CAVAZZA PAOLO

SEC source: 0001213900-23-055186 · ownership.xml · derivative · entry 10

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

APTAFIN S P A · CIK 0001232942 · Member of 10% owner group

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,750,000

Underlying: Common Stock · 3,750,000 shares

Expires 2028-07-02

F7 · derivative.exercise_price: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F9 · derivative.exercise_price: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date.

F7 · shares: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F9 · shares: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date.

F7 · price: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F9 · price: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date.

F7 · derivative.underlying_shares: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F9 · derivative.underlying_shares: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date.

F7 · balance_after: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F9 · balance_after: The 2023 Warrant is exercisable into up to 3,750,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from January 3, 2024, the date that is six months after the date of purchase, through July 2, 2028, the fifth anniversary of such date.

F11 · ownership.direct: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-23-055186 · ownership.xml · derivative · entry 9

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

APTAFIN S P A · CIK 0001232942 · Member of 10% owner group

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F7 · derivative.exercise_price: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F8 · derivative.exercise_price: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F7 · reported_value: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F8 · reported_value: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F7 · price: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F8 · price: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F7 · derivative.expiration_date: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F8 · derivative.expiration_date: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F7 · derivative.underlying_shares: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F8 · derivative.underlying_shares: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F7 · valueOwnedAfter: On July 3, 2023, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2023 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $50,000, (i) a convertible promissory note in the principal amount of $50,000 (the "2023 Note") and (ii) a warrant to purchase up to 3,750,000 shares of common stock at an exercise price of $0.02 per share, issued in connection with the 2023 Agreement as partial consideration for the 2023 Note (the "2023 Warrant").

F8 · valueOwnedAfter: The 2023 Note and any accrued interest thereon are convertible at the option of the holder at any time commencing six months after the date of issuance and prior to repayment of the 2023 Note into shares of the issuer's common stock at a conversion price of $0.02 per share. The 2023 Note is payable upon the written demand of the holder thereof at any time after July 2, 2028. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F11 · ownership.direct: Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer purchased by Essetifin. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-21-035569 · ownership.xml · derivative · entry 3

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,125,000

Underlying: Common Stock · 1,125,000 shares

Expires 2026-06-30

F1 · derivative.exercise_price: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · derivative.exercise_price: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · derivative.exercise_price: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F1 · shares: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · shares: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · shares: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F2 · price: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · price: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F2 · balance_after: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · balance_after: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F1 · ownership.direct: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · ownership.direct: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · ownership.direct: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F1 · ownership.nature: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · ownership.nature: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · ownership.nature: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

SEC source: 0001213900-21-035569 · ownership.xml · derivative · entry 2

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,125,000

Underlying: Common Stock · 1,125,000 shares

Expires 2023-06-30

F1 · derivative.exercise_price: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · derivative.exercise_price: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · derivative.exercise_price: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F1 · shares: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · shares: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · shares: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F2 · price: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · price: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F2 · balance_after: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · balance_after: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F1 · ownership.direct: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · ownership.direct: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · ownership.direct: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

F1 · ownership.nature: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · ownership.nature: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F4 · ownership.nature: Aptafin received two different warrants in the transaction, one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2023, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.24 per share, and one of which is exercisable, in whole or in part, at any time and from time to time, from June 30, 2021 through June 30, 2026, for up to 1,125,000 shares of common stock of the issuer at an exercise price of $0.28 per share.

SEC source: 0001213900-21-035569 · ownership.xml · nonDerivative · entry 1

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,500,000

F1 · balance_after: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · balance_after: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F3 · balance_after: The shares of common stock and warrants were purchased directly by Aptafin. Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Aptafin except to the extent of any pecuniary interest therein.

F5 · balance_after: Essetifin S.p.A. ("Essetifin") is the beneficial owner of 51,521,189 shares of the issuer's common stock (including shares of common stock issuable upon conversion of convertible notes and exercise of warrants). Paolo Cavazza has an ownership interest in Essetifin. Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

F1 · ownership.direct: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · ownership.direct: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F3 · ownership.direct: The shares of common stock and warrants were purchased directly by Aptafin. Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Aptafin except to the extent of any pecuniary interest therein.

