Lazar David E.

SEC source: 0001829126-26-008488 · ownership.xml · derivative · entry 8

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 875,300

Underlying: Ordinary Shares · 28,057,500 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F1 · price: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F1 · derivative.exercise_date: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F2 · derivative.expiration_date: Each class of Preferred Shares is perpetual and therefore has no expiration date.

SEC source: 0001829126-26-008488 · ownership.xml · derivative · entry 7

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 9,000,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F1 · price: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F1 · derivative.exercise_date: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F2 · derivative.expiration_date: Each class of Preferred Shares is perpetual and therefore has no expiration date.

SEC source: 0001829126-26-008488 · ownership.xml · derivative · entry 6

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 9,000,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F1 · price: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F1 · derivative.exercise_date: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F2 · derivative.expiration_date: Each class of Preferred Shares is perpetual and therefore has no expiration date.

SEC source: 0001829126-26-008488 · ownership.xml · derivative · entry 5

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 9,000,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F1 · price: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F1 · derivative.exercise_date: Following receipt by Quantum Cyber N.V. (the "Company") of stockholder approval on April 22, 2026, each class of Preferred Shares became convertible into Ordinary Shares at the option of David E. Lazar (the "Reporting Person") for no additional consideration. On August 5, 2026, the Reporting Person submitted notices of conversion to convert all of his Series A Preferred Shares, Series B Preferred Shares, and Series C Preferred Shares, and 124,700 of his Series D Preferred Shares, into Ordinary Shares.

F2 · derivative.expiration_date: Each class of Preferred Shares is perpetual and therefore has no expiration date.

SEC source: 0001829126-26-008488 · ownership.xml · nonDerivative · entry 4

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,057,500

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: 0001829126-26-008488 · ownership.xml · nonDerivative · entry 3

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,000,000

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

SEC source: 0001829126-26-008488 · ownership.xml · nonDerivative · entry 2

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,000,000

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

SEC source: 0001829126-26-008488 · ownership.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000,000

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

SEC source: 0001829126-26-010034 · ownership.xml · derivative · entry 3

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,737,500

Underlying: Common Stock · 6,737,500 shares

Expires not disclosed

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

F2 · derivative.expiration_date: Each of the Series AAA Preferred Shares and Series AA Convertible Non-Redeemable Preferred Stock (the "Series AA Preferred Shares") are perpetual and therefore have no expiration date.

F3 · derivative.underlying_shares: Following stockholder approval on July 17, 2026, the Series AA Preferred Shares are convertible into shares of Common Stock at the option of the Reporting Person for no additional consideration. On August 4, 2026, the Reporting Person converted 6,737,500 shares of his Series AA Preferred Shares.

SEC source: 0001829126-26-010034 · ownership.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,737,500

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: 0001829126-26-010034 · ownership.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,750,000

Underlying: Common Stock · 236,425,000 shares

Expires not disclosed

F1 · price: On July 17, 2026, the Reporting Person acquired 1,750,000 shares of Series AAA Convertible Non-Redeemable Preferred Stock at $2.00 per share (the "Series AAA Preferred Shares"), for an aggregate purchase price of $3,500,000, pursuant to the Securities Purchase Agreement dated April 27, 2026. Following receipt of the requisite stockholder approvals, each Series AAA Preferred Share may be converted into 135.1 shares of Common Stock (up to 236,425,000 shares in the aggregate) at a conversion price of $0.0148, for no additional consideration.

F1 · derivative.exercise_date: On July 17, 2026, the Reporting Person acquired 1,750,000 shares of Series AAA Convertible Non-Redeemable Preferred Stock at $2.00 per share (the "Series AAA Preferred Shares"), for an aggregate purchase price of $3,500,000, pursuant to the Securities Purchase Agreement dated April 27, 2026. Following receipt of the requisite stockholder approvals, each Series AAA Preferred Share may be converted into 135.1 shares of Common Stock (up to 236,425,000 shares in the aggregate) at a conversion price of $0.0148, for no additional consideration.

F2 · derivative.expiration_date: Each of the Series AAA Preferred Shares and Series AA Convertible Non-Redeemable Preferred Stock (the "Series AA Preferred Shares") are perpetual and therefore have no expiration date.

SEC source: 0000921895-26-001136 · form412227001_05012026.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,750,000

Underlying: Common Stock · 0 shares

Expires not disclosed

F2 · security: On April 27, 2026, David E. Lazar (the "Reporting Person") and Aterian, Inc. (the "Company") entered into a Securities Purchase Agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,750,000 shares of Series AA Convertible Non-Redeemable Preferred Stock (the "Series AA Preferred Shares"), at a price of $2.00 per share, for a total purchase price of $3,500,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following the receipt of Stockholder Approval (as defined below), 1,750,000 shares of Series AAA Convertible Non-Redeemable Preferred Stock (the "Series AAA Preferred Shares" and, together with the Series AA Preferred Shares, the "Preferred Shares"), at a price of $2.00 per share, for an additional purchase price of $3,500,000.

F3 · security: The Preferred Shares are not convertible into common stock until stockholders approve the issuance of common stock upon conversion in compliance with Nasdaq rules and an increase in authorized common stock, and the Company files a corresponding charter amendment (the "Stockholder Approvals"). The closing on the Series AAA Preferred Shares is also subject to stockholder approval of additional matters, including the election of Reporting Person designees to the Board and a reverse stock split. Following the Stockholder Approval, each Series AA Preferred Share will be convertible into 7.7 shares of common stock, and each Series AAA Preferred Share will be convertible into a minimum of 117.63 and maximum of 135.10 shares of common stock, based on the Company's fully-diluted capitalization as determined under the Purchase Agreement.

F4 · derivative.exercise_price: Following receipt by the Company of the Stockholder Approval, the Preferred Shares will be convertible into shares of common stock at the option of the Reporting Person for no additional consideration.

