Lipman Matthew E.

SEC source: 0001437749-26-027119 · rdgdoc.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,492,648

F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 1,094,648 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full on August 7, 2029, the third anniversary of the grant date, subject to the Reporting Person's continued service.

SEC source: 0001493152-26-027090 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,703,803

F1 · shares: Transaction reported is a grant of 726,401 restricted stock awards representing shares of Common Stock, par value $0.001 per share, of the issuer ("Common Stock"), which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001213900-26-038702 · ownership.xml · derivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 356,250

Underlying: Common Stock · 356,250 shares

Expires not disclosed

F1 · security: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date.

F1 · derivative.exercise_date: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date.

F1 · derivative.expiration_date: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date.

SEC source: 0001437749-26-024214 · rdgdoc.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,920,340

F1 · security: This Form 4/A is being filed solely to correct the nature of the shares reported as granted on April 1, 2026. This amendment reflects that the shares granted were shares of common stock, rather than restricted stock units.

F2 · shares: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date.

F2 · price: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date.

F2 · balance_after: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date.

F3 · balance_after: Excludes 121,774 shares controlled by the Reporting Person, through his control of BP Peptides, LLC.

SEC source: 0001493152-25-026003 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 977,402

F1 · shares: Transaction reported is a grant of 685,074 restricted stock awards representing shares of Common Stock, par value $0.001 per share, of the issuer ("Common Stock"), which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001641172-25-026263 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 292,328

F1 · shares: Transaction reported is a grant of 99,679 restricted stock awards representing shares of Common Stock, par value $0.001 per share, of the issuer ("Common Stock"), which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001641172-25-013457 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 192,649

F1 · shares: Transaction reported is a grant of 73,972 restricted stock awards representing shares of Common Stock, par value $0.001 per share, of the issuer ("Common Stock"), which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001437749-26-024215 · rdgdoc.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,570,412

SEC source: 0001493152-24-049537 · ownership.xml · nonDerivative · entry 3

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,489

SEC source: 0001493152-24-049537 · ownership.xml · nonDerivative · entry 2

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,251

SEC source: 0001493152-24-049537 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,289

SEC source: 0001493152-24-048562 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,677

F1 · shares: Transaction reported is a grant of 36,805 restricted stock awards representing shares of Common Stock, par value $0.001 per share, of the issuer ("Common Stock"), which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001493152-24-044717 · ownership.xml · nonDerivative · entry 3

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · ownership.nature: These reported sales of Common Stock occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Brookstone Partners Acquisition XXIV, LLC ("Brookstone XXIV") on May 29, 2024. These shares of Common Stock are held by Brookstone XXIV. As the Manager of Brookstone XXIV, Brookstone Partners I.A.C. may be deemed to beneficially own the shares of Common Stock held by Brookstone XXIV. The reporting person is a Secretary of Brookstone Partners I.A.C. and shares voting and dispositive power over the shares of Common Stock held by Brookstone XXIV and therefore may be deemed to beneficially own these shares. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-044717 · ownership.xml · nonDerivative · entry 2

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 9,080

F1 · ownership.nature: These reported sales of Common Stock occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Brookstone Partners Acquisition XXIV, LLC ("Brookstone XXIV") on May 29, 2024. These shares of Common Stock are held by Brookstone XXIV. As the Manager of Brookstone XXIV, Brookstone Partners I.A.C. may be deemed to beneficially own the shares of Common Stock held by Brookstone XXIV. The reporting person is a Secretary of Brookstone Partners I.A.C. and shares voting and dispositive power over the shares of Common Stock held by Brookstone XXIV and therefore may be deemed to beneficially own these shares. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-044110 · ownership.xml · nonDerivative · entry 4

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 30,980

F1 · ownership.nature: These reported sales of Common Stock occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Brookstone Partners Acquisition XXIV, LLC ("Brookstone XXIV") on May 29, 2024. These shares of Common Stock are held by Brookstone XXIV. As the Manager of Brookstone XXIV, Brookstone Partners I.A.C. may be deemed to beneficially own the shares of Common Stock held by Brookstone XXIV. The reporting person is a Secretary of Brookstone Partners I.A.C. and shares voting and dispositive power over the shares of Common Stock held by Brookstone XXIV and therefore may be deemed to beneficially own these shares. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-044110 · ownership.xml · nonDerivative · entry 3

