Scholl George H.

SEC source: 0001104659-23-003744 · tm233286-2_4seq1.xml · derivative · entry 1

Scholl George H. · CIK 0001857026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,525

Underlying: Common Stock · 10,000 shares

Expires 2033-01-03

F1 · derivative.exercise_date: Represents stock options granted to the reporting person on January 3, 2023, pursuant to the Issuer's Amended and Restated Stock Incentive Plan. The stock options vest respect to 2,500 shares on each of March 31, 2023, June 30, 2023, September 30, 2023 and December 31, 2023.

SEC source: 0001104659-23-018757 · tm236233-4_5seq1.xml · nonDerivative · entry 1

Scholl George H. · CIK 0001857026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125

F1 · security: Represents shares underlying certain restricted stock units ("RSUs"), each of which is a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Issuer to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). 625 RSUs vested in one installment on December 31, 2022 and were settled on January 3, 2023, subject to the terms and conditions set forth in the RSU Agreement and as a result, 625 shares of common stock were issued to the Reporting Person.

F1 · shares: Represents shares underlying certain restricted stock units ("RSUs"), each of which is a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Issuer to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). 625 RSUs vested in one installment on December 31, 2022 and were settled on January 3, 2023, subject to the terms and conditions set forth in the RSU Agreement and as a result, 625 shares of common stock were issued to the Reporting Person.

F2 · price: The RSUs were awarded as compensation to the Reporting Person for his service as a director of the Company.

SEC source: 0001104659-22-022576 · tm226491-8_5seq1.xml · derivative · entry 2

Scholl George H. · CIK 0001857026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,525

Underlying: Common Stock · 13,525 shares

Expires not disclosed

F3 · security: Each non-qualified stock option ("NSO") represents a contingent right to exercise for one share of common stock upon vesting subject to the terms and conditions set forth in the award of such NSOs by iSpecimen Inc. (the "Company") to the Reporting Person pursuant to a Nonqualified Stock Option Award Agreement (the "NSO Agreement") under the iSpecimen Inc. 2021 Amended and Restated Stock Incentive Plan, as amended. The NSOs has a vesting term of three years with a one- year cliff (i.e. 33.33% of the NSOs vest on June 21, 2022, and the rest of the NSOs vest in equal quarterly installments on September 21, 2022 and each December 21, March 21, June 21 and September 21 until June 21, 2024), subject to the terms and conditions set forth in the NSO Agreement.

F4 · price: The NSOs were awarded as compensation to the Reporting Person for his service as a director of the Company.

F3 · derivative.exercise_date: Each non-qualified stock option ("NSO") represents a contingent right to exercise for one share of common stock upon vesting subject to the terms and conditions set forth in the award of such NSOs by iSpecimen Inc. (the "Company") to the Reporting Person pursuant to a Nonqualified Stock Option Award Agreement (the "NSO Agreement") under the iSpecimen Inc. 2021 Amended and Restated Stock Incentive Plan, as amended. The NSOs has a vesting term of three years with a one- year cliff (i.e. 33.33% of the NSOs vest on June 21, 2022, and the rest of the NSOs vest in equal quarterly installments on September 21, 2022 and each December 21, March 21, June 21 and September 21 until June 21, 2024), subject to the terms and conditions set forth in the NSO Agreement.

F3 · derivative.expiration_date: Each non-qualified stock option ("NSO") represents a contingent right to exercise for one share of common stock upon vesting subject to the terms and conditions set forth in the award of such NSOs by iSpecimen Inc. (the "Company") to the Reporting Person pursuant to a Nonqualified Stock Option Award Agreement (the "NSO Agreement") under the iSpecimen Inc. 2021 Amended and Restated Stock Incentive Plan, as amended. The NSOs has a vesting term of three years with a one- year cliff (i.e. 33.33% of the NSOs vest on June 21, 2022, and the rest of the NSOs vest in equal quarterly installments on September 21, 2022 and each December 21, March 21, June 21 and September 21 until June 21, 2024), subject to the terms and conditions set forth in the NSO Agreement.

SEC source: 0001104659-22-022576 · tm226491-8_5seq1.xml · nonDerivative · entry 1

Scholl George H. · CIK 0001857026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

F1 · security: Each share of common stock was awarded as a restricted stock unit ("RSU"), each of which is a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal quarterly installments on September 21, 2021, December 21, 2021, March 21, 2022 and June 21, 2022, subject to the terms and conditions set forth in the RSU Agreement. 625 RSUs and 625 RSUs were settled for shares of common stock on September 30, 2021 and December 31, 2021, respectively, and the Reporting Person was issued 1,250 shares of common stock.

F1 · shares: Each share of common stock was awarded as a restricted stock unit ("RSU"), each of which is a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal quarterly installments on September 21, 2021, December 21, 2021, March 21, 2022 and June 21, 2022, subject to the terms and conditions set forth in the RSU Agreement. 625 RSUs and 625 RSUs were settled for shares of common stock on September 30, 2021 and December 31, 2021, respectively, and the Reporting Person was issued 1,250 shares of common stock.

F2 · price: The RSUs were awarded as compensation to the Reporting Person for his service as the director of the Company.

F1 · balance_after: Each share of common stock was awarded as a restricted stock unit ("RSU"), each of which is a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal quarterly installments on September 21, 2021, December 21, 2021, March 21, 2022 and June 21, 2022, subject to the terms and conditions set forth in the RSU Agreement. 625 RSUs and 625 RSUs were settled for shares of common stock on September 30, 2021 and December 31, 2021, respectively, and the Reporting Person was issued 1,250 shares of common stock.