F2 · price: On April 27, 2026, David E. Lazar (the "Reporting Person") and Aterian, Inc. (the "Company") entered into a Securities Purchase Agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,750,000 shares of Series AA Convertible Non-Redeemable Preferred Stock (the "Series AA Preferred Shares"), at a price of $2.00 per share, for a total purchase price of $3,500,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following the receipt of Stockholder Approval (as defined below), 1,750,000 shares of Series AAA Convertible Non-Redeemable Preferred Stock (the "Series AAA Preferred Shares" and, together with the Series AA Preferred Shares, the "Preferred Shares"), at a price of $2.00 per share, for an additional purchase price of $3,500,000.

F3 · derivative.exercise_date: The Preferred Shares are not convertible into common stock until stockholders approve the issuance of common stock upon conversion in compliance with Nasdaq rules and an increase in authorized common stock, and the Company files a corresponding charter amendment (the "Stockholder Approvals"). The closing on the Series AAA Preferred Shares is also subject to stockholder approval of additional matters, including the election of Reporting Person designees to the Board and a reverse stock split. Following the Stockholder Approval, each Series AA Preferred Share will be convertible into 7.7 shares of common stock, and each Series AAA Preferred Share will be convertible into a minimum of 117.63 and maximum of 135.10 shares of common stock, based on the Company's fully-diluted capitalization as determined under the Purchase Agreement.

F5 · derivative.expiration_date: Each class of Preferred Stock is perpetual and therefore has no expiration date.

F3 · derivative.underlying_shares: The Preferred Shares are not convertible into common stock until stockholders approve the issuance of common stock upon conversion in compliance with Nasdaq rules and an increase in authorized common stock, and the Company files a corresponding charter amendment (the "Stockholder Approvals"). The closing on the Series AAA Preferred Shares is also subject to stockholder approval of additional matters, including the election of Reporting Person designees to the Board and a reverse stock split. Following the Stockholder Approval, each Series AA Preferred Share will be convertible into 7.7 shares of common stock, and each Series AAA Preferred Share will be convertible into a minimum of 117.63 and maximum of 135.10 shares of common stock, based on the Company's fully-diluted capitalization as determined under the Purchase Agreement.

SEC source: 0000921895-26-001100 · form412227qucy_04232026.xml · derivative · entry 3

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Ordinary Shares · 225,000,000 shares

Expires not disclosed

F2 · security: As previously reported, on February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Following Stockholder Approval (as defined below) which was obtained on April 22, 2026, the Reporting Person subsequently acquired 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · security: On April 22, 2026, the Company's shareholdes approved (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval"). Following the receipt of Stockholder Approval, each of the First Closing Shares are now convertible into 9 ordinary shares and each of the Second Closing Shares are now convertible into 225 ordinary shares.

F4 · derivative.exercise_price: The Preferred Stock are convertible into ordinary shares at the option of the Reporting Person for no additional consideration.

F2 · price: As previously reported, on February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Following Stockholder Approval (as defined below) which was obtained on April 22, 2026, the Reporting Person subsequently acquired 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · derivative.exercise_date: On April 22, 2026, the Company's shareholdes approved (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval"). Following the receipt of Stockholder Approval, each of the First Closing Shares are now convertible into 9 ordinary shares and each of the Second Closing Shares are now convertible into 225 ordinary shares.

F5 · derivative.expiration_date: Each class of Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0000921895-26-001100 · form412227qucy_04232026.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Ordinary Shares · 225,000,000 shares

Expires not disclosed

F2 · security: As previously reported, on February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Following Stockholder Approval (as defined below) which was obtained on April 22, 2026, the Reporting Person subsequently acquired 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · security: On April 22, 2026, the Company's shareholdes approved (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval"). Following the receipt of Stockholder Approval, each of the First Closing Shares are now convertible into 9 ordinary shares and each of the Second Closing Shares are now convertible into 225 ordinary shares.

F4 · derivative.exercise_price: The Preferred Stock are convertible into ordinary shares at the option of the Reporting Person for no additional consideration.

F2 · price: As previously reported, on February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Following Stockholder Approval (as defined below) which was obtained on April 22, 2026, the Reporting Person subsequently acquired 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · derivative.exercise_date: On April 22, 2026, the Company's shareholdes approved (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval"). Following the receipt of Stockholder Approval, each of the First Closing Shares are now convertible into 9 ordinary shares and each of the Second Closing Shares are now convertible into 225 ordinary shares.

F5 · derivative.expiration_date: Each class of Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0001829126-26-003119 · ownership.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,740,000

F3 · shares: Amount represents 5,740,000 shares received as a result of the conversion of 410,000 Series AA Convertible, Non-Redeemable Preferred Stock at a conversion price of $0.14286.

SEC source: 0000921895-26-000788 · form412227indp_03232026.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,000,000 shares

Expires not disclosed

F1 · security: On March 19, 2026, David E. Lazar (the "Reporting Person") entered into a Securities Purchase Agreement pursuant to which the Reporting Person sold all of his title and interest in (i) all 700,000 shares of Series AAA Preferred Stock (convertible into an aggregate of 105,000,000 shares of the Issuer's common stock) held by the Reporting Person and (ii) 196,800 shares of the Reporting Person's Series AA Preferred Stock (convertible into an aggregate of 3,936,000 shares of the Issuer's common stock), as well as all of the Reporting Person's rights, title and interest in the Series AA Preferred Stock and Series AAA Preferred Stock under a securities purchase agreement dated December 22, 2025 (the "March 2026 Transaction"). The closing of the March 2026 Transaction occurred on March 23, 2026. Following the March 2026 Transaction, the Reporting Person retained 103,200 shares of Series AA Preferred Stock, convertible into an aggregate of 2,064,000 shares of the Issuer's common stock.

