PROEHL GERALD T

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 10

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,360,544

Underlying: Common Stock · 1,360,544 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F6 · derivative.expiration_date: The pre-funded warrant has no expiration date.

F3 · derivative.underlying_shares: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 9

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 170,068

Underlying: Common Stock · 170,068 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 8

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 170,068

Underlying: Common Stock · 170,068 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F3 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 7

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,360,544

Underlying: Common Stock · 1,360,544 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · derivative · entry 6

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,360,544

Underlying: Common Stock · 1,360,544 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F3 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-26-039048 · ownership.xml · nonDerivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 292,631

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock (or pre-funded warrant in lieu thereof) was purchased together with (i) a series E warrant to purchase one share of common stock and (ii) a series F warrant to purchase one share of common stock.

F2 · price: The purchase price per share of common stock and accompanying warrants was $1.47 and the purchase price of each pre-funded warrant and accompanying warrants was $1.469.

F5 · ownership.nature: The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001279191-26-000001 · primary_doc.xml · derivative · entry 2

PROEHL GERALD T · CIK 0001279191 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2036-01-09

SEC source: 0001493152-26-000698 · ownership.xml · derivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 12

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,740

Underlying: Common Stock · 78,740 shares

Expires not disclosed

F7 · kind: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F7 · price: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F7 · derivative.exercise_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F7 · derivative.expiration_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · derivative.underlying_shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F3 · balance_after: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 11

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 78,740 shares

Expires not disclosed

F7 · kind: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F7 · price: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F7 · derivative.exercise_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F7 · derivative.expiration_date: In connection with the Private Placement, the Reporting Person entered into an amendment to an outstanding warrant issued on January 3, 2025, which amended the exercise price of the outstanding warrant from $12.70 to $2.04. This amendment is reported as the cancellation of the "old" warrant and the purchase of a replacement warrant. The warrant amendment transaction is exempt from Section 16(b) in accordance with Rule 16b-3(e) promulgated under the Exchange Act.

F3 · derivative.underlying_shares: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 10

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 122,549

Underlying: Common Stock · 122,549 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F5 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 9

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 122,549

Underlying: Common Stock · 122,549 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 8

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Family Trust

Disclosed balance after: 490,496

Underlying: Common Stock · 490,496 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F5 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F5 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of common stock issuable upon exercise of the warrants. The warrant will expire two years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · derivative · entry 7

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Family Trust

Disclosed balance after: 490,496

Underlying: Common Stock · 490,196 shares

Expires not disclosed

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F4 · derivative.exercise_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · derivative.expiration_date: This warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common stock issuable upon exercise of the warrants. The warrant will expire five years from the effective date of stockholder approval. The warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the common stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · nonDerivative · entry 2

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 122,563

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F3 · balance_after: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-25-029468 · ownership.xml · nonDerivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · PRESIDENT, CHAIRMAN, CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Family Trust

Disclosed balance after: 490,255

F1 · kind: The shares of common stock and accompanying warrants reported herein were purchased together by the Reporting Person from the Issuer in a private placement (the "Private Placement"), which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Each share of common stock was purchased together with (i) a series C warrant to purchase one share of common stock and (ii) a series D warrant to purchase one share of common stock. The purchase price per share and accompanying warrants was $2.04.

F2 · price: The purchase price per share of common stock and accompanying warrants was $2.04.

F3 · balance_after: Reflects a one-for-10 reverse stock split effected by the Issuer on August 1, 2025.