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 55,400

F1 · ownership.nature: These reported sales of Common Stock occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Brookstone Partners Acquisition XXIV, LLC ("Brookstone XXIV") on May 29, 2024. These shares of Common Stock are held by Brookstone XXIV. As the Manager of Brookstone XXIV, Brookstone Partners I.A.C. may be deemed to beneficially own the shares of Common Stock held by Brookstone XXIV. The reporting person is a Secretary of Brookstone Partners I.A.C. and shares voting and dispositive power over the shares of Common Stock held by Brookstone XXIV and therefore may be deemed to beneficially own these shares. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-044110 · ownership.xml · nonDerivative · entry 2

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 79,100

F1 · ownership.nature: These reported sales of Common Stock occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Brookstone Partners Acquisition XXIV, LLC ("Brookstone XXIV") on May 29, 2024. These shares of Common Stock are held by Brookstone XXIV. As the Manager of Brookstone XXIV, Brookstone Partners I.A.C. may be deemed to beneficially own the shares of Common Stock held by Brookstone XXIV. The reporting person is a Secretary of Brookstone Partners I.A.C. and shares voting and dispositive power over the shares of Common Stock held by Brookstone XXIV and therefore may be deemed to beneficially own these shares. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001641172-25-001348 · ownership.xml · nonDerivative · entry 4

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 90,100

F1 · date: These dispositions occurred on October 31, 2024, November 1, 2024, and November 4, 2024 (each, a "Sale" and collectively, the "Sales"), but the reporting person inadvertently failed to file a Form 4 related to these transactions prior to filing the Form 4 filed on November 7, 2024.

F2 · ownership.nature: These shares of common stock of Soluna Holdings, Inc., par value $0.001 per share ("Common Stock"), were held by Brookstone Partners Acquisition XXIV, LLC ("Brookstone XXIV") and the Sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Brookstone XXIV on May 29, 2024. Brookstone Partners I.A.C ("Brookstone Partners").is the Manager of Brookstone XXIV and as such may be deemed to beneficially own the shares of Common Stock held by Brookstone XXIV. The reporting person is a Managing General Partner of Brookstone Partners and shares voting and dispositive power over the shares of Common Stock held by Brookstone XXIV and therefore may also be deemed to beneficially own these shares. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001641172-25-001348 · ownership.xml · nonDerivative · entry 3

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 110,700

F1 · date: These dispositions occurred on October 31, 2024, November 1, 2024, and November 4, 2024 (each, a "Sale" and collectively, the "Sales"), but the reporting person inadvertently failed to file a Form 4 related to these transactions prior to filing the Form 4 filed on November 7, 2024.

F2 · ownership.nature: These shares of common stock of Soluna Holdings, Inc., par value $0.001 per share ("Common Stock"), were held by Brookstone Partners Acquisition XXIV, LLC ("Brookstone XXIV") and the Sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Brookstone XXIV on May 29, 2024. Brookstone Partners I.A.C ("Brookstone Partners").is the Manager of Brookstone XXIV and as such may be deemed to beneficially own the shares of Common Stock held by Brookstone XXIV. The reporting person is a Managing General Partner of Brookstone Partners and shares voting and dispositive power over the shares of Common Stock held by Brookstone XXIV and therefore may also be deemed to beneficially own these shares. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001641172-25-001348 · ownership.xml · nonDerivative · entry 2

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: Plan reported

Ownership: Indirect · See Footnote

Disclosed balance after: 142,000

F1 · date: These dispositions occurred on October 31, 2024, November 1, 2024, and November 4, 2024 (each, a "Sale" and collectively, the "Sales"), but the reporting person inadvertently failed to file a Form 4 related to these transactions prior to filing the Form 4 filed on November 7, 2024.

