Barber Daniel

SEC source: 0001214659-26-011731 · marketforms-73998.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 652,317

F1 · price: The reported transaction involves sale transactions from $4.78 to $4.90 per share. The weighted average price per share was $4.8195. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer, information regarding the number of shares sold at each separate price.

SEC source: 0001214659-26-011539 · marketforms-73974.xml · derivative · entry 2

Barber Daniel · CIK 0001742266 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 91,743 shares

Expires 2027-06-08

SEC source: 0001214659-26-011539 · marketforms-73974.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 677,317

F1 · shares: Represents the exercise for cash of a Common Stock Purchase Warrant issued to the Reporting Person on June 8, 2022 pursuant to a Securities Purchase Agreement dated June 6, 2022. The warrant became exercisable on December 8, 2022, expires on June 8, 2027, and has an exercise price of $0.96 per share.

F1 · price: Represents the exercise for cash of a Common Stock Purchase Warrant issued to the Reporting Person on June 8, 2022 pursuant to a Securities Purchase Agreement dated June 6, 2022. The warrant became exercisable on December 8, 2022, expires on June 8, 2027, and has an exercise price of $0.96 per share.

SEC source: 0001214659-26-010516 · marketforms-73780.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 585,574

F1 · price: The reported transaction involves sale transactions from $4.24 to $4.35 per share. The weighted average price per share was $4.2867. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer, information regarding the number of shares sold at each separate price.

SEC source: 0001214659-26-008663 · marketforms-73615.xml · nonDerivative · entry 2

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 610,574

F2 · price: The reported transaction involves sale transactions from $4.00 to $4.01 per share. The weighted average price per share was $4.00016. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer, information regarding the number of shares sold at each separate price.

SEC source: 0001214659-26-008663 · marketforms-73615.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 630,943

F1 · price: The reported transaction involves sale transactions from $4.00 to $4.04 per share. The weighted average price per share was $4.0344. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer, information regarding the number of shares sold at each separate price.

SEC source: 0001214659-26-007511 · marketforms-73405.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 635,574

F1 · price: The reported transaction involves sale transactions from $4.14 to $4.235 per share. The weighted average price per share was $4.1604. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer, information regarding the number of shares sold at each separate price.

SEC source: 0001214659-26-006532 · marketforms-73192.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 660,574

F1 · price: The reported transaction involves sale transactions from $4.17 to $4.64 per share. The weighted average price per share was $4.2889. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer, information regarding the number of shares sold at each separate price.

SEC source: 0001214659-26-005750 · marketforms-73067.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 668,831

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Performance Stock Units ("PSUs") previously granted to the Reporting Person.

SEC source: 0001214659-26-003146 · marketforms-72462.xml · nonDerivative · entry 2

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,004,753

F2 · shares: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $4.17 to $4.33. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001214659-26-003146 · marketforms-72462.xml · derivative · entry 3

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 523,000

Underlying: Common Stock · 523,000 shares

Expires 2036-03-09

F4 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-26-003146 · marketforms-72462.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,185,430

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-25-014288 · marketforms-70872.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 923,430

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4.

F2 · price: The reported transaction involves sale transactions from $6.00 to $6.11 per share. The weighted average price per share was $6.0343. The Reporting Person undertakes to provide upon request by the SEC staff, the Issuer or a security holder of the Issuer, information regarding the number of shares sold at each separate price.

SEC source: 0001214659-25-014009 · marketforms-70823.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,014,773

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4.

SEC source: 0001214659-25-004221 · marketforms-68502.xml · nonDerivative · entry 3

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,015,173

F2 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

SEC source: 0001214659-25-004221 · marketforms-68502.xml · derivative · entry 4

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 408,000

Underlying: Common Stock · 408,000 shares

Expires 2025-03-07

F3 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-25-004221 · marketforms-68502.xml · nonDerivative · entry 2

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,069,171

F2 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

SEC source: 0001214659-25-004221 · marketforms-68502.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,098,478

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-26-004597 · marketforms-72912.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 293,100

Underlying: Common Stock · 293,100 shares

Expires 2028-03-07

F1 · security: This Form 4 was filed late due to an inadvertent administrative oversight.

