanding share of CVie prior to the Merger. The Merger closed on December 21, 2018. China Cardiovascular Focus Limited ("CCF"), a wholly-owned subsidiary of Lee's Pharmaceutical International Limited, which is a wholly-owned subsidiary of the Reporting Person, as a 49.58% owner of CVie prior to the Merger, received 8,063,861 shares of Common Stock. CCF is deemed to beneficially own 8,063,861 shares of Common Stock.

SEC source: 0001213900-18-017872 · ownership.xml · nonDerivative · entry 1

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 12,794,970

F1 · balance_after: On December 22, 2017, the Issuer effected a 1-20 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.

F2 · balance_after: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants.

SEC source: 0001213900-18-017870 · ownership.xml · derivative · entry 3

LPH II Investments Ltd · CIK 0001737494 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,040,886

Underlying: Common Stock · 597,610 shares

Expires 2023-12-24

F2 · security: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants.

SEC source: 0001213900-18-017870 · ownership.xml · derivative · entry 2

LPH II Investments Ltd · CIK 0001737494 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,040,886

Underlying: Common Stock · 307,859 shares

Expires 2020-05-24

F2 · security: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants.

SEC source: 0001213900-18-017870 · ownership.xml · nonDerivative · entry 1

LPH II Investments Ltd · CIK 0001737494 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,352,605

F1 · balance_after: On December 22, 2017, the Issuer effected a 1-20 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.

F2 · balance_after: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants.

SEC source: 0001437749-18-021250 · rdgdoc.xml · derivative · entry 3

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 350 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.

F2 · derivative.exercise_price: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

F1 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F3 · derivative.exercise_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F3 · derivative.expiration_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F2 · derivative.underlying_shares: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021250 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,535

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: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F2 · balance_after: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021249 · rdgdoc.xml · derivative · entry 2

PEACOCK BRUCE · CIK 0001228459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 850 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.

F2 · derivative.exercise_price: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

F1 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F3 · derivative.exercise_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F3 · derivative.expiration_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F2 · derivative.underlying_shares: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021249 · rdgdoc.xml · nonDerivative · entry 1

PEACOCK BRUCE · CIK 0001228459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,160

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: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F2 · balance_after: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021251 · rdgdoc.xml · derivative · entry 3

Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150 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.

F2 · derivative.exercise_price: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

F1 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F3 · derivative.exercise_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F3 · derivative.expiration_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F2 · derivative.underlying_shares: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021251 · rdgdoc.xml · nonDerivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,237

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: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F2 · balance_after: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021248 · rdgdoc.xml · derivative · entry 2

Joseph Mahady M · CIK 0001187302 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 850 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.

F2 · derivative.exercise_price: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

F1 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F3 · derivative.exercise_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F3 · derivative.expiration_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F2 · derivative.underlying_shares: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021248 · rdgdoc.xml · nonDerivative · entry 1

Joseph Mahady M · CIK 0001187302 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,160

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: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F2 · balance_after: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021247 · rdgdoc.xml · derivative · entry 2

Leone John R · CIK 0001301047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 650 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.

F2 · derivative.exercise_price: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

F1 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F3 · derivative.exercise_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F3 · derivative.expiration_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date.

F2 · derivative.underlying_shares: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001437749-18-021247 · rdgdoc.xml · nonDerivative · entry 1

Leone John R · CIK 0001301047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,212

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: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants.

F2 · balance_after: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017.

SEC source: 0001213900-18-017872 · ownership.xml · derivative · entry 6

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,755

Underlying: Common Stock · 66,900 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.

F5 · derivative.expiration_date: Pursuant to the Certificate of Designation of Preferences, Rights and Limitations of the Series A Convertible Preferred Stock, if the closing price of the Common Stock, as listed or quoted on its principal market, is equal to or greater than $4.11 for at least 20 consecutive trading days on or after the first anniversary of the original issue date of the Preferred Stock, then the Issuer, at its option, may cause the Preferred Stock to be converted in whole, or in part, on a pro rata basis among the holders of the Preferred Stock, into shares of Common Stock subject to a beneficial ownership limitation of 9.99%.

