Isett Thomas Francis 3rd

SEC source: 0001104659-22-099236 · tm2225675d1_4.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2032-09-07

F1 · security: These options vest ratably in equal monthly instalments over a 36-month period beginning on the date of the grant (September 8, 2022), subject to the conditions of the iBio, Inc. 2020 Omnibus Incentive Compensation Plan, as amended, and the related stock option grant agreement.

F1 · derivative.exercise_date: These options vest ratably in equal monthly instalments over a 36-month period beginning on the date of the grant (September 8, 2022), subject to the conditions of the iBio, Inc. 2020 Omnibus Incentive Compensation Plan, as amended, and the related stock option grant agreement.

SEC source: 0001104659-21-119847 · tm2128467-1_4seq1.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2031-09-22

F1 · security: These options vest as follows: (1) 25% of options granted will vest one year following the grant date; and (2) after one year following the grant date, 6.25% of the options granted will vest for each additional three (3) months of employment, subject to the conditions of the iBio, Inc. 2020 Omnibus Incentive Plan, as amended and the stock option grant agreement.

F1 · derivative.exercise_date: These options vest as follows: (1) 25% of options granted will vest one year following the grant date; and (2) after one year following the grant date, 6.25% of the options granted will vest for each additional three (3) months of employment, subject to the conditions of the iBio, Inc. 2020 Omnibus Incentive Plan, as amended and the stock option grant agreement.

SEC source: 0001104659-21-109467 · tm2125787-1_4seq1.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2031-08-22

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three months of employment, provided that the reporting person remains employed by iBio, Inc.

SEC source: 0001104659-21-061237 · tm2115085d1_4.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000,000

Underlying: Common Stock · 3,000,000 shares

Expires 2031-04-29

F1 · security: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three (3) months of employment.

F1 · derivative.exercise_date: These options vest as follows: 25% of the shares of common stock underlying the options granted will vest on the one-year anniversary of the grant date and after the one-year anniversary of the grant date, 6.25% of the shares of common stock underlying the options granted will vest for each additional three (3) months of employment.

SEC source: 0001638599-20-000401 · doc4a_6648.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

Underlying: Common Stock · 975,000 shares

Expires 2030-04-21

F1 · security: This amendment amends the Form 4 filed on March 16, 2020 (the "Original Form 4"), which reported an option to purchase 975,000 shares of common stock of iBio, Inc. (the "Company"). Although the grant of such option was contemplated in the Employment Agreement, dated March 10, 2020, between Mr. Isett and the Company, the Original Form 4 was filed in error because the option had not yet been issued by the Company. Effective April 21, 2020, Mr. Isett and the Company entered into an Amended and Restated Employment Agreement and the Company issued an option to purchase 975,000 shares of common stock to Mr. Isett pursuant to a Stock Option Agreement, as reported in this Form 4/A.

F2 · derivative.exercise_date: Vests ratably over a 36-month period beginning on March 10, 2020 (1/36th per month) and will be deemed fully-vested upon any transaction or series of related transactions that constitutes a Change of Control Transaction (as defined in the grant agreement).

SEC source: 0001638599-20-000336 · doc4_6615.xml · derivative · entry 3

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

Underlying: Common Stock · 100,000 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 · security: The shares of Series C Convertible Preferred Stock were acquired by Mr. Isett in a public offering by iBio, Inc. ("iBio").

F2 · derivative.exercise_price: Each Series C Preferred Share has a stated value of $1,000 and is convertible into shares of iBio's common stock at any time and from time to time at the option of the holder at a price of $0.20 per share, subject to adjustment as provided in the Certificate of Designation of Preferences, Rights and Limitations of the Series C Convertible Preferred Stock, provided that the Series C Preferred Shares may not be converted if the holder, together with the holder's affiliates, would beneficially own over 4.99% (which may be increased up to 9.99% upon election by the holder on 61 days' notice) of iBio's outstanding common stock at the time of conversion.

F8 · kind: 100,000 shares of common stock were issued to Mr. Isett upon conversion of 20 shares of Series C Convertible Preferred Stock at a conversion price of $0.20 per share in accordance with the Certificate of Designation of Preferences, Rights and Limitations of the Series C Convertible Preferred Stock. The shares of Series C Convertible Preferred Stock were acquired by Mr. Isett in a public offering by iBio.

F4 · price: Each of Series C Preferred Share was sold together with Series A Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share and Series B Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share. Each Series C Preferred Share and accompanying Series A Warrants and Series B Warrants was sold at a combined public offering price of $1,000.