F5 · ownership.direct: Essetifin S.p.A. ("Essetifin") is the beneficial owner of 51,521,189 shares of the issuer's common stock (including shares of common stock issuable upon conversion of convertible notes and exercise of warrants). Paolo Cavazza has an ownership interest in Essetifin. Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

F1 · ownership.nature: This Form 4 is being filed by Paolo Cavazza as a result of his ownership interest in Aptafin S.p.A. ("Aptafin"). Aptafin was not able to timely generate replacement Edgar codes to reflect the transactions disclosed herein. The sole stockholder of Aptafin is Apta Finance SA ("Apta Finance"). Paolo Cavazza owns 99% of the equity interests of Apta Finance. By virtue of his ownership interest in Apta Finance, Paolo Cavazza may be deemed to indirectly beneficially own the securities of the issuer that were purchased by Aptafin pursuant to the Agreement (as defined below).

F2 · ownership.nature: On June 30, 2021, in a private placement by the issuer, Aptafin S.p.A. ("Aptafin") entered into a purchase agreement (the "Agreement"), pursuant to which it agreed to purchase 1,500,000 shares of the common stock of the issuer and warrants to acquire the issuer's common stock, for an aggregate purchase price of $300,000.

F3 · ownership.nature: The shares of common stock and warrants were purchased directly by Aptafin. Paolo Cavazza disclaims beneficial ownership of all securities of the issuer held by Aptafin except to the extent of any pecuniary interest therein.

F5 · ownership.nature: Essetifin S.p.A. ("Essetifin") is the beneficial owner of 51,521,189 shares of the issuer's common stock (including shares of common stock issuable upon conversion of convertible notes and exercise of warrants). Paolo Cavazza has an ownership interest in Essetifin. Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-20-031745 · ownership.xml · derivative · entry 7

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,189

Underlying: Common Stock · 835,189 shares

Expires 2025-10-15

F4 · derivative.exercise_price: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F6 · derivative.exercise_price: The 2020 Warrant is exercisable into up to 835,189 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from April 15, 2021, the date that is six months after the date of purchase, through October 15, 2025, the fifth anniversary of such date.

F4 · shares: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F6 · shares: The 2020 Warrant is exercisable into up to 835,189 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from April 15, 2021, the date that is six months after the date of purchase, through October 15, 2025, the fifth anniversary of such date.

F4 · price: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F6 · price: The 2020 Warrant is exercisable into up to 835,189 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from April 15, 2021, the date that is six months after the date of purchase, through October 15, 2025, the fifth anniversary of such date.

F4 · derivative.underlying_shares: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F6 · derivative.underlying_shares: The 2020 Warrant is exercisable into up to 835,189 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from April 15, 2021, the date that is six months after the date of purchase, through October 15, 2025, the fifth anniversary of such date.

F4 · balance_after: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F6 · balance_after: The 2020 Warrant is exercisable into up to 835,189 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from April 15, 2021, the date that is six months after the date of purchase, through October 15, 2025, the fifth anniversary of such date.

F7 · ownership.direct: Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-20-031745 · ownership.xml · derivative · entry 6

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F4 · derivative.exercise_price: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F5 · derivative.exercise_price: The 2020 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2020 Note into shares of the issuer's common stock at a conversion price equal to the closing price of the issuer's common stock as of October 14, 2020, less a 20% discount (approximately $0.3592 per share). The 2020 Note is payable upon the written demand of the holder thereof at any time after October 14, 2025. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 1,113,586 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F4 · reported_value: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F5 · reported_value: The 2020 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2020 Note into shares of the issuer's common stock at a conversion price equal to the closing price of the issuer's common stock as of October 14, 2020, less a 20% discount (approximately $0.3592 per share). The 2020 Note is payable upon the written demand of the holder thereof at any time after October 14, 2025. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 1,113,586 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F4 · price: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F5 · price: The 2020 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2020 Note into shares of the issuer's common stock at a conversion price equal to the closing price of the issuer's common stock as of October 14, 2020, less a 20% discount (approximately $0.3592 per share). The 2020 Note is payable upon the written demand of the holder thereof at any time after October 14, 2025. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 1,113,586 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F4 · derivative.expiration_date: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F5 · derivative.expiration_date: The 2020 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2020 Note into shares of the issuer's common stock at a conversion price equal to the closing price of the issuer's common stock as of October 14, 2020, less a 20% discount (approximately $0.3592 per share). The 2020 Note is payable upon the written demand of the holder thereof at any time after October 14, 2025. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 1,113,586 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F4 · derivative.underlying_shares: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F5 · derivative.underlying_shares: The 2020 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2020 Note into shares of the issuer's common stock at a conversion price equal to the closing price of the issuer's common stock as of October 14, 2020, less a 20% discount (approximately $0.3592 per share). The 2020 Note is payable upon the written demand of the holder thereof at any time after October 14, 2025. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 1,113,586 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F4 · valueOwnedAfter: On October 15, 2020, in a private placement by the issuer, Essetifin entered into a Convertible Note and Warrant Purchase Agreement (the "2020 Agreement"), pursuant to which it agreed to purchase, for an aggregate purchase price of $400,000, (i) a convertible promissory note in the principal amount of $400,000 (the "2020 Note") and (ii) a warrant to purchase 835,189 shares of common stock at an exercise price of $0.45 per share, issued in connection with the 2020 Agreement as partial consideration for the 2020 Note (the "2020 Warrant").