SEC source: 0001213900-18-017872 · ownership.xml · nonDerivative · entry 3

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,920,171

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 · balance_after: On December 22, 2017, the Issuer effected a 1-20 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.

F4 · balance_after: Pursuant to an Exchange Agreement dated September 12, 2018, entered into by and between the Reporting Person and the Issuer, the Reporting Person agreed to exchange 1,338 Shares of Series A Convertible Preferred Stock for 66,900 shares of Common Stock. The actual exchange took place on November 8, 2018. As a result of the foregoing exchange, the Reporting Person beneficially owns 66,900 shares of Common Stock directly.

SEC source: 0001213900-18-004124 · f4040418lees_windtree.xml · derivative · entry 2

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 135,417

Underlying: Common Stock · 135,417 shares

Expires 2025-04-04

F2 · security: The shares of Common Stock issuable upon exercise of the Warrants are initially subject to a beneficial ownership limitation (the "Beneficial Ownership Limitation") of 9.99%. Upon notice to the Issuer, LPH II may decrease or thereafter increase the Beneficial Ownership Limitation applicable to the Warrants. Any such change in the Beneficial Ownership Limitation will not be effective until the 61st day after such notice is delivered to the Issuer. Because LPH II's beneficial ownership of Common Stock (without giving effect to the exercise of the Warrants into Common Stock) has exceeded the current Beneficial Ownership Limitation of 9.99%, the Warrants beneficially owned by LPH II are not currently exercisable without amending the Beneficial Ownership Limitation.

F1 · ownership.nature: Pursuant to a Securities Purchase Agreement dated March 30, 2018, LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, acquired 541,667 shares of common stock of the Issuer ("Common Stock") and 135,417 Series C Warrants to purchase Common Stock of the Issuer ("Warrants") for an aggregate purchase price of $2,600,000, as reported in Table I and II of this Form 4 respectively. As a result of the foregoing purchase, LPH II beneficially owns (i) 541,667 shares of Common Stock and (ii) 135,417 shares of Common Stock issuable upon exercise of the Warrants.

SEC source: 0001213900-18-004124 · f4040418lees_windtree.xml · nonDerivative · entry 1

Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Subsidiary

Disclosed balance after: 2,853,271

F1 · ownership.nature: Pursuant to a Securities Purchase Agreement dated March 30, 2018, LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, acquired 541,667 shares of common stock of the Issuer ("Common Stock") and 135,417 Series C Warrants to purchase Common Stock of the Issuer ("Warrants") for an aggregate purchase price of $2,600,000, as reported in Table I and II of this Form 4 respectively. As a result of the foregoing purchase, LPH II beneficially owns (i) 541,667 shares of Common Stock and (ii) 135,417 shares of Common Stock issuable upon exercise of the Warrants.

SEC source: 0001437749-17-018211 · rdgdoc.xml · nonDerivative · entry 1

Tattory John A · CIK 0001499834 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 884,215

F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock, having a value when issued equal to the combined total value of the 2017 and 2018 Target Bonus Amounts (as defined in the executive's employment agreement). The RSUs shall vest in two equal installments on March 15, 2018 and March 15, 2019.

SEC source: 0001437749-17-018210 · rdgdoc.xml · nonDerivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 941,756

F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock, having a value when issued equal to the combined total value of the 2017 and 2018 Target Bonus Amounts (as defined in the executive's employment agreement). The RSUs shall vest in two equal installments on March 15, 2018 and March 15, 2019.

SEC source: 0001437749-17-018209 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,983,690

F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock, having a value when issued equal to the combined total value of the 2017 and 2018 Target Bonus Amounts (as defined in the executive's employment agreement). The RSUs shall vest in two equal installments on March 15, 2018 and March 15, 2019.

