person · Reporting owner

Neal James R

Disclosed activity across 6 companies

Tapewire entity: 28198
SEC CIK: 0001600865

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Akari Therapeutics PlcAKTX · Entity 7692	Director	December 16, 2025	March 16, 2026
Monterey Innovation Acquisition CorpMTRY · Entity 114547	Director	September 30, 2021	September 30, 2021
Peak Bio, Inc.PKBO · Entity 85431	Director	November 14, 2024	November 18, 2024
Processa Pharmaceuticals, Inc.PCSA · Entity 8210	Director	July 26, 2026	July 29, 2026
XOMA Royalty CorpXOMA · Entity 30207	Director · CEO	July 15, 2022	July 18, 2022

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Akari Therapeutics Plc

Report date December 16, 2025 · Filed March 16, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Warrants to purchase American Depositary Shares ("ADRs")SEC Table II · derivative / convertible security · Conversion / exercise price $0.39	Direct	2,473	Reported balance After 2025-12-16 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2025-12-16 · Purchase · Acquired 2,473 · Balance 2,473 F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F2: On December 16, 2025, the Reporting Person acquired (i) unregistered pre-funded warrants to purchase up to 2,473 ADSs (the "PIPE PFWs" and ) and (ii) accompanying Series G Warrants to purchase up to 2,473 ADSs (the "Series G Warrants"), at a combined purchase price of $0.4041 per PIPE PFW and Series G Warrant in a private placement transaction pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended. F4: The combined purchase price per one PIPE PFW and accompanying PIPE Series G Warrant was $0.4041. F3: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised.
Pre-Funded Warrants to purchase ADRsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	2,473	Reported balance After 2025-12-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2025-12-16 · Purchase · Acquired 2,473 · Balance 2,473 F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F2: On December 16, 2025, the Reporting Person acquired (i) unregistered pre-funded warrants to purchase up to 2,473 ADSs (the "PIPE PFWs" and ) and (ii) accompanying Series G Warrants to purchase up to 2,473 ADSs (the "Series G Warrants"), at a combined purchase price of $0.4041 per PIPE PFW and Series G Warrant in a private placement transaction pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended. F7: Conversion Exercise Price of Security is $0.00001 F4: The combined purchase price per one PIPE PFW and accompanying PIPE Series G Warrant was $0.4041. F3: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised.
Pre-Funded Warrants to purchase ADRsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	3,093	Reported balance After 2025-12-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2025-12-16 · Purchase · Acquired 3,093 · Balance 3,093 F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F5: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants"). F7: Conversion Exercise Price of Security is $0.00001 F6: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised.
Warrants to purchase ADRsSEC Table II · derivative / convertible security · Conversion / exercise price $0.39	Direct	3,093	Reported balance After 2025-12-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2025-12-16 · Purchase · Acquired 3,093 · Balance 3,093 F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F5: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants"). F6: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised.

Filing footnotes · ownership attribution and instrument terms

F1: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer.

F2: On December 16, 2025, the Reporting Person acquired (i) unregistered pre-funded warrants to purchase up to 2,473 ADSs (the "PIPE PFWs" and ) and (ii) accompanying Series G Warrants to purchase up to 2,473 ADSs (the "Series G Warrants"), at a combined purchase price of $0.4041 per PIPE PFW and Series G Warrant in a private placement transaction pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended.

F3: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised.

F4: The combined purchase price per one PIPE PFW and accompanying PIPE Series G Warrant was $0.4041.

F5: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants").

F6: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised.

F7: Conversion Exercise Price of Security is $0.00001

Monterey Innovation Acquisition Corp

Report date September 30, 2021 · Filed September 30, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	35,000	Reported balance Holding disclosure · report date 2021-09-30 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 35,000

Peak Bio, Inc.

Report date November 14, 2024 · Filed November 18, 2024

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Ending reported balance After 2024-11-14 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2024-11-14 · Conversion · Acquired 37,850 · Balance 37,850 F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F2: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). Row 2 · 2024-11-14 · Disposition to issuer · Disposed 37,850 · Balance 0 F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F3: At the Effective Time, each issued and outstanding share of Peak Common Stock was cancelled and converted into the right to receive 0.2935 (the "Exchange Ratio") American Depositary Shares ("ADSs") of Parent, each ADS representing a number of ordinary shares, par value $0.0001 per share (the "Ordinary Shares") of Parent.
Convertible NotesSEC Table II · derivative / convertible security	Direct	Reported balance After 2024-11-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-11-14 · Conversion · Disposed Not disclosed · Balance 0 F2: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger").
Warrant (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $0.60	Direct	Reported balance After 2024-11-14 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-11-14 · Disposition to issuer · Disposed 33,340 · Balance 0 F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F4: At the Effective Time, each warrant to purchase capital stock of the Issuer (each, a "Peak Warrant") outstanding immediately prior to the Effective Time was converted into warrants to purchase a number of Ordinary Shares or ADSs (the "Assumed Warrants"), exercisable for a number of ADSs equal to the number of shares of Peak Common Stock underlying such Peak Warrant multiplied by the Exchange Ratio, and the exercise price with respect to such Assumed Warrants shall be equal to the exercise price of such Peak Warrant divided by the Exchange Ratio.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.80	Direct	Reported balance After 2024-11-14 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-11-14 · Disposition to issuer · Disposed 500,000 · Balance 0 F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F5: At the Effective Time, each option to purchase shares of Peak Common Stock ("Peak Option") that was outstanding immediately prior to the Effective Time and unexercised, whether or not vested, was assumed by Parent and converted into the option to purchase a number of Ordinary Shares or ADSs (any such option, an "Assumed Option") equal to the number of Peak Common Stock underlying each such Peak Option multiplied by the Exchange Ratio.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger").