F4 · derivative.exercise_price: The Series AAA Preferred Stock is convertible at the option of the holder for no additional consideration.

F1 · price: On March 19, 2026, David E. Lazar (the "Reporting Person") entered into a Securities Purchase Agreement pursuant to which the Reporting Person sold all of his title and interest in (i) all 700,000 shares of Series AAA Preferred Stock (convertible into an aggregate of 105,000,000 shares of the Issuer's common stock) held by the Reporting Person and (ii) 196,800 shares of the Reporting Person's Series AA Preferred Stock (convertible into an aggregate of 3,936,000 shares of the Issuer's common stock), as well as all of the Reporting Person's rights, title and interest in the Series AA Preferred Stock and Series AAA Preferred Stock under a securities purchase agreement dated December 22, 2025 (the "March 2026 Transaction"). The closing of the March 2026 Transaction occurred on March 23, 2026. Following the March 2026 Transaction, the Reporting Person retained 103,200 shares of Series AA Preferred Stock, convertible into an aggregate of 2,064,000 shares of the Issuer's common stock.

F5 · derivative.expiration_date: The Series AAA Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0000921895-26-000788 · form412227indp_03232026.xml · derivative · entry 1

Lazar David E. · CIK 0001932843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,200

Underlying: Common Stock · 3,936,000 shares

Expires not disclosed

F1 · security: On March 19, 2026, David E. Lazar (the "Reporting Person") entered into a Securities Purchase Agreement pursuant to which the Reporting Person sold all of his title and interest in (i) all 700,000 shares of Series AAA Preferred Stock (convertible into an aggregate of 105,000,000 shares of the Issuer's common stock) held by the Reporting Person and (ii) 196,800 shares of the Reporting Person's Series AA Preferred Stock (convertible into an aggregate of 3,936,000 shares of the Issuer's common stock), as well as all of the Reporting Person's rights, title and interest in the Series AA Preferred Stock and Series AAA Preferred Stock under a securities purchase agreement dated December 22, 2025 (the "March 2026 Transaction"). The closing of the March 2026 Transaction occurred on March 23, 2026. Following the March 2026 Transaction, the Reporting Person retained 103,200 shares of Series AA Preferred Stock, convertible into an aggregate of 2,064,000 shares of the Issuer's common stock.

F2 · derivative.exercise_price: The Series AA Preferred Stock is convertible at the option of the holder for no additional consideration.

F1 · price: On March 19, 2026, David E. Lazar (the "Reporting Person") entered into a Securities Purchase Agreement pursuant to which the Reporting Person sold all of his title and interest in (i) all 700,000 shares of Series AAA Preferred Stock (convertible into an aggregate of 105,000,000 shares of the Issuer's common stock) held by the Reporting Person and (ii) 196,800 shares of the Reporting Person's Series AA Preferred Stock (convertible into an aggregate of 3,936,000 shares of the Issuer's common stock), as well as all of the Reporting Person's rights, title and interest in the Series AA Preferred Stock and Series AAA Preferred Stock under a securities purchase agreement dated December 22, 2025 (the "March 2026 Transaction"). The closing of the March 2026 Transaction occurred on March 23, 2026. Following the March 2026 Transaction, the Reporting Person retained 103,200 shares of Series AA Preferred Stock, convertible into an aggregate of 2,064,000 shares of the Issuer's common stock.

F3 · derivative.expiration_date: The Series AA Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0000921895-26-000581 · form412227001_03022026.xml · derivative · entry 4

Lazar David E. · CIK 0001932843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Ordinary Shares · 0 shares

Expires not disclosed

F2 · security: On February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following effectiveness of the Stockholder Approval (as defined below), 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · security: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

F4 · derivative.exercise_price: Following receipt by the Company of the Stockholder Approval, the Preferred Stock will be convertible into ordinary shares at the option of the Reporting Person for no additional consideration.

F2 · price: On February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following effectiveness of the Stockholder Approval (as defined below), 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · derivative.exercise_date: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

F5 · derivative.expiration_date: Each class of Preferred Stock is perpetual and therefore has no expiration date.

F3 · derivative.underlying_shares: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

SEC source: 0000921895-26-000581 · form412227001_03022026.xml · derivative · entry 3

Lazar David E. · CIK 0001932843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Ordinary Shares · 0 shares

Expires not disclosed

F2 · security: On February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following effectiveness of the Stockholder Approval (as defined below), 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · security: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

F4 · derivative.exercise_price: Following receipt by the Company of the Stockholder Approval, the Preferred Stock will be convertible into ordinary shares at the option of the Reporting Person for no additional consideration.

F2 · price: On February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following effectiveness of the Stockholder Approval (as defined below), 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · derivative.exercise_date: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

F5 · derivative.expiration_date: Each class of Preferred Stock is perpetual and therefore has no expiration date.

F3 · derivative.underlying_shares: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

SEC source: 0000921895-26-000581 · form412227001_03022026.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

Underlying: Ordinary Shares · 0 shares

Expires not disclosed

F2 · security: On February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following effectiveness of the Stockholder Approval (as defined below), 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · security: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

F4 · derivative.exercise_price: Following receipt by the Company of the Stockholder Approval, the Preferred Stock will be convertible into ordinary shares at the option of the Reporting Person for no additional consideration.

F2 · price: On February 13, 2026 David E. Lazar (the "Reporting Person") and Mainz Biomed N.V. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired 1,000,000 Series A Preferred Shares, 1,000,000 Series B Preferred Shares, and 1,000,000 Series C Preferred Shares (collectively, the "First Closing Shares"), at a price of $1.00 per share, for a total purchase price of $3,000,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing promptly following effectiveness of the Stockholder Approval (as defined below), 1,000,000 Series D Preferred Shares and 1,000,000 Series E Preferred Shares (collectively, the "Second Closing Shares" and, together with the First Closing Shares, the "Preferred Shares"), at a price of $1.50 per share, for an additional purchase price of $3,000,000.