SEC source: 0001104659-21-084748 · tm2120463-4_4seq1.xml · derivative · entry 8

OBF Investments, LLC · CIK 0001857012 · 10% owner

Scholl George H. · CIK 0001857026 · Director · 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 · 119,035 shares

Expires 2021-06-30

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.

F7 · price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 119,035 shares of common stock at $5.60 upon the closing of the IPO.

F7 · derivative.exercise_date: The bridge note has a maturity date of June 30, 2021 and automatically converted into 119,035 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084748 · tm2120463-4_4seq1.xml · derivative · entry 7

OBF Investments, LLC · CIK 0001857012 · 10% owner

Scholl George H. · CIK 0001857026 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,035

Underlying: Common Stock · 364 shares

Expires 2021-06-30

F7 · derivative.exercise_price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 119,035 shares of common stock at $5.60 upon the closing of the IPO.

F9 · shares: Represents accrued interest from June 17, 2021 to June 21, 2021 under the bridge note

F7 · price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 119,035 shares of common stock at $5.60 upon the closing of the IPO.

F7 · derivative.exercise_date: The bridge note has a maturity date of June 30, 2021 and automatically converted into 119,035 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084748 · tm2120463-4_4seq1.xml · derivative · entry 6

OBF Investments, LLC · CIK 0001857012 · 10% owner

Scholl George H. · CIK 0001857026 · Director · 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 · 472,490 shares

Expires 2021-06-30

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.

F6 · price: The convertible note has a maturity date of June 30, 2021 and automatically converted into 472,490 shares of common stock at $5.60 upon the closing of the IPO.

F6 · derivative.exercise_date: The convertible note has a maturity date of June 30, 2021 and automatically converted into 472,490 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084748 · tm2120463-4_4seq1.xml · derivative · entry 5

OBF Investments, LLC · CIK 0001857012 · 10% owner

Scholl George H. · CIK 0001857026 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 472,490

Underlying: Common Stock · 307 shares

Expires 2021-06-30

F6 · derivative.exercise_price: The convertible note has a maturity date of June 30, 2021 and automatically converted into 472,490 shares of common stock at $5.60 upon the closing of the IPO.

F8 · shares: Represents accrued interest from June 17, 2021 to June 21, 2021 under the convertible note.

F6 · price: The convertible note has a maturity date of June 30, 2021 and automatically converted into 472,490 shares of common stock at $5.60 upon the closing of the IPO.

F6 · derivative.exercise_date: The convertible note has a maturity date of June 30, 2021 and automatically converted into 472,490 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084748 · tm2120463-4_4seq1.xml · derivative · entry 4

OBF Investments, LLC · CIK 0001857012 · 10% owner

Scholl George H. · CIK 0001857026 · Director · 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 · 250,456 shares

Expires not disclosed

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

F5 · derivative.exercise_price: Shares of Series B Preferred Stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering (the "IPO) and has no expiration date.

F5 · price: Shares of Series B Preferred Stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering (the "IPO) and has no expiration date.

F5 · derivative.exercise_date: Shares of Series B Preferred Stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering (the "IPO) and has no expiration date.

F5 · derivative.expiration_date: Shares of Series B Preferred Stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering (the "IPO) and has no expiration date.

SEC source: 0001104659-21-084748 · tm2120463-4_4seq1.xml · nonDerivative · entry 3

OBF Investments, LLC · CIK 0001857012 · 10% owner

Scholl George H. · CIK 0001857026 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 841,981

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.

F3 · kind: Shares were issued to the reporting person upon conversion of an aggregate of $666,603 in principal and accrued interest through June 21, 2021 under a bridge note owed to the reporting person.

F3 · price: Shares were issued to the reporting person upon conversion of an aggregate of $666,603 in principal and accrued interest through June 21, 2021 under a bridge note owed to the reporting person.

F4 · ownership.direct: Mr. George "Bud" Scholl is the President and Chief Executive Officer of OBF Investments, and therefore, may be deemed to hold voting and dispositive power of the securities held by OBF Investments.

SEC source: 0001104659-21-084748 · tm2120463-4_4seq1.xml · nonDerivative · entry 2

OBF Investments, LLC · CIK 0001857012 · 10% owner

Scholl George H. · CIK 0001857026 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,946

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

F2 · kind: Shares were issued to the reporting person upon conversion of an aggregate of $2,645,945 in principal and accrued interest through June 21, 2021 under a convertible note owed to the reporting person.

F2 · price: Shares were issued to the reporting person upon conversion of an aggregate of $2,645,945 in principal and accrued interest through June 21, 2021 under a convertible note owed to the reporting person.

F4 · ownership.direct: Mr. George "Bud" Scholl is the President and Chief Executive Officer of OBF Investments, and therefore, may be deemed to hold voting and dispositive power of the securities held by OBF Investments.

SEC source: 0001104659-21-084748 · tm2120463-4_4seq1.xml · nonDerivative · entry 1

OBF Investments, LLC · CIK 0001857012 · 10% owner

Scholl George H. · CIK 0001857026 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,456

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 · kind: Shares were issued to the reporting person upon conversion of the Issuer's Series B Preferred Stock owned through the date of conversion.

F1 · price: Shares were issued to the reporting person upon conversion of the Issuer's Series B Preferred Stock owned through the date of conversion.

F4 · ownership.direct: Mr. George "Bud" Scholl is the President and Chief Executive Officer of OBF Investments, and therefore, may be deemed to hold voting and dispositive power of the securities held by OBF Investments.