F5 · valueOwnedAfter: The 2020 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the 2020 Note into shares of the issuer's common stock at a conversion price equal to the closing price of the issuer's common stock as of October 14, 2020, less a 20% discount (approximately $0.3592 per share). The 2020 Note is payable upon the written demand of the holder thereof at any time after October 14, 2025. Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the maturity date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 1,113,586 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F7 · ownership.direct: Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-20-010932 · ownership.xml · nonDerivative · entry 1

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,993,694

F1 · date: Such shares were purchased in connection with an underwritten public offering by the issuer, which closed on May 4, 2020.

F1 · shares: Such shares were purchased in connection with an underwritten public offering by the issuer, which closed on May 4, 2020.

F2 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin S.p.A. is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin S.p.A. except to the extent of any pecuniary interest therein.

SEC source: 0001213900-19-009008 · ownership.xml · derivative · entry 5

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125,000

Underlying: Common Stock · 3,125,000 shares

Expires 2024-03-01

F1 · derivative.exercise_price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F3 · derivative.exercise_price: Each of the February 2019 Warrant and the May 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock, or an aggregate of 6,250,000 shares. The February 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date. The May 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from November 13, 2019, the date that is sixth months after the date of purchase, through March 1, 2024, at which time it is void.

F1 · shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F3 · shares: Each of the February 2019 Warrant and the May 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock, or an aggregate of 6,250,000 shares. The February 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date. The May 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from November 13, 2019, the date that is sixth months after the date of purchase, through March 1, 2024, at which time it is void.

F1 · price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F3 · price: Each of the February 2019 Warrant and the May 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock, or an aggregate of 6,250,000 shares. The February 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date. The May 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from November 13, 2019, the date that is sixth months after the date of purchase, through March 1, 2024, at which time it is void.

F1 · derivative.underlying_shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F3 · derivative.underlying_shares: Each of the February 2019 Warrant and the May 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock, or an aggregate of 6,250,000 shares. The February 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date. The May 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from November 13, 2019, the date that is sixth months after the date of purchase, through March 1, 2024, at which time it is void.

F1 · balance_after: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F3 · balance_after: Each of the February 2019 Warrant and the May 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock, or an aggregate of 6,250,000 shares. The February 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date. The May 2019 Warrant is exercisable, in whole or in part, at any time and from time to time, from November 13, 2019, the date that is sixth months after the date of purchase, through March 1, 2024, at which time it is void.

F4 · ownership.direct: Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-19-009008 · ownership.xml · derivative · entry 4

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F2 · derivative.exercise_price: The Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the Notes into the issuer's common stock at a conversion price of $0.12 per share. The Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · reported_value: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F2 · reported_value: The Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the Notes into the issuer's common stock at a conversion price of $0.12 per share. The Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F2 · price: The Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the Notes into the issuer's common stock at a conversion price of $0.12 per share. The Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · derivative.expiration_date: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F2 · derivative.expiration_date: The Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the Notes into the issuer's common stock at a conversion price of $0.12 per share. The Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · derivative.underlying_shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F2 · derivative.underlying_shares: The Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the Notes into the issuer's common stock at a conversion price of $0.12 per share. The Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · valueOwnedAfter: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer (the "Notes") and warrants to acquire the issuer's common stock (the "Warrants"), in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant") and the second $500,000 tranche effective as of May 13, 2019 (such purchase consisting of the "May 2019 Note" and the "May 2019 Warrant").