F2 · ownership.nature: These shares of common stock of Soluna Holdings, Inc., par value $0.001 per share ("Common Stock"), were held by Brookstone Partners Acquisition XXIV, LLC ("Brookstone XXIV") and the Sales occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by Brookstone XXIV on May 29, 2024. Brookstone Partners I.A.C ("Brookstone Partners").is the Manager of Brookstone XXIV and as such may be deemed to beneficially own the shares of Common Stock held by Brookstone XXIV. The reporting person is a Managing General Partner of Brookstone Partners and shares voting and dispositive power over the shares of Common Stock held by Brookstone XXIV and therefore may also be deemed to beneficially own these shares. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-035061 · ownership.xml · nonDerivative · entry 2

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,872

F2 · shares: Transaction reported is a grant of 36,397 restricted stock awards representing shares of Common Stock, par value $0.001 per share, of the issuer ("Common Stock"), which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001493152-24-035061 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,475

F1 · shares: Transaction reported is a grant of 2,863 restricted stock awards representing shares of Common Stock, par value $0.001 per share, of the issuer ("Common Stock"), which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001493152-24-022843 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,612

F1 · shares: Transaction reported is a grant of 5,114 restricted stock awards representing shares of Common Stock, par value $0.001 per share, of the issuer ("Common Stock"), which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001493152-24-015100 · ownership.xml · derivative · entry 5

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,125 shares

Expires 2027-11-22

F4 · price: On April 15, 2024, the stock options were cancelled by mutual agreement of the reporting person and the issuer.

F3 · derivative.exercise_date: All shares of Common Stock subject to this stock option were vested and exercisable on the date of cancellation.

SEC source: 0001493152-24-015100 · ownership.xml · derivative · entry 4

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,064 shares

Expires 2026-05-13

F4 · price: On April 15, 2024, the stock options were cancelled by mutual agreement of the reporting person and the issuer.

F3 · derivative.exercise_date: All shares of Common Stock subject to this stock option were vested and exercisable on the date of cancellation.

SEC source: 0001493152-24-015100 · ownership.xml · nonDerivative · entry 2

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,498

F2 · shares: Transaction reported is a grant of 35,294 restricted stock awards representing shares of Common Stock, which were approved by the Compensation Committee. The shares of Common Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001493152-24-015100 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,389

F1 · shares: Transaction reported is a grant of 26,489 restricted stock awards representing shares of Series A Cumulative Perpetual Preferred Stock, par value $0.001 per share, of the issuer ("Preferred Stock"), which were approved by the Compensation Committee. The shares of Preferred Stock will vest 100% upon the reporting person's separation from the issuer.

SEC source: 0001493152-22-033622 · ownership.xml · derivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,225

Underlying: Common Stock · 78,125 shares

Expires 2027-11-22

F1 · derivative.exercise_price: The stock options were received as compensation for their services on the Board of Directors in lieu of quarterly cash payments for September 30, 2022 and December 31, 2022. The options become exercisable in two equal installments, 50% immediately and 50% on December 31, 2022. The stock options expire five years from the grant date. The exercise price is based on a 25% premium on the closing price of SLNH common stock as of 11/22/2022.

F1 · derivative.exercise_date: The stock options were received as compensation for their services on the Board of Directors in lieu of quarterly cash payments for September 30, 2022 and December 31, 2022. The options become exercisable in two equal installments, 50% immediately and 50% on December 31, 2022. The stock options expire five years from the grant date. The exercise price is based on a 25% premium on the closing price of SLNH common stock as of 11/22/2022.

F1 · derivative.expiration_date: The stock options were received as compensation for their services on the Board of Directors in lieu of quarterly cash payments for September 30, 2022 and December 31, 2022. The options become exercisable in two equal installments, 50% immediately and 50% on December 31, 2022. The stock options expire five years from the grant date. The exercise price is based on a 25% premium on the closing price of SLNH common stock as of 11/22/2022.

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 12

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 11

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 10

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 9

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 8

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 7

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 6

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 5

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 4

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 3

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 2

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-001114 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

SEC source: 0001753926-22-000108 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,600

F1 · shares: Transaction reported is a grant of 20,500 restricted stock units representing shares (the "2022 Grant") of common stock, par value $0.001 per share, of the issuer (the "Common Stock") received as compensation for the reporting person's service as a member of the executive committee of the issuer's board of directors. The shares of Common Stock subject to the 2022 Grant vest as follows: 37% vests 12 months from the date of the grant, or January 26, 2023, 33% vests 24 months from the date of the grant, or January 26, 2024, and 30% vests 36 months from the date of the grant, or January 26, 2025, in each case subject to the reporting person remaining in the service of the issuer on each such vesting date.

