Glickman Mark A

SEC source: 0001441461-26-000005 · ownership.xml · derivative · entry 2

Glickman Mark A · CIK 0001441461 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,671 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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: These restricted stock units vested on August 27, 2026.

F2 · derivative.expiration_date: These restricted stock units vested on August 27, 2026.

SEC source: 0001441461-26-000005 · ownership.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,671

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.

SEC source: 0001104659-26-071469 · tm2617186-1_4seq1.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,629

F1 · shares: Represents a grant of restricted stock units issued to the Reporting Person under the Issuer's Amended and Restated 2022 Equity Incentive Plan, which vests on the earlier of June 8, 2027 or the day immediately prior to the Issuer's 2027 Annual Meeting of Stockholders, subject to the Reporting Person's continuing service on the applicable vesting date.

F2 · balance_after: The total number of securities beneficially owned has been adjusted to reflect the Issuer's completion of a 1-for-11 reverse stock split on December 4, 2025.

SEC source: 0001104659-25-064716 · tm2519510-6_4seq1.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,887

F1 · shares: Represents a grant of restricted stock units issued to the Reporting Person under the Issuer's Amended and Restated 2022 Equity Incentive Plan, which vests on the earlier of June 30, 2026 or the day immediately prior to the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continuing service on the applicable vesting date.

SEC source: 0001104659-24-069785 · tm2416741-3_4seq1.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,740

F1 · shares: Represents a grant of restricted stock units issued to the Reporting Person under the Issuer's 2022 Equity Incentive Plan, which vests on the earlier of June 7, 2025 or the day immediately prior to the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continuing service on the applicable vesting date.

F2 · balance_after: The total number of securities beneficially owned has been adjusted to reflect the Issuer's completion of a 1-for-8 reverse stock split on December 20, 2023.

SEC source: 0001104659-23-084974 · tm2321997-3_4seq1.xml · nonDerivative · entry 2

Glickman Mark A · CIK 0001441461 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

F1 · shares: Represents a grant of restricted stock units ("RSUs") issued to the reporting person under the Issuer's 2022 Equity Incentive Plan.

F3 · shares: Vests on the earlier of July 27, 2024 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-23-084974 · tm2321997-3_4seq1.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

F1 · shares: Represents a grant of restricted stock units ("RSUs") issued to the reporting person under the Issuer's 2022 Equity Incentive Plan.

F2 · shares: 50% of the RSUs vested immediately, and the remainder will vest in two equal installments on each subsequent anniversary of the date of grant, subject to continuing service.

SEC source: 0001209191-22-060586 · doc4.xml · derivative · entry 3

Glickman Mark A · CIK 0001441461 · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,466

Underlying: Common Stock · 1,734 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of issuer common stock upon settlement. On December 6, 2022, the reporting person received 1,734 shares of issuer common stock in settlement of restricted stock units (RSUs).

F3 · derivative.exercise_date: The RSUs will vest in three equal installments annually beginning October 15, 2022, becoming fully vested on October 15, 2024, subject in each case to the continued service of the reporting person with the issuer.

F3 · derivative.expiration_date: The RSUs will vest in three equal installments annually beginning October 15, 2022, becoming fully vested on October 15, 2024, subject in each case to the continued service of the reporting person with the issuer.

SEC source: 0001209191-22-060586 · doc4.xml · nonDerivative · entry 2

Glickman Mark A · CIK 0001441461 · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,294

F2 · kind: The reported securities represent shares of issuer common stock sold upon settlement to satisfy tax obligations

SEC source: 0001209191-22-060586 · doc4.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Co-Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,734

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

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of issuer common stock upon settlement. On December 6, 2022, the reporting person received 1,734 shares of issuer common stock in settlement of restricted stock units (RSUs).

SEC source: 0001209191-22-021793 · doc4.xml · derivative · entry 1

Glickman Mark A · CIK 0001441461 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The performance stock units ("PSUs") vest on April 5, 2025 based the total shareholder return ("TSR") of the issuer over the period from April 1, 2022 to March 31, 2025 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs, depending on the TSR milestone achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · derivative.expiration_date: The performance stock units ("PSUs") vest on April 5, 2025 based the total shareholder return ("TSR") of the issuer over the period from April 1, 2022 to March 31, 2025 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs, depending on the TSR milestone achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · derivative.underlying_shares: The performance stock units ("PSUs") vest on April 5, 2025 based the total shareholder return ("TSR") of the issuer over the period from April 1, 2022 to March 31, 2025 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs, depending on the TSR milestone achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer.