F2 · valueOwnedAfter: The Notes and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the Notes into the issuer's common stock at a conversion price of $0.12 per share. The Notes are payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 8,333,334 shares, or 4,166,667 shares upon the conversion of each of the February 2019 Note and May 2019 Note. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F4 · ownership.direct: Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-19-003219 · ownership.xml · derivative · entry 3

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,884,615

Underlying: Common Stock · 2,884,615 shares

Expires 2024-02-26

F1 · derivative.exercise_price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · derivative.exercise_price: The February 2019 Warrant is exercisable into up to 2,884,615 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F1 · shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · shares: The February 2019 Warrant is exercisable into up to 2,884,615 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F1 · price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · price: The February 2019 Warrant is exercisable into up to 2,884,615 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F1 · derivative.underlying_shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · derivative.underlying_shares: The February 2019 Warrant is exercisable into up to 2,884,615 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F1 · balance_after: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · balance_after: The February 2019 Warrant is exercisable into up to 2,884,615 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F4 · ownership.direct: Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-19-003219 · ownership.xml · derivative · entry 2

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · derivative.exercise_price: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · reported_value: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · reported_value: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · price: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · derivative.expiration_date: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · derivative.expiration_date: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · derivative.underlying_shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · derivative.underlying_shares: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · valueOwnedAfter: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 2,884,615 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · valueOwnedAfter: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F4 · ownership.direct: Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-19-003429 · ownership.xml · derivative · entry 3

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125,000

Underlying: Common Stock · 3,125,000 shares

Expires 2024-02-26

F1 · derivative.exercise_price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · derivative.exercise_price: The February 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F5 · derivative.exercise_price: This amendment is being filed to reflect the inadvertent omission of additional shares into which each warrant is exercisable, which number was originally reported as 2,884,615.

F1 · shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · shares: The February 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F5 · shares: This amendment is being filed to reflect the inadvertent omission of additional shares into which each warrant is exercisable, which number was originally reported as 2,884,615.

F1 · price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · price: The February 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F5 · price: This amendment is being filed to reflect the inadvertent omission of additional shares into which each warrant is exercisable, which number was originally reported as 2,884,615.

F1 · derivative.underlying_shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · derivative.underlying_shares: The February 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F5 · derivative.underlying_shares: This amendment is being filed to reflect the inadvertent omission of additional shares into which each warrant is exercisable, which number was originally reported as 2,884,615.

F1 · balance_after: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F3 · balance_after: The February 2019 Warrant is exercisable into up to 3,125,000 shares of the issuer's common stock and is exercisable, in whole or in part, at any time and from time to time, from August 26, 2019, the date that is sixth months after the date of purchase, through February 26, 2024, the fifth anniversary of such date.

F5 · balance_after: This amendment is being filed to reflect the inadvertent omission of additional shares into which each warrant is exercisable, which number was originally reported as 2,884,615.

F4 · ownership.direct: Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-19-003429 · ownership.xml · derivative · entry 2

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · derivative.exercise_price: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · reported_value: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · reported_value: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · price: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · price: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · derivative.expiration_date: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · derivative.expiration_date: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · derivative.underlying_shares: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · derivative.underlying_shares: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F1 · valueOwnedAfter: On February 26, 2019, in a private placement by the issuer, Essetifin S.p.A. ("Essetifin") entered into a Convertible Note and Warrant Purchase Agreement (the "Agreement"), pursuant to which it agreed to purchase an aggregate principal amount of $1,000,000 of convertible promissory notes of the issuer and warrants to acquire the issuer's common stock, in two $500,000 tranches. Each tranche consists of (i) a note in the principal amount of $500,000 and (ii) a warrant to purchase 3,125,000 shares of the issuer's common stock at an exercise price of $0.18 per share, issued in connection with the Agreement as partial consideration for the note. Essetifin purchased the first $500,000 tranche effective as of February 26, 2019 (such purchase consisting of the "February 2019 Note" and the "February 2019 Warrant").

F2 · valueOwnedAfter: The February 2019 Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the February 2019 Note into the issuer's common stock at a conversion price of $0.12 per share. The February 2019 Note is payable upon the written demand of the holder thereof at any time after March 1, 2024 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 4,166,667 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date and reported on a Form 4 within two business days after conversion.