F2 · derivative.exercise_price: Each PSU represents a contingent right to receive one share of the Company's common stock. The PSUs measure performance from March 7, 2025 (Grant Date) through March 7, 2028 and, if earned, vest 100% on March 7, 2028. "Performance Price" means (i) the 30-day average Nasdaq closing price ending on the last day of the period from the Grant Date through the day before the second anniversary (First Pricing Period) and (ii) the highest 30-day average Nasdaq closing price during the period from the second through the third anniversary (Second Pricing Period).

F2 · derivative.exercise_date: Each PSU represents a contingent right to receive one share of the Company's common stock. The PSUs measure performance from March 7, 2025 (Grant Date) through March 7, 2028 and, if earned, vest 100% on March 7, 2028. "Performance Price" means (i) the 30-day average Nasdaq closing price ending on the last day of the period from the Grant Date through the day before the second anniversary (First Pricing Period) and (ii) the highest 30-day average Nasdaq closing price during the period from the second through the third anniversary (Second Pricing Period).

SEC source: 0001214659-24-004395 · marketforms-65145.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 845,364

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

SEC source: 0001214659-24-017009 · marketforms-67097.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 826,478

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person. This amended Form 4 is being filed to revise the number of shares withheld by the issuer to satisfy tax withholding obligations originally reported on form 4 filed on March 12, 2024 .

SEC source: 0001214659-24-004305 · marketforms-64682.xml · derivative · entry 2

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 363,900

Underlying: Common Stock · 363,900 shares

Expires 2034-03-07

F2 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004305 · marketforms-64682.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 883,302

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-23-010926 · marketforms-61886.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,500

Underlying: Common Stock · 223,500 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006556 · marketforms-61227.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 223,500

Underlying: Common Stock · 223,500 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-003691 · marketforms-59518.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640,702

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-22-009753 · marketforms-56662.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-08-05

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001628280-22-016876 · wf-form4_165489641133153.xml · derivative · entry 2

Barber Daniel · CIK 0001742266 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,743

Underlying: Common Stock · 91,743 shares

Expires 2027-06-08

F1 · price: Each share of common stock sold to the Reporting Person was sold together with one warrant to purchase one share of common stock at a price per share of $1.09 per share and warrant, of which the price per share of common stock was deemed to be $0.96 and the price per warrant was deemed to be $0.13.

SEC source: 0001628280-22-016876 · wf-form4_165489641133153.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,702

F1 · price: Each share of common stock sold to the Reporting Person was sold together with one warrant to purchase one share of common stock at a price per share of $1.09 per share and warrant, of which the price per share of common stock was deemed to be $0.96 and the price per warrant was deemed to be $0.13.

SEC source: 0001214659-22-003901 · marketforms-55760.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 225,000 shares

Expires 2032-03-10

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-21-003147 · marketforms-51876.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-20-002748 · marketforms-48351.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2030-03-16

F1 · derivative.exercise_date: The units subject to the Award shall vest 25% 1st year, 25% 2nd year and 50% 3rd year on the commencement anniversaries.

SEC source: 0001214659-19-005489 · marketforms-45590.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,959

SEC source: 0001214659-19-003383 · marketforms-44928.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-05-09

F1 · derivative.exercise_date: The units subject to the Award shall vest 25% 1st year, 25% 2nd year and 50% 3rd year on the commencement anniversaries.

SEC source: 0001214659-19-001752 · marketforms-44351.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Strategy/Dev Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2029-02-28

F1 · derivative.exercise_date: The units subject to the Award shall vest 25% 1st year, 25% 2nd year and 50% 3rd year on the commencement anniversaries.

SEC source: 0001140361-18-044868 · form4.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Strategy/Dev Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,959

SEC source: 0001140361-18-033738 · form4.xml · derivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Strategy/Dev Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,507

Underlying: Common Stock · 96,507 shares

Expires 2028-07-24

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 25% of the underlying shares vest on the first anniversary of the grant date, 25% of the underlying shares vest on the second anniversary of the grant date and the remaining 50% of the underlying shares vest on the third anniversary of the grant date, subject in each case to Mr. Barber's continuous service with the Issuer from the grant date through the applicable vesting date.