SEC source: 0001209191-22-021212 · doc4.xml · derivative · entry 1

Glickman Mark A · CIK 0001441461 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires not disclosed

F1 · derivative.exercise_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning March 23, 2023, becoming fully vested on March 23, 2025.

F1 · derivative.expiration_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning March 23, 2023, becoming fully vested on March 23, 2025.

F1 · derivative.underlying_shares: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning March 23, 2023, becoming fully vested on March 23, 2025.

SEC source: 0001209191-21-060610 · doc4.xml · derivative · entry 3

Glickman Mark A · CIK 0001441461 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires not disclosed

F3 · shares: Each RSU represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest on October 15, 2024, subject to the continued service of the reporting person with the issuer.

F3 · derivative.exercise_date: Each RSU represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest on October 15, 2024, subject to the continued service of the reporting person with the issuer.

F3 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest on October 15, 2024, subject to the continued service of the reporting person with the issuer.

F3 · derivative.underlying_shares: Each RSU represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest on October 15, 2024, subject to the continued service of the reporting person with the issuer.

F3 · balance_after: Each RSU represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest on October 15, 2024, subject to the continued service of the reporting person with the issuer.

SEC source: 0001209191-21-060610 · doc4.xml · derivative · entry 2

Glickman Mark A · CIK 0001441461 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires not disclosed

F2 · shares: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning October 15, 2022, becoming fully vested on October 15, 2024, subject in each case to the continued service of the reporting person with the issuer.

F2 · derivative.exercise_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning October 15, 2022, becoming fully vested on October 15, 2024, subject in each case to the continued service of the reporting person with the issuer.

F2 · derivative.expiration_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning October 15, 2022, becoming fully vested on October 15, 2024, subject in each case to the continued service of the reporting person with the issuer.

F2 · derivative.underlying_shares: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning October 15, 2022, becoming fully vested on October 15, 2024, subject in each case to the continued service of the reporting person with the issuer.

F2 · balance_after: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning October 15, 2022, becoming fully vested on October 15, 2024, subject in each case to the continued service of the reporting person with the issuer.

SEC source: 0001209191-21-060610 · doc4.xml · derivative · entry 1

Glickman Mark A · CIK 0001441461 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires not disclosed

F1 · shares: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. No PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · derivative.exercise_date: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. No PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · derivative.expiration_date: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. No PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · derivative.underlying_shares: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. No PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

F1 · balance_after: One half of the performance stock units (PSUs) vest based on the issuer achieving certain revenue milestones over the period from 2021 through 2023, and one half of the PSUs vest based on the issuer achieving certain earnings before interest, taxes, depreciation and amortization (EBITDA) milestones no later than December 31, 2023. In the event that any of the foregoing are not achieved, the corresponding portion of the PSUs will be forfeited. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs depending on the milestones achieved. No PSUs will vest prior to the one-year anniversary of the grant date. Each PSU represents a contingent right to receive one share of common stock of the issuer.

SEC source: 0001179110-20-000171 · edgar.xml · derivative · entry 2

Glickman Mark A · CIK 0001441461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,625

Underlying: Common Stock · 26,625 shares

Expires 2030-01-02

F1 · derivative.exercise_date: The award will vest over a four (4) year period in equal quarterly installments, the first of which will be on April 2, 2020.

SEC source: 0001179110-20-000171 · edgar.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,925

F1 · shares: The award will vest over a four (4) year period in equal quarterly installments, the first of which will be on April 2, 2020.

SEC source: 0001104659-18-019362 · a4.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,188

F1 · kind: This represents shares sold by the issuer on behalf of the reporting person pursuant to an instruction made in accordance with Rule 10b5-1 for payment of withholding tax liability incurred upon the vesting of 15,184 restricted stock units, which were previously granted on March 17, 2016 and which vested on March 17, 2018.

SEC source: 0001104659-17-032415 · a4.xml · derivative · entry 2

Glickman Mark A · CIK 0001441461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,621

Underlying: Common Shares, without par value · 92,621 shares

Expires 2027-05-11

F3 · derivative.exercise_date: The option vests as to 25% of the shares on May 11, 2018, and the remainder vests in substantially equal installments over the 36 months immediately following such date, subject to continued employment or service to the Company.

SEC source: 0001104659-17-032415 · a4.xml · nonDerivative · entry 1

Glickman Mark A · CIK 0001441461 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,913

F1 · kind: Restricted Stock Units granted pursuant to the Aralez Pharmaceuticals Inc. 2016 Amended and Restated Long-Term Incentive Plan, which vest in substantially equal annual installments over the three years immediately following the date of grant, subject to continued employment or service to the Company.

F2 · balance_after: Includes 58,380 shares of Common Stock and 197,533 Restricted Stock Units.