F4 · ownership.direct: Dispositive power over the shares of the issuer's common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-18-013186 · ownership.xml · derivative · entry 2

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,133,681 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

F1 · reported_value: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

F1 · price: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

F1 · derivative.expiration_date: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

F1 · derivative.underlying_shares: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

F1 · ownership.direct: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

SEC source: 0001213900-18-013186 · ownership.xml · nonDerivative · entry 1

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,989,080

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

F1 · price: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

F1 · ownership.direct: On September 27, 2018, Essetifin S.p.A., an Italian corporation ("Essetifin"), exercised its option to convert the Convertible Promissory Note, originally issued on September 11, 2013 and reissued on March 13, 2018, in an initial principal amount of $150,000 (the "Note"), including all accrued but unpaid interest thereon, into shares of common stock, $0.001 par value per share (the "Common Stock"), of RegeneRx Biopharmaceuticals, Inc. (the "Company"). The Company issued a total of 3,133,681 shares of Common Stock to Essetifin upon conversion of the Note, including 633,681 shares of Common Stock issued in respect of the accrued but unpaid interest on the Note. As a result of the conversion and as of September 27, 2018, Essetifin directly owns 34,989,080 shares of Common Stock, which includes 3,133,681 shares of Common Stock that were issued upon conversion the Note.

F2 · ownership.direct: Dispositive power over the shares of Common Stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of Common Stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-18-002972 · f4031318essetifin_regenerx.xml · derivative · entry 3

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500,000

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F3 · derivative.expiration_date: Represents a $150,000 convertible promissory note (the "Note") sold by Sinaf and purchased by Essetifin for an aggregate of $183,780.82, pursuant to the Sinaf Agreement. The reporting person purchased the Note on September 12, 2013, from the issuer in a private placement. The Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the Note into common stock at a conversion price of $0.06 per share. The Note is payable upon the written demand of the holder thereof at any time after September 10, 2018 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date.

F3 · derivative.underlying_shares: Represents a $150,000 convertible promissory note (the "Note") sold by Sinaf and purchased by Essetifin for an aggregate of $183,780.82, pursuant to the Sinaf Agreement. The reporting person purchased the Note on September 12, 2013, from the issuer in a private placement. The Note and any accrued interest thereon are convertible at the option of the holder at any time prior to repayment of the Note into common stock at a conversion price of $0.06 per share. The Note is payable upon the written demand of the holder thereof at any time after September 10, 2018 (the "Maturity Date"). Interest accrues on the unpaid principal amount at a rate equal to 5% per annum, but it is not due and payable until the written demand of the holder for payment on or after the Maturity Date. The current outstanding principal amount, if converted into common stock, would result in the issuance of 2,500,000 shares. The number of shares of common stock to be issued upon conversion will be fixed on the conversion date.

F4 · balance_after: Does not include shares issuable at the election of the reporting person upon conversion of accrued interest into shares of common stock.

F5 · ownership.direct: Paolo Cavazza previously reported indirect ownership of such securities due to his ownership interest in Sinaf, which is a directly wholly-owned subsidiary of Aptafin S.p.A., which is owned indirectly by Paolo Cavazza and members of his family. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-18-002972 · f4031318essetifin_regenerx.xml · nonDerivative · entry 2

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,855,399

F2 · shares: Represents shares sold by Taufin International S.A., a Luxembourg corporation ("Taufin"), and purchased by Essetifin, pursuant to a purchase agreement by and between Taufin and Essetifin.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-18-002972 · f4031318essetifin_regenerx.xml · nonDerivative · entry 1

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,506,521

F1 · shares: Represents shares sold by Sinaf S.A., a Luxembourg corporation ("Sinaf"), and purchased by Essetifin S.p.A., an Italian corporation ("Essetifin"), pursuant to a purchase agreement by and between Sinaf and Essetifin (the "Sinaf Agreement").

F5 · ownership.direct: Paolo Cavazza previously reported indirect ownership of such securities due to his ownership interest in Sinaf, which is a directly wholly-owned subsidiary of Aptafin S.p.A., which is owned indirectly by Paolo Cavazza and members of his family. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-17-013250 · f4121217essetifin_fennec.xml · nonDerivative · entry 1

Essetifin SPA · CIK 0001092601 · 10% owner

CAVAZZA PAOLO · CIK 0001163608 · 10% owner

Cavazza Enrico · CIK 0001525744 · 10% owner

Cavazza Francesca · CIK 0001525742 · 10% owner

Cavazza Silvia · CIK 0001525743 · 10% owner

Cavazza Preta Martina · CIK 0001718557 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,225,694

F1 · date: Such shares were purchased in connection with a public offering by the issuer under a shelf registration statement, which closed on December 12, 2017.