F2 · derivative.exercise_date: Each Series C Preferred Share has a stated value of $1,000 and is convertible into shares of iBio's common stock at any time and from time to time at the option of the holder at a price of $0.20 per share, subject to adjustment as provided in the Certificate of Designation of Preferences, Rights and Limitations of the Series C Convertible Preferred Stock, provided that the Series C Preferred Shares may not be converted if the holder, together with the holder's affiliates, would beneficially own over 4.99% (which may be increased up to 9.99% upon election by the holder on 61 days' notice) of iBio's outstanding common stock at the time of conversion.

F3 · derivative.expiration_date: The Series C Preferred Shares have no expiration date.

F5 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4.

SEC source: 0001638599-20-000336 · doc4_6615.xml · nonDerivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

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.

F8 · kind: 100,000 shares of common stock were issued to Mr. Isett upon conversion of 20 shares of Series C Convertible Preferred Stock at a conversion price of $0.20 per share in accordance with the Certificate of Designation of Preferences, Rights and Limitations of the Series C Convertible Preferred Stock. The shares of Series C Convertible Preferred Stock were acquired by Mr. Isett in a public offering by iBio.

F5 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4.

SEC source: 0001638599-20-000336 · doc4_6615.xml · derivative · entry 4

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

Underlying: Common Stock · 78,024 shares

Expires 2026-10-29

F6 · security: The Series B Warrants were acquired by Mr. Isett in a public offering by iBio.

F9 · kind: 78,024 shares of common stock were issued to Mr. Isett upon exercise of Series B Warrants at an exercise price of $0.22 per share accordance with the terms of the Series B Warrants. The Series B Warrants were acquired by Mr. Isett in a public offering by iBio, Inc.

F7 · price: The Series B Warrants were sold together with Series C Preferred Shares and Series A Warrants in the public offering. Each of Series C Preferred Share was sold together with Series A Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share and Series B Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share. Each Series C Preferred Share and accompanying Series A Warrants and Series B Warrants was sold at a combined public offering price of $1,000.

F5 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4.

SEC source: 0001638599-20-000336 · doc4_6615.xml · nonDerivative · entry 2

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Co-Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

F9 · kind: 78,024 shares of common stock were issued to Mr. Isett upon exercise of Series B Warrants at an exercise price of $0.22 per share accordance with the terms of the Series B Warrants. The Series B Warrants were acquired by Mr. Isett in a public offering by iBio, Inc.

F5 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4.

SEC source: 0001638599-20-000306 · doc4_6597.xml · derivative · entry 2

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

Underlying: Common Stock · 975,000 shares

Expires 2025-03-11

F6 · derivative.exercise_date: Vests ratably over a 36-month period beginning on date of grant (1/36th per month) and will be deemed fully-vested upon any transaction or series of related transactions that constitutes a Change of Control Transaction (as defined in the grant agreement).

F2 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4, on an as converted to common stock basis.

SEC source: 0001638599-20-000306 · doc4_6597.xml · derivative · entry 4

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

Underlying: Common Stock · 21,976 shares

Expires 2026-10-29

F3 · security: The Warrants were acquired by Mr. Isett in a public offering by iBio on October 29, 2019.

F4 · kind: Exchanged pursuant to an Exchange Agreement with iBio pursuant to which Mr. Isett exchanged Series A Warrants to purchase 100,000 shares of Common Stock and Series B Warrants to purchase 21,976 shares of Common Stock in exchange for 121,976 shares of Common Stock and a promissory note in the principal amount of $26,834.

F5 · price: The Warrants were sold together with Series C Preferred Shares in a public offering on October 29, 2019. Each of Series C Preferred Share was sold together with Series A Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share and Series B Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share. Each Series C Preferred Share and accompanying Series A Warrants and Series B Warrants was sold at a combined public offering price of $1,000.

F2 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4, on an as converted to common stock basis.

SEC source: 0001638599-20-000306 · doc4_6597.xml · derivative · entry 3

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

Underlying: Common Stock · 100,000 shares

Expires 2021-10-29

F3 · security: The Warrants were acquired by Mr. Isett in a public offering by iBio on October 29, 2019.

F4 · kind: Exchanged pursuant to an Exchange Agreement with iBio pursuant to which Mr. Isett exchanged Series A Warrants to purchase 100,000 shares of Common Stock and Series B Warrants to purchase 21,976 shares of Common Stock in exchange for 121,976 shares of Common Stock and a promissory note in the principal amount of $26,834.

F5 · price: The Warrants were sold together with Series C Preferred Shares in a public offering on October 29, 2019. Each of Series C Preferred Share was sold together with Series A Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share and Series B Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share. Each Series C Preferred Share and accompanying Series A Warrants and Series B Warrants was sold at a combined public offering price of $1,000.