F3 · derivative.exercise_date: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

F5 · derivative.expiration_date: Each class of Preferred Stock is perpetual and therefore has no expiration date.

F3 · derivative.underlying_shares: The First Closing Shares are not convertible into ordinary shares until Stockholder Approval is obtained. Following Stockholder Approval, each of the First Closing Shares will be convertible into 9 ordinary shares and each of the Second Closing Shares will be convertible into 225 ordinary shares, subject to certain ownership limitations. No Preferred Shares will be convertible until the Company's stockholders approve (a) an increase in the Company's authorized ordinary shares to at least 900,000,000, (b) the conversion of all Preferred Shares into ordinary shares in compliance with the rules and regulations of the Nasdaq Capital Market, (c) a reverse stock split, and (d) the election of the Reporting Person and his designees to the Company's Board of Directors (collectively, the "Stockholder Approval").

SEC source: 0001829126-26-000049 · ownership.xml · derivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 21,000,000 shares

Expires not disclosed

F1 · derivative.exercise_date: On December 31, 2025, Sow Good Inc. (the "Company") entered into a Securities Purchase Agreement (the "Agreement") with David Lazar, pursuant to which the Company issued 1,500,000 shares of Series AA Preferred Stock to Mr. Lazar at $2 per preferred share. The Series AA Preferred Stock is not convertible into common stock until after stockholder approval, at which point the shares will convert to 21,000,000 shares of common stock with a conversion price of $0.14286 per share. The Agreement and the issuance of the Series AA Preferred Stock were approved by the Company's board of directors and did not involve the exchange of consideration between the Company and Mr. Lazar beyond the terms set forth in the Agreement.

F2 · derivative.expiration_date: Not applicable.

SEC source: 0001829126-26-003119 · ownership.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,090,000

Underlying: Common Stock · 5,740,000 shares

Expires not disclosed

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

F1 · derivative.exercise_date: On December 31, 2025, Sow Good Inc. (the "Company") entered into a Securities Purchase Agreement (the "Agreement") with David Lazar, pursuant to which the Company issued 1,500,000 shares of Series AA Preferred Stock to Mr. Lazar at $2 per preferred share. The Series AA Preferred Stock is not convertible into common stock until after stockholder approval, at which point the shares will convert to 21,000,000 shares of common stock with a conversion price of $0.14286 per share. The Agreement and the issuance of the Series AA Preferred Stock were approved by the Company's board of directors and did not involve the exchange of consideration between the Company and Mr. Lazar beyond the terms set forth in the Agreement.

F2 · derivative.expiration_date: Not applicable.

SEC source: 0000921895-25-003381 · form412227021_12222025.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 368,614 shares

Expires not disclosed

F3 · price: On November 9, 2025, the Reporting Person, as "Lender", entered into a Convertible Loan Agreement (the "Agreement") with Issuer pursuant to which Lender agreed to loan the Issuer up to an amount of $375,000. Pursuant to the Agreement, the Lender had the right in its discretion at any time prior to the full repayment of the Loan Amount (as defined in the Agreement) to the Lender, to convert all or any of the then outstanding and unpaid portion of the Loan Amount into Issuer's common stock at the "Conversion Price" (as defined in the Agreement). On December 18, 2025, the Issuer repaid the full Loan Amount to the Reporting Person in cash.

F2 · derivative.expiration_date: Not applicable.

F3 · derivative.underlying_shares: On November 9, 2025, the Reporting Person, as "Lender", entered into a Convertible Loan Agreement (the "Agreement") with Issuer pursuant to which Lender agreed to loan the Issuer up to an amount of $375,000. Pursuant to the Agreement, the Lender had the right in its discretion at any time prior to the full repayment of the Loan Amount (as defined in the Agreement) to the Lender, to convert all or any of the then outstanding and unpaid portion of the Loan Amount into Issuer's common stock at the "Conversion Price" (as defined in the Agreement). On December 18, 2025, the Issuer repaid the full Loan Amount to the Reporting Person in cash.

SEC source: 0000921895-25-003208 · form412227001_11262025.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 49,500,000 shares

Expires not disclosed

F2 · security: On November 24, 2025, David E. Lazar (the "Reporting Person") and KALA BIO, Inc. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired an aggregate of 900,000 shares of the Company's Series AA Convertible Non-Redeemable Preferred Stock (the "Series AA Preferred Stock") at a price of $2.00 per share, for a total purchase price of $1,800,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing, an aggregate of 2,100,000 shares of the Company's Series AAA Convertible Non-Redeemable Preferred Stock (the "Series AAA Preferred Stock", and together with the Series AA Preferred Stock, the "Preferred Stock") at a price of $2.00 per share, for an additional purchase price of $4,200,000.

F3 · security: Each share of Series AA Preferred Stock will be convertible into 55 shares of the Company's common stock at any time, subject to certain ownership limitations. Each share of Series AAA Preferred Stock will be convertible into 420 shares of the Company's common stock at any time, subject to certain ownership limitations. No shares of Preferred Stock will be convertible until the Company's stockholders approve a) an increase in the Company's authorized capital to enable the Company to issue all of the shares of common stock that are issuable upon the conversion of the Preferred Stock and b) the conversion of the Preferred Stock into shares of common stock in accordance with the listing rules of The Nasdaq Stock Market, LLC (the "Stockholder Approval").

F4 · derivative.exercise_price: Following receipt by the Company of the Stockholder Approval, the shares of Series AA Preferred Stock will be convertible at the option of the Reporting Person for no additional consideration.