F1 · shares: Such shares were purchased in connection with a public offering by the issuer under a shelf registration statement, which closed on December 12, 2017.

F2 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin S.p.A. is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin S.p.A. except to the extent of any pecuniary interest therein.

SEC source: 0001213900-17-012851 · f4112917essetifin_soligenix.xml · nonDerivative · entry 6

Essetifin SPA · CIK 0001092601 · Former 10% Owner

CAVAZZA PAOLO · CIK 0001163608 · Former 10% Owner

Leadiant Biosciences, Inc. · CIK 0001385625 · Former 10% Owner

Cavazza Enrico · CIK 0001525744 · Former 10% Owner

Cavazza Francesca · CIK 0001525742 · Former 10% Owner

Cavazza Silvia · CIK 0001525743 · Former 10% Owner

Cavazza Preta Martina · CIK 0001718557 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,510

F1 · shares: Effective October 7, 2016, the issuer completed a reverse stock split of its issued and outstanding shares of common stock at a ratio of 1-for-10, whereby every 10 shares of its common stock were exchanged for one share of its common stock (the "Reverse Stock Split"). These shares have been adjusted to reflect the Reverse Stock Split.

F5 · balance_after: Sold by Sinaf and purchased by Essetifin S.p.A., an Italian corporation ("Essetifin"), pursuant to a purchase agreement by and between Essetifin and Sinaf. Paolo Cavazza previously reported indirect ownership of such shares due to his ownership interests in Sinaf, which is a directly wholly-owned subsidiary of Aptafin S.p.A., which is owned indirectly by Paolo Cavazza and members of his family. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin.

F5 · ownership.direct: Sold by Sinaf and purchased by Essetifin S.p.A., an Italian corporation ("Essetifin"), pursuant to a purchase agreement by and between Essetifin and Sinaf. Paolo Cavazza previously reported indirect ownership of such shares due to his ownership interests in Sinaf, which is a directly wholly-owned subsidiary of Aptafin S.p.A., which is owned indirectly by Paolo Cavazza and members of his family. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-17-012851 · f4112917essetifin_soligenix.xml · nonDerivative · entry 5

Essetifin SPA · CIK 0001092601 · Former 10% Owner

CAVAZZA PAOLO · CIK 0001163608 · Former 10% Owner

Leadiant Biosciences, Inc. · CIK 0001385625 · Former 10% Owner

Cavazza Enrico · CIK 0001525744 · Former 10% Owner

Cavazza Francesca · CIK 0001525742 · Former 10% Owner

Cavazza Silvia · CIK 0001525743 · Former 10% Owner

Cavazza Preta Martina · CIK 0001718557 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect

Disclosed balance after: 0

F1 · shares: Effective October 7, 2016, the issuer completed a reverse stock split of its issued and outstanding shares of common stock at a ratio of 1-for-10, whereby every 10 shares of its common stock were exchanged for one share of its common stock (the "Reverse Stock Split"). These shares have been adjusted to reflect the Reverse Stock Split.

F5 · balance_after: Sold by Sinaf and purchased by Essetifin S.p.A., an Italian corporation ("Essetifin"), pursuant to a purchase agreement by and between Essetifin and Sinaf. Paolo Cavazza previously reported indirect ownership of such shares due to his ownership interests in Sinaf, which is a directly wholly-owned subsidiary of Aptafin S.p.A., which is owned indirectly by Paolo Cavazza and members of his family. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin.

F5 · ownership.direct: Sold by Sinaf and purchased by Essetifin S.p.A., an Italian corporation ("Essetifin"), pursuant to a purchase agreement by and between Essetifin and Sinaf. Paolo Cavazza previously reported indirect ownership of such shares due to his ownership interests in Sinaf, which is a directly wholly-owned subsidiary of Aptafin S.p.A., which is owned indirectly by Paolo Cavazza and members of his family. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

F5 · ownership.nature: Sold by Sinaf and purchased by Essetifin S.p.A., an Italian corporation ("Essetifin"), pursuant to a purchase agreement by and between Essetifin and Sinaf. Paolo Cavazza previously reported indirect ownership of such shares due to his ownership interests in Sinaf, which is a directly wholly-owned subsidiary of Aptafin S.p.A., which is owned indirectly by Paolo Cavazza and members of his family. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin.