F6 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-25-007736 · section16.xml · derivative · entry 2

PROEHL GERALD T · CIK 0001279191 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2035-07-01

SEC source: 0001654954-25-000691 · section16.xml · derivative · entry 7

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 787,402

Underlying: Common Stock · 787,402 shares

Expires not disclosed

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F3 · derivative.exercise_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-25-000691 · section16.xml · nonDerivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 799,508

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F4 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001654954-25-000398 · section16.xml · derivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12 month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0001654954-24-015476 · section16.xml · derivative · entry 2

PROEHL GERALD T · CIK 0001279191 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2034-12-10

SEC source: 0001654954-24-010193 · section16.xml · derivative · entry 3

PROEHL GERALD T · CIK 0001279191 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,660

Underlying: Common Stock · 16,660 shares

Expires not disclosed

F1 · price: On August 8, 2024, as part of a private placement of the Issuer's securities, the Reporting Person purchased shares of the Issuer's common stock ("Shares") and a pre-funded warrant to purchase Shares, along with a warrant to purchase Shares, pursuant to the terms of a Securities Purchase Agreement, dated August 6, 2024, by and among the Issuer, Reporting Person and certain other accredited investors. The purchase price for each Share and accompanying warrant (reported in Table II) is $3.00. The purchase price for each pre-funded warrant and accompanying warrant (reported in Table II) is $2.99.

F4 · derivative.expiration_date: The warrant will expire on the earlier of (i) thirty (30) trading days following the date of the Issuer's initial public announcement of topline data from its Phase 3 LEVEL Study (LEVosimendan to Improve Exercise Limitation in PH-HFpEF Patients) (NCT05983250 ) (the "Topline Data Announcement"); (ii) proportionally upon the exercise of the Reporting Person's pre-funded warrant issued on August 8, 2024, if such exercise is prior to the Topline Data Announcement; and (iii) August 8, 2029.

SEC source: 0001654954-24-010193 · section16.xml · derivative · entry 2

PROEHL GERALD T · CIK 0001279191 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,654

Underlying: Common Stock · 31,654 shares

Expires not disclosed

F1 · price: On August 8, 2024, as part of a private placement of the Issuer's securities, the Reporting Person purchased shares of the Issuer's common stock ("Shares") and a pre-funded warrant to purchase Shares, along with a warrant to purchase Shares, pursuant to the terms of a Securities Purchase Agreement, dated August 6, 2024, by and among the Issuer, Reporting Person and certain other accredited investors. The purchase price for each Share and accompanying warrant (reported in Table II) is $3.00. The purchase price for each pre-funded warrant and accompanying warrant (reported in Table II) is $2.99.

F3 · derivative.expiration_date: The pre-funded warrant has no expiration date.

SEC source: 0001654954-24-010193 · section16.xml · nonDerivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,667

F1 · price: On August 8, 2024, as part of a private placement of the Issuer's securities, the Reporting Person purchased shares of the Issuer's common stock ("Shares") and a pre-funded warrant to purchase Shares, along with a warrant to purchase Shares, pursuant to the terms of a Securities Purchase Agreement, dated August 6, 2024, by and among the Issuer, Reporting Person and certain other accredited investors. The purchase price for each Share and accompanying warrant (reported in Table II) is $3.00. The purchase price for each pre-funded warrant and accompanying warrant (reported in Table II) is $2.99.

F2 · balance_after: The aggregate number of shares of common stock previously reported as 1,495, but were adjusted to reflect the stock splits that occurred on January 4, 2023 and January 2, 2024.

SEC source: 0001654954-24-000299 · section16.xml · derivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2034-01-03

F1 · derivative.exercise_date: The shares underlying the option will vest as to 25% upon the 12-month anniversary of the grant date, and will vest as to 75% in 36 equal monthly installments commencing on the 12-month anniversary of the grant date.

SEC source: 0001654954-22-008238 · section16.xml · derivative · entry 2

PROEHL GERALD T · CIK 0001279191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2032-06-09

SEC source: 0000905718-22-000036 · dermata_fm4jan32022.xml · derivative · entry 4

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,859

Underlying: Common Stock · 57,859 shares

Expires 2032-01-02

F1 · derivative.exercise_date: The option will vest as to 40% upon the 12 month anniversary of the grant date, and will vest as to 60% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0000905718-22-000036 · dermata_fm4jan32022.xml · derivative · entry 3

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,141

Underlying: Common Stock · 42,141 shares

Expires 2027-01-02

F1 · derivative.exercise_date: The option will vest as to 40% upon the 12 month anniversary of the grant date, and will vest as to 60% in 36 equal monthly installments commencing on the 12 month anniversary of the grant date.