F2 · price: On November 24, 2025, David E. Lazar (the "Reporting Person") and KALA BIO, Inc. (the "Company") entered into a securies purchase agreement (the "Purchase Agreement") pursuant to which the Reporting Person acquired an aggregate of 900,000 shares of the Company's Series AA Convertible Non-Redeemable Preferred Stock (the "Series AA Preferred Stock") at a price of $2.00 per share, for a total purchase price of $1,800,000. Pursuant to the Purchase Agreement, the Reporting Person will also acquire, at a subsequent closing, an aggregate of 2,100,000 shares of the Company's Series AAA Convertible Non-Redeemable Preferred Stock (the "Series AAA Preferred Stock", and together with the Series AA Preferred Stock, the "Preferred Stock") at a price of $2.00 per share, for an additional purchase price of $4,200,000.

F3 · derivative.exercise_date: Each share of Series AA Preferred Stock will be convertible into 55 shares of the Company's common stock at any time, subject to certain ownership limitations. Each share of Series AAA Preferred Stock will be convertible into 420 shares of the Company's common stock at any time, subject to certain ownership limitations. No shares of Preferred Stock will be convertible until the Company's stockholders approve a) an increase in the Company's authorized capital to enable the Company to issue all of the shares of common stock that are issuable upon the conversion of the Preferred Stock and b) the conversion of the Preferred Stock into shares of common stock in accordance with the listing rules of The Nasdaq Stock Market, LLC (the "Stockholder Approval").

F5 · derivative.expiration_date: The Series AA Preferred Stock is perpetual and therefore has no expiration date.

F3 · derivative.underlying_shares: Each share of Series AA Preferred Stock will be convertible into 55 shares of the Company's common stock at any time, subject to certain ownership limitations. Each share of Series AAA Preferred Stock will be convertible into 420 shares of the Company's common stock at any time, subject to certain ownership limitations. No shares of Preferred Stock will be convertible until the Company's stockholders approve a) an increase in the Company's authorized capital to enable the Company to issue all of the shares of common stock that are issuable upon the conversion of the Preferred Stock and b) the conversion of the Preferred Stock into shares of common stock in accordance with the listing rules of The Nasdaq Stock Market, LLC (the "Stockholder Approval").

SEC source: 0000921895-26-000165 · form412227020_01292026.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,388,000 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The shares of Series D Preferred Stock are convertible at the option of the Reporting Person for no additional consideration. Each share of Series D Preferred Stock is convertible into 160 shares of the Issuer's Common Stock at any time, subject to certain ownership limitations.

F4 · price: On October 9, 2025, David E. Lazar (the "Reporting Person") entered into a Securities Purchase Agreement pursuant to which the the Reporting Person sold all of his title and interest in (i) an aggregate of 441,325 shares of Series D Preferred Stock for $9,850,000 and (ii) the rights and obligations to purchase 268,750 shares of Series E Preferred Stock for an additional $2,150,000 payable to the Issuer (the "October Transaction"). The closing of the October Transaction occurred on October 16, 2025 following the Issuer's Annual Meeting. Following the October Transaction, the Reporting Person retained 39,925 shares of Series D Preferred Stock, which automatically converted into shares of hte Issuer's Common Stock three business days after the Annual Meeting.

F3 · derivative.exercise_date: The Series D Preferred Stock is exercisable immediately upon issuance, is perpetual and has no expiration date.

F3 · derivative.expiration_date: The Series D Preferred Stock is exercisable immediately upon issuance, is perpetual and has no expiration date.

SEC source: 0000921895-26-000165 · form412227020_01292026.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,388,000

F1 · price: The shares of Common Stock reported herein were issued upon the automatic conversion of the Series D Preferred Stock held by the Reporting Person three business days after the annual meeting of stockholders (the "Annual Meeting") of NovaBay Pharmaceuticals, Inc. (the "Issuer"), which occurred on October 16, 2025.

SEC source: 0000921895-25-002764 · form412227020_10172025.xml · derivative · entry 1

Lazar David E. · CIK 0001932843 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,925

Underlying: Common Stock · 70,612,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Series D Preferred Stock are convertible at the option of the Reporting Person for no additional consideration. Each share of Series D Preferred Stock is convertible into 160 shares of the Common Stock of NovaBay Pharmaceuticals, Inc. (the "Issuer") at any time, subject to certain ownership limitations.

F3 · price: On October 9, 2025, David E. Lazar (the "Reporting Person") entered into a Securities Purchase Agreement with R01 Fund LP ("R01 LP") and Framework Ventures IV L.P. ("Framework" and together with R01 LP, the "Purchasers") pursuant to which the Purchasers agreed to acquire from the Reporting Person all of the Reporting Person's right, title and interest in (i) an aggregate of 441,325 shares of Series D Preferred Stock for $9,850,000 and (ii) the rights and obligations to purchase 268,750 shares of Series E Preferred Stock for an additional $2,150,000 payable to the Issuer. The closing of the transaction occurred on October 16, 2025 following the Issuer's annual meeting of stockholders.

F2 · derivative.exercise_date: The Series D Preferred Stock is exercisable immediately upon issuance, is perpetual and has no expiration date.

F2 · derivative.expiration_date: The Series D Preferred Stock is exercisable immediately upon issuance, is perpetual and has no expiration date.

SEC source: 0000921895-25-002082 · form412227019_08042025.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 155,838

F1 · balance_after: The number Shares owned by the Reporting Person is reflective of a 1-for-15 reverse stock split effected by the Issuer on July 7, 2025 (the "Reverse Stock Split").

F2 · balance_after: Due to an inadvertent ministerial error, the Form 4 filed by the Reporting Person on February 28, 2025 reported beneficial ownership of 354,738 shares of the Issuer's Series D Convertible Preferred Stock which had already been converted into 162,588 shares of Common Stock (after giving effect to the Reverse Stock Split) as of such date.

