Mann Brenda

SEC source: 0001104659-21-133652 · tm2131814-2_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,136

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 11/01/2021.

SEC source: 0001104659-21-123266 · tm2129310d2_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,198

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 10/01/2021.

SEC source: 0001104659-21-112937 · tm2126978-1_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,260

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 09/01/2021.

SEC source: 0001104659-21-100197 · tm2124160d2_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,321

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 08/01/2021.

SEC source: 0001104659-21-089443 · tm2121558d2_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,384

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/01/2021.

SEC source: 0001104659-21-077763 · tm2119042d1_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,538

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 06/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.19 to $4.39, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-061946 · tm2115347d1_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,693

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 05/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.12 to $4.37, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-048712 · tm2112624-1_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,884

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 04/01/2021.

SEC source: 0001104659-21-032763 · tm218853-1_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,076

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 03/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.46 to $5.51, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-011852 · tm215262-10_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,268

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 02/01/2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.32 to $6.34, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-21-011852 · tm215262-10_4seq1.xml · derivative · entry 2

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-02-01

F3 · derivative.exercise_date: The reporting person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on February 1, 2022, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001104659-21-000927 · tm211689-1_4seq1.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,256

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 01/01/2021.

SEC source: 0001104659-20-133326 · tm2038041-4_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,371

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 12/01/2020.

SEC source: 0001104659-20-120954 · tm2034888d3_form4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,462

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 11/01/2020.

SEC source: 0001104659-20-112300 · tm2032523-1_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,558

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 10/01/2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.88 to $3.99, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-20-102299 · tm2030216d3_form4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,656

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 09/01/2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.93 to $3.94, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-20-090917 · tm2026743-1_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,753

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 08/01/2020.

SEC source: 0001104659-20-081219 · tm2024119-1_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,845

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/01/2020.

SEC source: 0001104659-20-069823 · tm2021837-2_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,939

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 06/01/2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.11 to $5.1775, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-20-057472 · tm2018856d3_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,033

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 05/01/2020.

SEC source: 0001104659-20-043264 · tm2014998d4_form4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,146

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 04/01/2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.96 to $5.09, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-20-031498 · tm2012338d3_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,268

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 03/01/2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.01, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-20-022841 · tm209305-2_4.xml · derivative · entry 2

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2030-02-14

F2 · derivative.exercise_date: The Reporting Person received an Option to purchase Common Stock from the Issuer pursuant to the Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on February 1, 2021, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001104659-20-022841 · tm209305-2_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,398

F1 · shares: Grant of restricted stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan (the "Plan"). The restrictions will vest as to one-third (1/3) of the shares on February 1, 2021, and the remaining balance will vest monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001104659-20-011324 · tm206871d2_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,898

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 02/01/2020.

SEC source: 0001104659-20-001638 · tm201302-3_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,007

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 01/01/2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.3537 to $9.52, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-19-075133 · tm1926709d3_form4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,126

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 12/01/2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.46 to $7.47, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001104659-19-061121 · tm1922166-1_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,227

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 11/01/2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.85 to $3.92, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001144204-19-048121 · tv530954_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,334

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 09/01/2019 and 10/01/2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.92 to $3.39, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

F3 · balance_after: Effective as of 08/30/2019, the Issuer effected a 1-for-15 reverse split of its common stock. The number of shares reflects the reverse stock split.

SEC source: 0001144204-19-038332 · tv527075_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,783

SEC source: 0001144204-19-034762 · tv525228_4.xml · nonDerivative · entry 3

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,424

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/10/2019.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.227 to $0.2403, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4.

SEC source: 0001144204-19-034762 · tv525228_4.xml · nonDerivative · entry 2

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,774

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/10/2019.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.2257 to $0.24, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.

SEC source: 0001144204-19-034762 · tv525228_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,124

F1 · kind: Sale of shares to cover taxes due on restricted stock that vested on 07/10/2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.24 to $0.245, inclusive. The reporting person hereby undertakes to provide to EyeGate Pharmaceuticals, Inc., any security holder of EyeGate Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.

SEC source: 0001144204-19-005040 · tv512440_form4.xml · derivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-02-01

F1 · derivative.exercise_date: The Reporting Person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on February 1, 2020, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001144204-18-038184 · tv498476_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,473

F1 · shares: Grant of restricted stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The restrictions will vest as to one-third (1/3) of the shares on July 10, 2019, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001144204-18-012243 · tv487520_4.xml · derivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-02-28

F1 · derivative.exercise_date: The Reporting Person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on February 28, 2019, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001144204-18-000495 · tv482537_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,473

F1 · kind: The shares were acquired under the Issuer's Employee Stock Purchase Plan on December 29, 2017 in a transaction exempt under Rule 16b-3(c).

SEC source: 0001144204-17-033638 · v469457_4.xml · derivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-06-21

F1 · derivative.exercise_date: The Reporting Person received an Option to purchase Common Stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The Option will become exercisable as to one-third (1/3) of the shares underlying the Option on June 21, 2018, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.

SEC source: 0001144204-17-006505 · v458601_4.xml · nonDerivative · entry 1

Mann Brenda · CIK 0001668858 · VP of Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,751

F1 · shares: Grant of restricted stock from the Issuer pursuant to the Issuer's 2014 Equity Incentive Plan. The restrictions will vest as to one-third (1/3) of the shares on February 6, 2018, and the remaining balance vests monthly on the first day of each calendar month thereafter for a period of two years.