SEC source: 0001753926-22-000074 · ownership.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,100

F1 · shares: Transaction reported is a grant of 20,500 restricted stock units representing shares (the "2022 Grant") of common stock, par value $0.001 per share, of the issuer (the "Common Stock") received as compensation for the reporting person's service as a member of the issuer's board of directors. The shares of Common Stock subject to the 2022 Grant vest as follows: 37% vests 12 months from the date of the grant, or January 14, 2023, 33% vests 24 months from the date of the grant, or January 14, 2024, and 30% vests 36 months from the date of the grant, or January 14, 2025, in each case subject to the reporting person remaining in the service of the issuer on each such vesting date.

SEC source: 0001687758-21-000003 · primary_doc.xml · derivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,100

Underlying: Common Stock · 26,600 shares

Expires 2026-05-13

F1 · shares: The stock options were received as compensation for the reporting person's services as a member of the board of directors of the issuer.

SEC source: 0001687758-21-000002 · primary_doc.xml · nonDerivative · entry 1

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,600

SEC source: 0000921895-18-000366 · form410959006_02012018.xml · derivative · entry 2

Lipman Matthew E. · CIK 0001687758 · Director · 10% owner

BP Peptides, LLC · CIK 0001711689 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By: BP Peptides, LLC

Disclosed balance after: 1

Underlying: Common Stock, $0.0005 par value · 6,321,930 shares

Expires 2025-10-15

F1 · security: This Form 4 is filed jointly by BP Peptides, LLC ("BP Peptides") and Matthew E. Lipman (collectively, the "Reporting Persons"). Mr. Lipman is a director of the Issuer. BP Peptides may be deemed to be a director by deputization by virtue of the fact that Mr. Lipman, the Manager and President of BP Peptides, is a director of the Issuer.

F3 · kind: The Warrant was issued by the Issuer to BP Peptides in consideration of BP Peptides' agreement to defer all accrued but unpaid interest due under its loan to the Issuer until October 15, 2020 (the "Maturity Date"). The Warrant vests quarterly in accordance with Schedule 1 thereto and will be fully vested on the Maturity Date; provided, however, that in the event of a Deferred Interest Repayment (as defined in the Warrant), then all vesting shall immediately terminate and lapse as to any Warrant shares that have not yet vested and none of such Warrant shares shall become vested. In no event may the Warrant be exercised if and to the extent that such exercise would be inconsistent with or constitute a violation of the Issuer's Tax Benefit Preservation Plan.

F3 · price: The Warrant was issued by the Issuer to BP Peptides in consideration of BP Peptides' agreement to defer all accrued but unpaid interest due under its loan to the Issuer until October 15, 2020 (the "Maturity Date"). The Warrant vests quarterly in accordance with Schedule 1 thereto and will be fully vested on the Maturity Date; provided, however, that in the event of a Deferred Interest Repayment (as defined in the Warrant), then all vesting shall immediately terminate and lapse as to any Warrant shares that have not yet vested and none of such Warrant shares shall become vested. In no event may the Warrant be exercised if and to the extent that such exercise would be inconsistent with or constitute a violation of the Issuer's Tax Benefit Preservation Plan.

F3 · derivative.exercise_date: The Warrant was issued by the Issuer to BP Peptides in consideration of BP Peptides' agreement to defer all accrued but unpaid interest due under its loan to the Issuer until October 15, 2020 (the "Maturity Date"). The Warrant vests quarterly in accordance with Schedule 1 thereto and will be fully vested on the Maturity Date; provided, however, that in the event of a Deferred Interest Repayment (as defined in the Warrant), then all vesting shall immediately terminate and lapse as to any Warrant shares that have not yet vested and none of such Warrant shares shall become vested. In no event may the Warrant be exercised if and to the extent that such exercise would be inconsistent with or constitute a violation of the Issuer's Tax Benefit Preservation Plan.

F2 · ownership.nature: Represents securities owned directly by BP Peptides. As the Manager and President of BP Peptides, Mr. Lipman may be deemed to beneficially own the securities owned directly by BP Peptides. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.