SEC source: 0001829126-25-002445 · ownership.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

F1 · balance_after: On April 2, 2025, David Lazar (the "Reporting Person") resigned as President and as a member of the Board of Directors of the Issuer, effective immediately. In connection with his resignation, the Reporting Person and the Issuer entered into a Separation Agreement pursuant to which the Reporting Person received 100,000 shares of the Issuer's common stock.

SEC source: 0000921895-25-000651 · form412227019laz_02282025.xml · derivative · entry 5

Lazar David E. · CIK 0001932843 · Interim CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 354,738

Underlying: Common Stock · 191,978,820 shares

Expires not disclosed

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

F4 · derivative.exercise_price: The shares of Series D Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

F9 · price: At a closing on February 6, 2025, the Reporting Person acquired 2,100,000 shares of Series D Preferred Stock from the Company for a total purchase price of $2,100,000. Each share of Series D Preferred Stock is convertible into 110 shares of the Company's Common Stock at any time.

F8 · derivative.exercise_date: The Series D Preferred Stock is exercisable immediately upon issuance, is perpetual and has no expiration date.

F8 · derivative.expiration_date: The Series D Preferred Stock is exercisable immediately upon issuance, is perpetual and has no expiration date.

SEC source: 0000921895-25-000651 · form412227019laz_02282025.xml · derivative · entry 4

Lazar David E. · CIK 0001932843 · Interim CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,650,000 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The shares of Series C Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

F7 · price: At a closing on January 6, 2025, the Reporting Person acquired 1,000,000 shares of Series C Preferred Stock from the Company for a total purchase price of $1,000,000. Each share of Series C Preferred Stock is convertible into 2.65 shares of the Company's Common Stock at any time.

F6 · derivative.exercise_date: The Series C Preferred Stock is exercisable immediately upon issuance, is perpetual and has no expiration date.

F6 · derivative.expiration_date: The Series C Preferred Stock is exercisable immediately upon issuance, is perpetual and has no expiration date.

SEC source: 0000921895-25-000651 · form412227019laz_02282025.xml · nonDerivative · entry 3

Lazar David E. · CIK 0001932843 · Interim CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F5 · shares: On February 26, 2025, the Reporting Person sold 194,628,820 shares of Common Stock in a private transaction for total consideration of $5,500,000.

F5 · price: On February 26, 2025, the Reporting Person sold 194,628,820 shares of Common Stock in a private transaction for total consideration of $5,500,000.

SEC source: 0000921895-25-000651 · form412227019laz_02282025.xml · nonDerivative · entry 2

Lazar David E. · CIK 0001932843 · Interim CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194,628,820

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

F3 · shares: These shares represent the conversion of 1,745,262 shares of the Company's Series D Convertible Preferred Stock (the "Series D Preferred Stock") owned by the Reporting Person into shares of Common Stock of the Company.

F4 · price: The shares of Series D Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

SEC source: 0000921895-25-000651 · form412227019laz_02282025.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Interim CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,650,000

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

F1 · shares: These shares represent the conversion of 1,000,000 shares of the Series C Convertible Preferred Stock (the "Series C Preferred Stock") of Cyclacel Pharmaceuticals, Inc. (the "Company") owned by the Reporting Person into shares of the Company's common stock, par value $0.001 per share (the "Common Stock").

F2 · price: The shares of Series C Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

SEC source: 0000921895-25-000728 · form412227016_03102025.xml · derivative · entry 3

Lazar David E. · CIK 0001932843 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,800,000 shares

Expires 2029-01-29

F5 · price: Warrants sold pursuant to the Purchase Agreement by and among the Reporting Person, the Issuer and the Purchasers, pursuant to which the Reporting Person (i) acquired 1,200,000 newly issued shares of common stock of the Issuer and (ii) sold (A) 2,219,447 shares of Series A Preferred Stock and (B) a warrant to purchase up to an additional 2,800,000 shares of common stock, in exchange for an aggregate purchase price of $500,000 paid by the Purchasers to the Issuer, as fully set forth in the Purchase Agreement.

SEC source: 0000921895-25-000728 · form412227016_03102025.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,910

Underlying: Common Stock · 3,107,226 shares

Expires not disclosed

F2 · derivative.exercise_price: The shares of Series A Preferred Stock are convertible at any time at the option of the holder for no additional consideration.

F4 · price: Shares sold pursuant to the Purchase Agreement by and among the Reporting Person, the Issuer and the Purchasers, pursuant to which the Reporting Person (i) acquired 1,200,000 newly issued shares of common stock of the Issuer and (ii) sold (A) 2,219,447 shares of Series A Preferred Stock and (B) a warrant to purchase up to an additional 2,800,000 shares of common stock, in exchange for an aggregate purchase price of $500,000 paid by the Purchasers to the Issuer, as fully set forth in the Purchase Agreement.

F3 · derivative.expiration_date: The Series A Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0000921895-25-000728 · form412227016_03102025.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,681,980

F1 · shares: Shares acquired pursuant to an Amended and Restated Securities Purchase Agreement (the "Purchase Agreement") by and among the Reporting Person, FiEE, Inc. (the "Issuer") and certain purchasers party thereto (the "Purchasers"), pursuant to which the Reporting Person (i) acquired 1,200,000 newly issued shares of common stock of the Issuer and (ii) sold (A) 2,219,447 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") and (B) a warrant to purchase up to an additional 2,800,000 shares of common stock, in exchange for an aggregate purchase price of $500,000 paid by the Purchasers to the Issuer, as fully set forth in the Purchase Agreement.

