Sullivan Brian F.

SEC source: 0000940454-26-000002 · form4-08182026_080827.xml · derivative · entry 4

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each performance stock unit represents a contingent right to receive one share of Celcuity Inc. (the "Company") common stock. The performance stock units vest upon the Company's common stock achieving certain specified trailing average per share price thresholds.

F3 · derivative.exercise_date: Each performance stock unit represents a contingent right to receive one share of Celcuity Inc. (the "Company") common stock. The performance stock units vest upon the Company's common stock achieving certain specified trailing average per share price thresholds.

F3 · derivative.expiration_date: Each performance stock unit represents a contingent right to receive one share of Celcuity Inc. (the "Company") common stock. The performance stock units vest upon the Company's common stock achieving certain specified trailing average per share price thresholds.

SEC source: 0000940454-26-000002 · form4-08182026_080827.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,450,199

F1 · shares: 25% of the total number of restricted stock units vests on the first day of the month following each of the first, second, third and fourth anniversaries of the grant date.

SEC source: 0001415889-25-023644 · form4-09042025_080939.xml · derivative · entry 4

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 104,340 shares

Expires 2025-10-11

SEC source: 0001415889-25-023644 · form4-09042025_080939.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,370,199

SEC source: 0001415889-25-022446 · form4-08202025_040801.xml · derivative · entry 2

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2035-08-18

F2 · derivative.exercise_date: Option vests in 1/4th increments upon Issuer's common stock achieving certain stock price performance milestones.

SEC source: 0001415889-25-022446 · form4-08202025_040801.xml · derivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2035-08-18

F1 · derivative.exercise_date: 62,500 shares vest on 8/18/2026; the remaining 187,500 shares vest 1/36th per month thereafter.

SEC source: 0001415889-25-010689 · form4-04152025_080423.xml · nonDerivative · entry 2

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,265,859

SEC source: 0001415889-25-010689 · form4-04152025_080423.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 0

SEC source: 0001415889-25-007006 · form4-03052025_100325.xml · nonDerivative · entry 6

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust #2

Disclosed balance after: 802,742

F1 · ownership.direct: The Reporting Person holds all voting and dispositive power with respect to the securities held by the trusts and is the beneficial owner of these securities.

SEC source: 0001415889-25-007006 · form4-03052025_100325.xml · nonDerivative · entry 5

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 8,155

SEC source: 0001415889-25-007006 · form4-03052025_100325.xml · nonDerivative · entry 4

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 45,000

SEC source: 0001415889-25-007006 · form4-03052025_100325.xml · nonDerivative · entry 3

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,257,704

SEC source: 0001415889-25-007006 · form4-03052025_100325.xml · nonDerivative · entry 2

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust #1

Disclosed balance after: 948,042

F1 · ownership.direct: The Reporting Person holds all voting and dispositive power with respect to the securities held by the trusts and is the beneficial owner of these securities.

SEC source: 0001415889-25-007006 · form4-03052025_100325.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,302,704

SEC source: 0001062993-24-015560 · form4.xml · derivative · entry 26

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2034-08-20

F12 · derivative.exercise_date: Option vests in 1/4th increments upon Celcuity's common stock achieving certain stock price performance milestones.

SEC source: 0001062993-24-015560 · form4.xml · derivative · entry 25

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2034-08-20

F11 · derivative.exercise_date: 62,500 shares vest on 8/20/25; the remaining 187,500 shares vest 1/36th per month thereafter.

SEC source: 0001062993-24-015560 · form4.xml · nonDerivative · entry 2

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,342,374

SEC source: 0001062993-24-015560 · form4.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 0

SEC source: 0001062993-24-009051 · form4.xml · nonDerivative · entry 3

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust #1

Disclosed balance after: 908,372

F1 · ownership.direct: The Reporting Person holds all voting and dispositive power with respect to the securities held by the trusts and is the beneficial owner of these securities.

SEC source: 0001062993-24-009051 · form4.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,153,271

SEC source: 0001062993-24-006878 · form4.xml · nonDerivative · entry 4

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust #2

Disclosed balance after: 765,897

F1 · ownership.direct: The Reporting Person holds all voting and dispositive power with respect to the securities held by the trusts and is the beneficial owner of these securities.