SEC source: 0001213900-17-012851 · f4112917essetifin_soligenix.xml · nonDerivative · entry 4

Essetifin SPA · CIK 0001092601 · Former 10% Owner

CAVAZZA PAOLO · CIK 0001163608 · Former 10% Owner

Leadiant Biosciences, Inc. · CIK 0001385625 · Former 10% Owner

Cavazza Enrico · CIK 0001525744 · Former 10% Owner

Cavazza Francesca · CIK 0001525742 · Former 10% Owner

Cavazza Silvia · CIK 0001525743 · Former 10% Owner

Cavazza Preta Martina · CIK 0001718557 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,094

F1 · shares: Effective October 7, 2016, the issuer completed a reverse stock split of its issued and outstanding shares of common stock at a ratio of 1-for-10, whereby every 10 shares of its common stock were exchanged for one share of its common stock (the "Reverse Stock Split"). These shares have been adjusted to reflect the Reverse Stock Split.

F4 · balance_after: Sold by Paolo Cavazza and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and Paolo Cavazza. Paolo Cavazza previously reported direct ownership of such shares and continues to have an indirect interest through his ownership interest in Essetifin.

F4 · ownership.direct: Sold by Paolo Cavazza and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and Paolo Cavazza. Paolo Cavazza previously reported direct ownership of such shares and continues to have an indirect interest through his ownership interest in Essetifin.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-17-012851 · f4112917essetifin_soligenix.xml · nonDerivative · entry 3

Essetifin SPA · CIK 0001092601 · Former 10% Owner

CAVAZZA PAOLO · CIK 0001163608 · Former 10% Owner

Leadiant Biosciences, Inc. · CIK 0001385625 · Former 10% Owner

Cavazza Enrico · CIK 0001525744 · Former 10% Owner

Cavazza Francesca · CIK 0001525742 · Former 10% Owner

Cavazza Silvia · CIK 0001525743 · Former 10% Owner

Cavazza Preta Martina · CIK 0001718557 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect

Disclosed balance after: 0

F1 · shares: Effective October 7, 2016, the issuer completed a reverse stock split of its issued and outstanding shares of common stock at a ratio of 1-for-10, whereby every 10 shares of its common stock were exchanged for one share of its common stock (the "Reverse Stock Split"). These shares have been adjusted to reflect the Reverse Stock Split.

F4 · balance_after: Sold by Paolo Cavazza and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and Paolo Cavazza. Paolo Cavazza previously reported direct ownership of such shares and continues to have an indirect interest through his ownership interest in Essetifin.

F4 · ownership.direct: Sold by Paolo Cavazza and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and Paolo Cavazza. Paolo Cavazza previously reported direct ownership of such shares and continues to have an indirect interest through his ownership interest in Essetifin.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

F4 · ownership.nature: Sold by Paolo Cavazza and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and Paolo Cavazza. Paolo Cavazza previously reported direct ownership of such shares and continues to have an indirect interest through his ownership interest in Essetifin.

SEC source: 0001213900-17-012851 · f4112917essetifin_soligenix.xml · nonDerivative · entry 2

Essetifin SPA · CIK 0001092601 · Former 10% Owner

CAVAZZA PAOLO · CIK 0001163608 · Former 10% Owner

Leadiant Biosciences, Inc. · CIK 0001385625 · Former 10% Owner

Cavazza Enrico · CIK 0001525744 · Former 10% Owner

Cavazza Francesca · CIK 0001525742 · Former 10% Owner

Cavazza Silvia · CIK 0001525743 · Former 10% Owner

Cavazza Preta Martina · CIK 0001718557 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,140

F1 · shares: Effective October 7, 2016, the issuer completed a reverse stock split of its issued and outstanding shares of common stock at a ratio of 1-for-10, whereby every 10 shares of its common stock were exchanged for one share of its common stock (the "Reverse Stock Split"). These shares have been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: This Form 4 reflects the transfer of shares of common stock by each of (i) Leadiant Biosciences, Inc., formerly Sigma Tau Pharmaceuticals Inc., a Nevada corporation ("LBI"); (ii) Paolo Cavazza; and (iii) Sinaf S.A., a Luxembourg corporation ("Sinaf"), to Essetifin S.p.A., formerly Sigma Tau Finanziaria S.p.A., an Italian corporation ("Essetifin"). Each transaction is reported as a disposition by the respective seller and an acquisition of the same amount of shares by Essetifin. After giving effect to these transactions, Essetifin beneficially owns an aggregate of 293,510 shares of common stock of the issuer.