F1 · price: Shares acquired pursuant to an Amended and Restated Securities Purchase Agreement (the "Purchase Agreement") by and among the Reporting Person, FiEE, Inc. (the "Issuer") and certain purchasers party thereto (the "Purchasers"), pursuant to which the Reporting Person (i) acquired 1,200,000 newly issued shares of common stock of the Issuer and (ii) sold (A) 2,219,447 shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") and (B) a warrant to purchase up to an additional 2,800,000 shares of common stock, in exchange for an aggregate purchase price of $500,000 paid by the Purchasers to the Issuer, as fully set forth in the Purchase Agreement.

SEC source: 0000921895-25-000312 · form412227001cycc_02102025.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Interim CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,100,000

Underlying: Common Stock · 231,000,000 shares

Expires not disclosed

F4 · security: At a closing on February 6, 2025, the Reporting Person acquired 2,100,000 shares of Series D Preferred Stock for a total purchase price of $2,100,000. Each share of Series D Preferred Stock is convertible into 110 shares of the Company's Common Stock at any time.

F5 · derivative.exercise_price: The shares of Series D Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

F4 · date: At a closing on February 6, 2025, the Reporting Person acquired 2,100,000 shares of Series D Preferred Stock for a total purchase price of $2,100,000. Each share of Series D Preferred Stock is convertible into 110 shares of the Company's Common Stock at any time.

F4 · price: At a closing on February 6, 2025, the Reporting Person acquired 2,100,000 shares of Series D Preferred Stock for a total purchase price of $2,100,000. Each share of Series D Preferred Stock is convertible into 110 shares of the Company's Common Stock at any time.

F6 · derivative.expiration_date: The Series D Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0000921895-24-003050 · form412227016_12312024.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,481,980

F1 · shares: Shares purchased pursuant to a private transaction.

SEC source: 0000921895-24-002812 · form412227018_11252024.xml · nonDerivative · entry 2

Lazar David E. · CIK 0001932843 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · kind: On November 25, 2024, the Reporting Person entered into a securies purchase agreement with Winz Technology Co., Limited, a third party, pursuant to which the Reporting Person sold 280,000 shares of common stock of the Issuer for $800,000, subject to certain closing conditions. The shares were previously issued to the Reporting Person pursuant to an exemption from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder.

F2 · price: On November 25, 2024, the Reporting Person entered into a securies purchase agreement with Winz Technology Co., Limited, a third party, pursuant to which the Reporting Person sold 280,000 shares of common stock of the Issuer for $800,000, subject to certain closing conditions. The shares were previously issued to the Reporting Person pursuant to an exemption from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder.

SEC source: 0000921895-24-002812 · form412227018_11252024.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Director · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,000

F1 · kind: On November 21, 2024, David E. Lazar (the "Reporting Person") entered into a securies purchase agreement with MeiFang Group Ltd, a third party, pursuant to which the Reporting Person sold 821,818 shares of common stock of LQR House Inc. (the "Issuer") for $1,300,000, subject to certain closing conditions. The shares were previously issued to the Reporting Person pursuant to an exemption from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder.

F1 · price: On November 21, 2024, David E. Lazar (the "Reporting Person") entered into a securies purchase agreement with MeiFang Group Ltd, a third party, pursuant to which the Reporting Person sold 821,818 shares of common stock of LQR House Inc. (the "Issuer") for $1,300,000, subject to certain closing conditions. The shares were previously issued to the Reporting Person pursuant to an exemption from Section 16(b) of the Securities Exchange Act of 1934 by virtue of Rule 16b-3 promulgated thereunder.

SEC source: 0000921895-24-002339 · form412227016_10222024.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,305,357

Underlying: Common Stock · 427,500 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of Minim, Inc. (the "Company") are convertible at any time at the option of the holder for no additional consideration.

F3 · price: The shares were issued pursuant to the Non-Employee Directors Compensation Plan of the Company.

F2 · derivative.expiration_date: The Series A Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0000921895-24-001668 · form412227017_08012024.xml · derivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,320,000 shares

Expires not disclosed

F1 · security: On July 30, 2024, David E. Lazar (the "Reporting Person") entered into a securies purchase agreement with AEI Capital Group, a third party, pursuant to which the Reporting Person sold (i) 550,000 shares of Series E Convertible Preferred Stock (the "Series E Preferred Stock") of OpGen, Inc. (the "Company") and (ii) the rights to acquire an additional 2,450,000 shares of Series E Preferred Stock for $2,450,000 pursuant to an agreement between the Reporting Person and the Company.

F2 · derivative.exercise_price: The shares of Series E Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

F1 · price: On July 30, 2024, David E. Lazar (the "Reporting Person") entered into a securies purchase agreement with AEI Capital Group, a third party, pursuant to which the Reporting Person sold (i) 550,000 shares of Series E Convertible Preferred Stock (the "Series E Preferred Stock") of OpGen, Inc. (the "Company") and (ii) the rights to acquire an additional 2,450,000 shares of Series E Preferred Stock for $2,450,000 pursuant to an agreement between the Reporting Person and the Company.

F3 · derivative.expiration_date: The Series E Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0000921895-24-000949 · form412227017_04252024.xml · derivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 3,600,000 shares

Expires not disclosed

F1 · security: On March 25, 2024, David E. Lazar (the "Reporting Person") and OpGen, Inc. (the "Company"), entered into a securies purchase agreement pursuant to which the Reporting Person will acquire an aggregate of 3,000,000 shares of the Company's Series E Convertible Preferred Stock (the "Series E Preferred Stock") at a price of $1.00 per share. Each share of Series E Preferred Stock is convertible into 24 shares of the Company's Common Stock at any time, subject to certain ownership limitations. The initial closing took place on March 25, 2024, whereby the Reporting Person acquired 200,000 shares of Series E Preferred Stock for a total purchase price of $200,000. On April 23, 2024, the Reporting Person acquired an additional 150,000 shares of Series E Preferred Stock for a total purchase price of $150,000. The Reporting Person will acquire additional shares of Series E Preferred Stock at subsequent closings, subject to certain conditions being satisfied.

