Craig Adam R

SEC source: 0001501697-26-000069 · wk-form4_1786651821.xml · nonDerivative · entry 1

Craig Adam R · CIK 0001339498 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 328,651

F1 · kind: Sale of shares to cover personal income tax obligation upon settlement of restricted stock unit award.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $4.33 to $4.55, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · balance_after: Of the shares of common stock reported, 193,254 shares represent restricted stock units.

SEC source: 0001339498-25-000004 · wk-form4_1761943322.xml · derivative · entry 1

Craig Adam R · CIK 0001339498 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,329,154

Underlying: Common Stock · 2,329,154 shares

Expires 2035-08-12

F1 · derivative.exercise_date: Represents stock options granted to the Reporting Person on August 12, 2025, which were subject to a performance-based vesting condition that was satisfied on October 29, 2025. One third of the shares subject to the option shall vest on August 12, 2026, with the remainder vesting in equal installments each successive month thereafter for a period of 24 months, subject to the Reporting Person continuing to provide services through each such date.

SEC source: 0001501697-25-000035 · wk-form4_1761604837.xml · nonDerivative · entry 1

Craig Adam R · CIK 0001339498 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,087

F1 · shares: Consists of shares of the Issuer's common stock purchased in connection with the Issuer's public offering.

SEC source: 0001628280-25-040441 · wk-form4_1755217877.xml · derivative · entry 3

Craig Adam R · CIK 0001339498 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 529,201

Underlying: Common Stock · 529,201 shares

Expires 2035-08-14

F2 · derivative.exercise_date: One third of the shares subject to the option shall vest on August 12, 2026, with the remainder vesting in equal installments each successive month thereafter for a period of 24 months, subject to the Reporting Person continuing to provide services through each such date.

SEC source: 0001628280-25-040441 · wk-form4_1755217877.xml · nonDerivative · entry 1

Craig Adam R · CIK 0001339498 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 289,881

F1 · shares: Represents restricted stock units (RSUs) granted to the Reporting Person. One third of the RSUs shall vest on each of August 12, 2026, August 12, 2027 and August 12, 2028, subject to the Reporting Person continuing to provide services through each such date and contingent upon approval of the grant at the Issuer's 2026 Annual Meeting of Stockholders.

SEC source: 0001628280-25-040441 · wk-form4_1755217877.xml · derivative · entry 2

Craig Adam R · CIK 0001339498 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,609,873

Underlying: Common Stock · 1,609,873 shares

Expires 2035-08-12

F2 · derivative.exercise_date: One third of the shares subject to the option shall vest on August 12, 2026, with the remainder vesting in equal installments each successive month thereafter for a period of 24 months, subject to the Reporting Person continuing to provide services through each such date.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 10

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 900,000 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 9

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,115,000 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 8

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 800,000 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 7

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,320,000 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 6

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 470,054 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 5

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 600,000 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 4

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 475,000 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 3

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 450,000 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · derivative · entry 2

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,200,000 shares

Expires not disclosed

F3 · price: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016480 · doc4.xml · nonDerivative · entry 1

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Includes 2,030 shares of common stock of the Issuer ("Company Common Stock") purchased by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan prior to the date of this Form 4.

F2 · shares: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of Company Common Stock and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $9.10 in cash (the "Offer Price") without interest and subject to applicable withholding taxes.

SEC source: 0000899243-23-008753 · doc4.xml · derivative · entry 1

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 900,000 shares

Expires 2033-03-14

F1 · derivative.exercise_date: The stock option will vest in six equal semi-annual installments over a three-year period, subject to continued employment with the Company through the applicable vesting dates.

SEC source: 0000891293-23-000004 · primary_doc.xml · derivative · entry 6

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,054

Underlying: Common Stock · 2,117 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-23-000004 · primary_doc.xml · derivative · entry 5

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 472,171

Underlying: Common Stock · 83,200 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-23-000004 · primary_doc.xml · nonDerivative · entry 4

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,440

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-23-000004 · primary_doc.xml · nonDerivative · entry 3

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,557

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

SEC source: 0000891293-23-000004 · primary_doc.xml · nonDerivative · entry 2

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,440

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-23-000004 · primary_doc.xml · nonDerivative · entry 1

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,640

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

SEC source: 0000891293-23-000002 · primary_doc.xml · derivative · entry 16

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 555,371

Underlying: Common Stock · 84,683 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 11

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,440

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.07, inclusive. The reporting person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 10

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,123

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

SEC source: 0000891293-23-000002 · primary_doc.xml · derivative · entry 15

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 640,054

Underlying: Common Stock · 4,400 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-23-000002 · primary_doc.xml · derivative · entry 14

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 644,454

Underlying: Common Stock · 700 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-23-000002 · primary_doc.xml · derivative · entry 13

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 645,154

Underlying: Common Stock · 12,000 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 9

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,440

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 8

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,840

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

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 7

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,440

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 6

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,140

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

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 5

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,440

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 4

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,440

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

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 3

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,440

F2 · kind: Shares acquired under the CTI BioPharma Corp. 2007 Employee Stock Purchase Plan.

SEC source: 0000891293-23-000002 · primary_doc.xml · derivative · entry 12

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 657,154

Underlying: Common Stock · 13,800 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 2

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,861

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-23-000002 · primary_doc.xml · nonDerivative · entry 1

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,661

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

SEC source: 0000891293-22-000056 · primary_doc.xml · derivative · entry 14

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,954

Underlying: Common Stock · 188,304 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 12

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,861

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 11

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,561

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 10

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,361

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 9

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,757

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 8

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,857

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 7

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,557

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 6

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,757

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 5

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,165

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

SEC source: 0000891293-22-000056 · primary_doc.xml · derivative · entry 13

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 859,258

Underlying: Common Stock · 53,996 shares

Expires 2029-05-16

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_date: One third of the shares underlying the option vested on 2/19/20 and annually thereafter until all the underlying shares were fully vested on 2/19/2022.

SEC source: 0000891293-22-000056 · primary_doc.xml · nonDerivative · entry 4

Craig Adam R · CIK 0001339498 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,861

F1 · kind: This sale was effected pursuant to a 10b5-1 sales plan adopted by the Reporting Person.