SEC source: 0001062993-24-006878 · form4.xml · nonDerivative · entry 2

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 189,103

SEC source: 0001062993-24-001753 · form4.xml · nonDerivative · entry 2

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 955,000

F1 · ownership.direct: 85,000 shares have been gifted to the Reporting Person's spouse for estate planning purposes. The Reporting Person remains the beneficial owner of the securities.

SEC source: 0001062993-24-001753 · form4.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,198,296

F1 · shares: 85,000 shares have been gifted to the Reporting Person's spouse for estate planning purposes. The Reporting Person remains the beneficial owner of the securities.

SEC source: 0001062993-24-000420 · form4.xml · derivative · entry 23

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,000

Underlying: Common Stock · 84,000 shares

Expires 2034-01-02

F14 · derivative.exercise_date: 21,000 shares vest on 8/25/24; the remaining 63,000 shares vest 1/36th per month thereafter.

SEC source: 0001062993-23-023236 · form4.xml · nonDerivative · entry 3

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Trust #1

Disclosed balance after: 863,347

F2 · ownership.direct: 863,347 shares have been gifted to an irrevocable family trust for estate planning purposes. The Reporting Person holds all voting and dispositive power with respect to the securities held by the trust and remains the beneficial owner of such securities.

SEC source: 0001062993-23-023236 · form4.xml · nonDerivative · entry 2

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 870,000

F1 · ownership.direct: 870,000 shares have been gifted to the Reporting Person's spouse for estate planning purposes. The Reporting Person remains the beneficial owner of the securities.

SEC source: 0001062993-23-023236 · form4.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,283,296

F1 · shares: 870,000 shares have been gifted to the Reporting Person's spouse for estate planning purposes. The Reporting Person remains the beneficial owner of the securities.

F2 · shares: 863,347 shares have been gifted to an irrevocable family trust for estate planning purposes. The Reporting Person holds all voting and dispositive power with respect to the securities held by the trust and remains the beneficial owner of such securities.

SEC source: 0001062993-23-017205 · form4.xml · derivative · entry 20

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2033-08-25

F11 · derivative.exercise_date: 45,000 shares vest on 8/25/24; the remaining 135,000 shares vest 1/36th per month thereafter.

SEC source: 0001062993-23-004235 · form4.xml · derivative · entry 19

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,760

Underlying: Common Stock · 69,760 shares

Expires 2033-02-16

F12 · kind: These shares vest in equal amounts over twelve (12) months, beginning February 16, 2023.

F12 · derivative.exercise_date: These shares vest in equal amounts over twelve (12) months, beginning February 16, 2023.

SEC source: 0001062993-22-023796 · form4.xml · derivative · entry 20

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 260,869 shares

Expires not disclosed

F14 · kind: To comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, the security was initially reported as the right to acquire shares of common stock pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. The transactions contemplated by the securities purchase agreement closed on the reported Transaction Date.

F14 · derivative.exercise_date: To comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, the security was initially reported as the right to acquire shares of common stock pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. The transactions contemplated by the securities purchase agreement closed on the reported Transaction Date.

F14 · derivative.expiration_date: To comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, the security was initially reported as the right to acquire shares of common stock pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. The transactions contemplated by the securities purchase agreement closed on the reported Transaction Date.

SEC source: 0001062993-22-023796 · form4.xml · derivative · entry 19

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,340

Underlying: Common Stock · 104,340 shares

Expires 2027-12-09

F13 · kind: Acquired pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. The issued warrants on the transaction date provide the right to purchase 104,340 shares of common stock at a price per share of $8.05 instead of 10,434 shares of Series A Preferred Stock at a price per share of $80.50 as noted in Note 11 above due the occurrence of a specified event provided in the securities purchase agreement.

F13 · derivative.exercise_date: Acquired pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. The issued warrants on the transaction date provide the right to purchase 104,340 shares of common stock at a price per share of $8.05 instead of 10,434 shares of Series A Preferred Stock at a price per share of $80.50 as noted in Note 11 above due the occurrence of a specified event provided in the securities purchase agreement.