F2 · derivative.exercise_price: The shares of Series E Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

F3 · derivative.expiration_date: The Series E Preferred Stock is perpetual and therefore has no expiration date.

F4 · balance_after: The Reporting Person's Form 4 filed on April 13, 2024 inadvertently included as the number of derivative securities beneficially owned the number of shares of the Company's Common Stock that would be owned following the conversion of the Series E Preferred Stock. The number of derivative securities beneficially owned is correctly reported in this Form 4.

SEC source: 0000921895-24-001661 · form4a1122270170425_07262024.xml · derivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 550,000

Underlying: Common Stock · 360,000 shares

Expires not disclosed

F1 · security: On March 25, 2024, David E. Lazar (the "Reporting Person") and OpGen, Inc. (the "Company"), entered into a securies purchase agreement pursuant to which the Reporting Person will acquire an aggregate of 3,000,000 shares of the Company's Series E Convertible Preferred Stock (the "Series E Preferred Stock") at a price of $1.00 per share. Each share of Series E Preferred Stock is convertible into 24 shares of the Company's Common Stock at any time, subject to certain ownership limitations. The initial closing took place on March 25, 2024, whereby the Reporting Person acquired 200,000 shares of Series E Preferred Stock for a total purchase price of $200,000. On April 23, 2024, the Reporting Person acquired an additional 150,000 shares of Series E Preferred Stock for a total purchase price of $150,000. The Reporting Person will acquire additional shares of Series E Preferred Stock at subsequent closings, subject to certain conditions being satisfied.

F2 · derivative.exercise_price: The shares of Series E Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

F3 · kind: This Form 4/A is being filed solely to change the transaction code previously provided to identify the transaction reported as exempt from Section 16(b) pursuant to Rule 16b-3

F4 · derivative.expiration_date: The Series E Preferred Stock is perpetual and therefore has no expiration date.

F5 · derivative.underlying_shares: The reported number of shares of Common Stock underlying the shares of Series E Preferred Stock has been adjusted to reflect a reverse stock split of the Company's Common Stock effective as of May 20, 2024.

SEC source: 0000921895-24-000829 · form412227017laz_04122024.xml · nonDerivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

F1 · price: Shares of restricted stock issued pursuant to the 2015 Equity Incentive Plan of OpGen, Inc.

SEC source: 0000921895-24-000813 · form412227017_04082024.xml · derivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,600,000

Underlying: Common Stock · 4,800,000 shares

Expires not disclosed

F1 · security: On March 25, 2024, David E. Lazar (the "Reporting Person") and OpGen, Inc. (the "Company"), entered into a securies purchase agreement pursuant to which the Reporting Person will acquire an aggregate of 3,000,000 shares of the Company's Series E Convertible Preferred Stock (the "Series E Preferred Stock") at a price of $1.00 per share. Each share of Series E Preferred Stock is convertible into 24 shares of the Company's Common Stock at any time, subject to certain ownership limitations. The initial closing took place on March 25, 2024, whereby the Reporting Person acquired 200,000 shares of Series E Preferred Stock for a total purchase price of $200,000. An additional closing occurred on April 5, 2024, whereby the Reporting Person acquired 200,000 shares of Series E Preferred Stock for a total purchase price of $200,000. The Reporting Person will acquire additional shares of Series E Preferred Stock at subsequent closings, subject to certain conditions being satisfied.

F2 · derivative.exercise_price: The shares of Series E Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

F3 · derivative.expiration_date: The Series E Preferred Stock is perpetual and therefore has no expiration date.

SEC source: 0000921895-24-001652 · form4a1122270170408_07262024.xml · derivative · entry 1

Lazar David E. · CIK 0001932843 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 480,000 shares

Expires not disclosed

F1 · security: On March 25, 2024, David E. Lazar (the "Reporting Person") and OpGen, Inc. (the "Company"), entered into a securies purchase agreement pursuant to which the Reporting Person will acquire an aggregate of 3,000,000 shares of the Company's Series E Convertible Preferred Stock (the "Series E Preferred Stock") at a price of $1.00 per share. Each share of Series E Preferred Stock is convertible into 24 shares of the Company's Common Stock at any time, subject to certain ownership limitations. The initial closing took place on March 25, 2024, whereby the Reporting Person acquired 200,000 shares of Series E Preferred Stock for a total purchase price of $200,000. An additional closing occurred on April 5, 2024, whereby the Reporting Person acquired 200,000 shares of Series E Preferred Stock for a total purchase price of $200,000. The Reporting Person will acquire additional shares of Series E Preferred Stock at subsequent closings, subject to certain conditions being satisfied.

F2 · derivative.exercise_price: The shares of Series E Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

F3 · kind: This Form 4/A is being filed solely to change the transaction code previously provided to identify the transaction reported as exempt from Section 16(b) pursuant to Rule 16b-3.

F4 · derivative.expiration_date: The Series E Preferred Stock is perpetual and therefore has no expiration date.

F5 · derivative.underlying_shares: The reported number of shares of Common Stock underlying the shares of Series E Preferred Stock has been adjusted to reflect a reverse stock split of the Company's Common Stock effective as of May 20, 2024.

SEC source: 0000921895-24-000169 · form412227016_01312024.xml · derivative · entry 3

Lazar David E. · CIK 0001932843 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,800,000

Underlying: Common Stock · 2,800,000 shares

Expires 2029-01-29

SEC source: 0000921895-24-000169 · form412227016_01312024.xml · derivative · entry 2

Lazar David E. · CIK 0001932843 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,800,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Series A Convertible Preferred Stock ("Series A Preferred Stock") of Minim, Inc. (the "Company") are convertible at any time at the option of the holder for no additional consideration.

F2 · derivative.expiration_date: The Series A Preferred Stock is perpetual and therefore has no expiration date.