SEC source: 0000905718-22-000036 · dermata_fm4jan32022.xml · derivative · entry 2

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,517

Underlying: Common Stock · 4,517 shares

Expires 2027-01-02

SEC source: 0000905718-22-000036 · dermata_fm4jan32022.xml · derivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,610

Underlying: Common Stock · 197,610 shares

Expires 2032-01-02

SEC source: 0000905718-21-001541 · dermata_fm4nov232021.xml · nonDerivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,512

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 22

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Family Trust

Disclosed balance after: 142,857

Underlying: Common Stock · 142,857 shares

Expires 2026-08-17

F9 · price: Reporting Person purchased 142,857 Units in the IPO at $7.00 per Unit Each Unit consists of one share of Common Stock and one warrant to purchase one share of Common Stock.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 21

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 27,987

Underlying: Common Stock · 27,987 shares

Expires 2026-03-14

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 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 20

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 0

Underlying: Common Stock · 27,987 shares

Expires 2026-03-14

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 · derivative.exercise_price: The Series 1a Preferred Warrants converted into warrants to purchase Common Stock in connection with the IPO.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 19

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 0

Underlying: Common Stock · 85,640 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.

F6 · derivative.exercise_price: The Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.

F6 · derivative.exercise_date: The Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.

F6 · derivative.expiration_date: The Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 18

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 0

Underlying: Common Stock · 1,247,904 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: The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.

F5 · derivative.exercise_date: The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.

F5 · derivative.expiration_date: The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 17

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 0

Underlying: Common Stock · 181,585 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.

F4 · derivative.exercise_price: The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.

F4 · derivative.exercise_date: The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.

F4 · derivative.expiration_date: The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 16

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 0

Underlying: Common Stock · 111,951 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.

F3 · derivative.exercise_price: The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.

F3 · derivative.exercise_date: The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.

F3 · derivative.expiration_date: The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 15

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 0

Underlying: Common Stock · 361,147 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.

F2 · derivative.exercise_price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.exercise_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.expiration_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 14

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 0

Underlying: Common Stock · 35,767 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.

F2 · derivative.exercise_price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.exercise_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.expiration_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 13

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Meghan Proehl Wilder 2020 Irrevocable Trust

Disclosed balance after: 0

Underlying: Common Stock · 8,928 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.

F2 · derivative.exercise_price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.exercise_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.expiration_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · derivative · entry 12

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Allison Taylor Proehl 2020 Irrevocable Trust

Disclosed balance after: 0

Underlying: Common Stock · 17,857 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.

F2 · derivative.exercise_price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.exercise_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.expiration_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · nonDerivative · entry 10

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Family Trust

Disclosed balance after: 152,857

F9 · price: Reporting Person purchased 142,857 Units in the IPO at $7.00 per Unit Each Unit consists of one share of Common Stock and one warrant to purchase one share of Common Stock.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · nonDerivative · entry 9

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 2,905,544

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 Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · nonDerivative · entry 8

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 2,819,904

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 · price: The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · nonDerivative · entry 7

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,572,000

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.

F4 · price: The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · nonDerivative · entry 6

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,390,415

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 · price: The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · nonDerivative · entry 5

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Proehl Investment Ventures LLC

Disclosed balance after: 1,278,464

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 · price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · nonDerivative · entry 4

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sean Michael Proehl 2020 Irrevocable Trust Dated December 18, 2020

Disclosed balance after: 35,767

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 · price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000905718-21-001094 · dermata_fm4aug172021.xml · nonDerivative · entry 3

PROEHL GERALD T · CIK 0001279191 · Director · President, CEO and Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Meghan Proehl Wilder 2020 Irrevocable Trust

Disclosed balance after: 8,928

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 · price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F8 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.