SEC source: 0001062993-22-023796 · form4.xml · derivative · entry 18

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Series A Preferred Stock · 10,434 shares

Expires not disclosed

F12 · kind: To comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, the security was initially reported as the right to acquire warrants to purchase 10,434 shares of Series A Preferred Stock at a price per share of $80.50 pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. The Series A Preferred Stock underlying such securities was convertible into 104,340 shares of common stock. The transactions contemplated by the securities purchase agreement closed on the reported Transaction Date.

F12 · derivative.exercise_date: To comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, the security was initially reported as the right to acquire warrants to purchase 10,434 shares of Series A Preferred Stock at a price per share of $80.50 pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. The Series A Preferred Stock underlying such securities was convertible into 104,340 shares of common stock. The transactions contemplated by the securities purchase agreement closed on the reported Transaction Date.

F12 · derivative.expiration_date: To comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, the security was initially reported as the right to acquire warrants to purchase 10,434 shares of Series A Preferred Stock at a price per share of $80.50 pursuant to a securities purchase agreement entered into with the Company on May 15, 2022. The Series A Preferred Stock underlying such securities was convertible into 104,340 shares of common stock. The transactions contemplated by the securities purchase agreement closed on the reported Transaction Date.

SEC source: 0001062993-22-023796 · form4.xml · nonDerivative · entry 1

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,016,643

F1 · kind: Acquired pursuant to a securities purchase agreement entered into with the Company on May 15, 2022.

F1 · shares: Acquired pursuant to a securities purchase agreement entered into with the Company on May 15, 2022.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 29

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2032-05-17

F12 · derivative.exercise_date: These shares vest in equal amounts over fourteen (14) months, beginning June 1, 2022.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 28

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,569

Underlying: Common Stock · 6,569 shares

Expires 2031-10-27

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F11 · derivative.exercise_date: 1,642 shares vest on 10/27/22; the remaining 4,927 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 27

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,569 shares

Expires 2031-10-27

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F11 · derivative.exercise_date: 1,642 shares vest on 10/27/22; the remaining 4,927 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 26

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-08-11

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F10 · derivative.exercise_date: 5,000 shares vest on 8/11/22; the remaining 15,000 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 25

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2031-08-31

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F10 · derivative.exercise_date: 5,000 shares vest on 8/11/22; the remaining 15,000 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 24

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2031-08-11

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 23

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,000 shares

Expires 2031-08-11

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 22

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,509

Underlying: Common Stock · 13,509 shares

Expires 2031-04-12

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F9 · derivative.exercise_date: 3,377 shares vest on 4/12/22; the remaining 10,132 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 21

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,509 shares

Expires 2031-04-12

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F9 · derivative.exercise_date: 3,377 shares vest on 4/12/22; the remaining 10,132 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 20

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,889

Underlying: Common Stock · 11,889 shares

Expires 2031-03-18

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F8 · derivative.exercise_date: 2,972 shares vest on 3/18/22; the remaining 8,917 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 19

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,889 shares

Expires 2031-03-18

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F8 · derivative.exercise_date: 2,972 shares vest on 3/18/22; the remaining 8,917 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 18

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,859

Underlying: Common Stock · 12,859 shares

Expires 2031-02-02

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F7 · derivative.exercise_date: 3,214 shares vest on 2/2/22; the remaining 9,645 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 17

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,859 shares

Expires 2031-02-02

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F7 · derivative.exercise_date: 3,214 shares vest on 2/2/22; the remaining 9,645 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 16

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,081

Underlying: Common Stock · 11,081 shares

Expires 2030-12-28

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F6 · derivative.exercise_date: 2,770 shares vest on 12/29/21; the remaining 8,311 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 15

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,081 shares

Expires 2030-12-28

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F6 · derivative.exercise_date: 2,770 shares vest on 12/29/21; the remaining 8,311 shares vest 1/36th per month thereafter.

SEC source: 0001437749-22-013126 · rdgdoc.xml · derivative · entry 12

Sullivan Brian F. · CIK 0000940454 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,985

Underlying: Common Stock · 4,985 shares

Expires 2029-08-12

F2 · price: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") effective on May 17, 2022 and are being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934. Pursuant to the Option Repricing, the exercise price of the Stock Option has been amended to reduce such exercise price to $5.50 per share, the closing price of the issuer's common stock on The Nasdaq Capital Market as of the date of such repricing. There have been no other changes to the terms of the Stock Option.

F1 · derivative.exercise_date: Fully vested.