F3 · balance_after: Sold by LBI and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and LBI. Each of Essetifin and Paolo Cavazza previously reported indirect ownership of such shares due to their respective ownership interests in LBI. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin. After the purchase of these shares by Essetifin, LBI no longer directly holds common stock of the issuer. LBI directly owns warrants to purchase shares of the issuer's common stock.

F3 · ownership.direct: Sold by LBI and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and LBI. Each of Essetifin and Paolo Cavazza previously reported indirect ownership of such shares due to their respective ownership interests in LBI. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin. After the purchase of these shares by Essetifin, LBI no longer directly holds common stock of the issuer. LBI directly owns warrants to purchase shares of the issuer's common stock.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

SEC source: 0001213900-17-012851 · f4112917essetifin_soligenix.xml · nonDerivative · entry 1

Essetifin SPA · CIK 0001092601 · Former 10% Owner

CAVAZZA PAOLO · CIK 0001163608 · Former 10% Owner

Leadiant Biosciences, Inc. · CIK 0001385625 · Former 10% Owner

Cavazza Enrico · CIK 0001525744 · Former 10% Owner

Cavazza Francesca · CIK 0001525742 · Former 10% Owner

Cavazza Silvia · CIK 0001525743 · Former 10% Owner

Cavazza Preta Martina · CIK 0001718557 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Indirect

Disclosed balance after: 0

F1 · shares: Effective October 7, 2016, the issuer completed a reverse stock split of its issued and outstanding shares of common stock at a ratio of 1-for-10, whereby every 10 shares of its common stock were exchanged for one share of its common stock (the "Reverse Stock Split"). These shares have been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: This Form 4 reflects the transfer of shares of common stock by each of (i) Leadiant Biosciences, Inc., formerly Sigma Tau Pharmaceuticals Inc., a Nevada corporation ("LBI"); (ii) Paolo Cavazza; and (iii) Sinaf S.A., a Luxembourg corporation ("Sinaf"), to Essetifin S.p.A., formerly Sigma Tau Finanziaria S.p.A., an Italian corporation ("Essetifin"). Each transaction is reported as a disposition by the respective seller and an acquisition of the same amount of shares by Essetifin. After giving effect to these transactions, Essetifin beneficially owns an aggregate of 293,510 shares of common stock of the issuer.

F3 · balance_after: Sold by LBI and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and LBI. Each of Essetifin and Paolo Cavazza previously reported indirect ownership of such shares due to their respective ownership interests in LBI. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin. After the purchase of these shares by Essetifin, LBI no longer directly holds common stock of the issuer. LBI directly owns warrants to purchase shares of the issuer's common stock.

F3 · ownership.direct: Sold by LBI and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and LBI. Each of Essetifin and Paolo Cavazza previously reported indirect ownership of such shares due to their respective ownership interests in LBI. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin. After the purchase of these shares by Essetifin, LBI no longer directly holds common stock of the issuer. LBI directly owns warrants to purchase shares of the issuer's common stock.

F6 · ownership.direct: Dispositive power over the shares of common stock owned by Essetifin is shared by Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza. Each of Enrico Cavazza, Silvia Cavazza, Francesca Cavazza, Martina Cavazza Preta and Paolo Cavazza disclaims beneficial ownership of all shares of common stock held by Essetifin except to the extent of any pecuniary interest therein.

F3 · ownership.nature: Sold by LBI and purchased by Essetifin pursuant to a purchase agreement by and between Essetifin and LBI. Each of Essetifin and Paolo Cavazza previously reported indirect ownership of such shares due to their respective ownership interests in LBI. Paolo Cavazza continues to have an indirect interest in such shares through his ownership interest in Essetifin. After the purchase of these shares by Essetifin, LBI no longer directly holds common stock of the issuer. LBI directly owns warrants to purchase shares of the issuer's common stock.