F2 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4, on an as converted to common stock basis.

SEC source: 0001638599-20-000306 · doc4_6597.xml · nonDerivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director · CEO and Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,275,000

F1 · kind: Issued pursuant to an Exchange Agreement with iBio, Inc. ("iBio") pursuant to which Mr. Isett exchanged Series A Warrants to purchase 100,000 shares of iBio's common stock ("Common Stock") and Series B Warrants to purchase 21,976 shares of Common Stock in exchange for 121,976 shares of Common Stock and a promissory note in the principal amount of $26,834. In addition, Series B Warrants to purchase 78,024 shares of Common Stock held by Mr. Isett were amended in connection with the Exchange Agreement.

F1 · price: Issued pursuant to an Exchange Agreement with iBio, Inc. ("iBio") pursuant to which Mr. Isett exchanged Series A Warrants to purchase 100,000 shares of iBio's common stock ("Common Stock") and Series B Warrants to purchase 21,976 shares of Common Stock in exchange for 121,976 shares of Common Stock and a promissory note in the principal amount of $26,834. In addition, Series B Warrants to purchase 78,024 shares of Common Stock held by Mr. Isett were amended in connection with the Exchange Agreement.

F2 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4, on an as converted to common stock basis.

SEC source: 0001638599-19-000935 · doc4_6338.xml · derivative · entry 3

Isett Thomas Francis 3rd · CIK 0001773100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 100,000 shares

Expires 2026-10-29

F8 · security: The Series B Warrants were acquired by Mr. Isett in a public offering by iBio.

F9 · price: The Series B Warrants were sold together with Series C Preferred Shares and Series A Warrants in the public offering. Each of Series C Preferred Share was sold together with Series A Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share and Series B Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share. Each Series C Preferred Share and accompanying Series A Warrants and Series B Warrants was sold at a combined public offering price of $1,000.

F5 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4, on an as converted to common stock basis.

SEC source: 0001638599-19-000935 · doc4_6338.xml · derivative · entry 2

Isett Thomas Francis 3rd · CIK 0001773100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 100,000 shares

Expires 2021-10-29

F6 · security: The Series A Warrants were acquired by Mr. Isett in a public offering by iBio.

F7 · price: The Series A Warrants were sold together with Series C Preferred Shares and Series B Warrants in the public offering. Each of Series C Preferred Share was sold together with Series A Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share and Series B Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share. Each Series C Preferred Share and accompanying Series A Warrants and Series B Warrants was sold at a combined public offering price of $1,000.

F5 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4, on an as converted to common stock basis.

SEC source: 0001638599-19-000935 · doc4_6338.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F1 · security: The shares of Series C Convertible Preferred Stock, $0.001 par value (the "Series C Preferred Shares"), were acquired by Mr. Isett in a public offering by iBio, Inc. ("iBio").

F2 · derivative.exercise_price: Each Series C Preferred Share has a stated value of $1,000 and is convertible into shares of iBio's common stock at any time and from time to time at the option of the holder at a price of $0.20 per share, subject to adjustment as provided in the Certificate of Designation of Preferences, Rights and Limitations of the Series C Convertible Preferred Stock, provided that the Series C Preferred Shares may not be converted if the holder, together with the holder's affiliates, would beneficially own over 4.99% (which may be increased up to 9.99% upon election by the holder on 61 days' notice) of iBio's outstanding common stock at the time of conversion.

F4 · price: Each of Series C Preferred Share was sold together with Series A Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share and Series B Warrants to purchase one share of common stock for each share of common stock issuable upon conversion of the Series C Preferred Share. Each Series C Preferred Share and accompanying Series A Warrants and Series B Warrants was sold at a combined public offering price of $1,000.

F2 · derivative.exercise_date: Each Series C Preferred Share has a stated value of $1,000 and is convertible into shares of iBio's common stock at any time and from time to time at the option of the holder at a price of $0.20 per share, subject to adjustment as provided in the Certificate of Designation of Preferences, Rights and Limitations of the Series C Convertible Preferred Stock, provided that the Series C Preferred Shares may not be converted if the holder, together with the holder's affiliates, would beneficially own over 4.99% (which may be increased up to 9.99% upon election by the holder on 61 days' notice) of iBio's outstanding common stock at the time of conversion.

F3 · derivative.expiration_date: The Series C Preferred Shares have no expiration date.

F5 · balance_after: Reflects number of securities beneficially owned following all transactions reported on this Form 4, on an as converted to common stock basis.

SEC source: 0001638599-19-000576 · doc4_6104.xml · derivative · entry 1

Isett Thomas Francis 3rd · CIK 0001773100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-04-01