SEC source: 0001437749-17-003783 · rdgdoc.xml · derivative · entry 3

Templeton Mary B Esq · CIK 0001530067 · SVP, Gen Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-03-01

F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.

SEC source: 0001437749-17-003781 · rdgdoc.xml · derivative · entry 4

Tattory John A · CIK 0001499834 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,239

Underlying: Common Stock · 11,239 shares

Expires 2027-03-01

F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.

SEC source: 0001437749-17-003781 · rdgdoc.xml · derivative · entry 3

Tattory John A · CIK 0001499834 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,761

Underlying: Common Stock · 43,761 shares

Expires 2027-03-01

F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.

SEC source: 0001437749-17-003779 · rdgdoc.xml · derivative · entry 4

Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,334

Underlying: Common Stock · 18,334 shares

Expires 2027-03-01

F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.

SEC source: 0001437749-17-003779 · rdgdoc.xml · derivative · entry 3

Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,666

Underlying: Common Stock · 36,666 shares

Expires 2027-03-01

F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.

SEC source: 0001437749-17-003777 · rdgdoc.xml · derivative · entry 3

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-03-01

F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant.

SEC source: 0001437749-17-002593 · rdgdoc.xml · derivative · entry 2

Joseph Mahady M · CIK 0001187302 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2024-08-15

F3 · price: Series A-1 Warrants in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

SEC source: 0001437749-17-002593 · rdgdoc.xml · derivative · entry 1

Joseph Mahady M · CIK 0001187302 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17

Underlying: Common Stock · 17,000 shares

Expires not disclosed

F2 · price: Series A Convertible Preferred Stock in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

F1 · derivative.exercise_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

F1 · derivative.expiration_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

SEC source: 0001437749-17-002594 · rdgdoc.xml · derivative · entry 2

PEACOCK BRUCE · CIK 0001228459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2024-08-15

F3 · price: Series A-1 Warrants in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

SEC source: 0001437749-17-002594 · rdgdoc.xml · derivative · entry 1

PEACOCK BRUCE · CIK 0001228459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17

Underlying: Common Stock · 17,000 shares

Expires not disclosed

F2 · price: Series A Convertible Preferred Stock in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

F1 · derivative.exercise_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

F1 · derivative.expiration_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

SEC source: 0001437749-17-002592 · rdgdoc.xml · derivative · entry 2

Leone John R · CIK 0001301047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2024-08-15

F3 · price: Series A-1 Warrants in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

SEC source: 0001437749-17-002592 · rdgdoc.xml · derivative · entry 1

Leone John R · CIK 0001301047 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13

Underlying: Common Stock · 13,000 shares

Expires not disclosed

F2 · price: Series A Convertible Preferred Stock in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

F1 · derivative.exercise_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

F1 · derivative.expiration_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

SEC source: 0001437749-17-002591 · rdgdoc.xml · derivative · entry 2

Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2024-08-15

F3 · price: Series A-1 Warrants in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

SEC source: 0001437749-17-002591 · rdgdoc.xml · derivative · entry 1

Simonson Steven · CIK 0001624401 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3

Underlying: Common Stock · 3,000 shares

Expires not disclosed

F2 · price: Series A Convertible Preferred Stock in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

F1 · derivative.exercise_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

F1 · derivative.expiration_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

SEC source: 0001437749-17-002590 · rdgdoc.xml · derivative · entry 2

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2024-08-15

F3 · price: Series A-1 Warrants in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

SEC source: 0001437749-17-002590 · rdgdoc.xml · derivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7

Underlying: Common Stock · 7,000 shares

Expires not disclosed

F2 · price: Series A Convertible Preferred Stock in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37.

F1 · derivative.exercise_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

F1 · derivative.expiration_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date.

SEC source: 0001437749-16-040698 · rdgdoc.xml · nonDerivative · entry 1

Fraser Craig · CIK 0001557420 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500