F2: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock").

F3: At the Effective Time, each issued and outstanding share of Peak Common Stock was cancelled and converted into the right to receive 0.2935 (the "Exchange Ratio") American Depositary Shares ("ADSs") of Parent, each ADS representing a number of ordinary shares, par value $0.0001 per share (the "Ordinary Shares") of Parent.

F4: At the Effective Time, each warrant to purchase capital stock of the Issuer (each, a "Peak Warrant") outstanding immediately prior to the Effective Time was converted into warrants to purchase a number of Ordinary Shares or ADSs (the "Assumed Warrants"), exercisable for a number of ADSs equal to the number of shares of Peak Common Stock underlying such Peak Warrant multiplied by the Exchange Ratio, and the exercise price with respect to such Assumed Warrants shall be equal to the exercise price of such Peak Warrant divided by the Exchange Ratio.

F5: At the Effective Time, each option to purchase shares of Peak Common Stock ("Peak Option") that was outstanding immediately prior to the Effective Time and unexercised, whether or not vested, was assumed by Parent and converted into the option to purchase a number of Ordinary Shares or ADSs (any such option, an "Assumed Option") equal to the number of Peak Common Stock underlying each such Peak Option multiplied by the Exchange Ratio.

Processa Pharmaceuticals, Inc.

Report date July 26, 2026 · Filed July 29, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	67,470	Reported balance After 2026-07-26 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-07-26 · Grant · Acquired 62,221 · Balance 67,470 F1: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death. F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.
Common StockSEC Table I · non-derivative	Direct	1,021	Reported balance Holding disclosure · report date 2026-07-26 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,021
Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.96	Direct	12,000	Reported balance Holding disclosure · report date 2026-07-26 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 12,000 F2: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years. F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.

Filing footnotes · ownership attribution and instrument terms

F1: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death.

F2: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years.

F3: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025.

XOMA Royalty Corp

Report date July 15, 2022 · Filed July 18, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	11,822	Ending reported balance After 2022-07-15 transaction · row 4 4 source rows · reconciled sequence Row 1 · 2022-07-15 · Exercise / conversion · Acquired 25,000 · Balance 36,822 Row 2 · 2022-07-15 · Sale · Disposed 20,883 · Balance 15,939 F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.25 to $30.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Row 3 · 2022-07-15 · Sale · Disposed 3,212 · Balance 12,727 F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.53 to $31.52, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Row 4 · 2022-07-15 · Sale · Disposed 905 · Balance 11,822 F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.53 to $32.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.03 · Expires 2027-02-10	Direct	218,056	Reported balance After 2022-07-15 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2022-07-15 · Exercise / conversion · Disposed 25,000 · Balance 218,056 F5: Shares subject to this option have fully vested as of February 10, 2020.
Common StockSEC Table I · non-derivative	IndirectBy 401(k) Plan	5,560	Reported balance Holding disclosure · report date 2022-07-15 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 5,560
Depositary Shares - 8.375% B Cumulative StockSEC Table I · non-derivative	IndirectBy spouse	8,000	Reported balance Holding disclosure · report date 2022-07-15 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 8,000
8.625% Series A Cumulative Perpetual Preferred StockSEC Table I · non-derivative	IndirectBy spouse	8,000	Reported balance Holding disclosure · report date 2022-07-15 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 8,000

Filing footnotes · ownership attribution and instrument terms

F1: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.25 to $30.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.53 to $31.52, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.53 to $32.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

F5: Shares subject to this option have fully vested as of February 10, 2020.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

PALISADE BIO, INC.

Report date February 09, 2024 · Filed February 13, 2024

Section 16 reporting ended · disclosed 2024-02-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01SEC Table I · non-derivative	Direct	10,920	Last balance in matching sequence After 2024-02-09 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2024-02-09 · Exercise / conversion · Acquired 5,100 · Balance 5,100 F1: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. Row 2 · 2024-02-09 · Exercise / conversion · Acquired 5,820 · Balance 10,920 F1: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. F2: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on November 21, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2024-02-09 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-02-09 · Exercise / conversion · Disposed 5,100 · Balance 0 F3: This restricted stock unit was granted on June 11, 2023 and pursuant to the issuance upon full vesting as described in Footnote 1, is no longer outstanding. F5: Each restricted stock unit represents the right to receive one share of common stock.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2024-02-09 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-02-09 · Exercise / conversion · Disposed 5,820 · Balance 0 F4: This restricted stock unit was granted on November 21, 2023 and pursuant to the issuance upon full vesting described in Footnote 2, is no longer outstanding. F5: Each restricted stock unit represents the right to receive one share of common stock.
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.60 · Expires 2033-06-11	Direct	0	Reported balance After 2024-02-09 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-02-09 · Exercise / conversion · Disposed 12,160 · Balance 0 F6: Each option represents the right to purchase one share of common stock at the exercise price. F7: Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.60 · Expires 2033-06-11	Direct	12,160	Reported balance After 2024-02-09 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2024-02-09 · Exercise / conversion · Acquired 12,160 · Balance 12,160 F6: Each option represents the right to purchase one share of common stock at the exercise price. F7: Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.59 · Expires 2033-11-21	Direct	0	Reported balance After 2024-02-09 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2024-02-09 · Exercise / conversion · Disposed 6,880 · Balance 0 F6: Each option represents the right to purchase one share of common stock at the exercise price. F8: Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.59 · Expires 2033-11-21	Direct	6,880	Reported balance After 2024-02-09 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2024-02-09 · Exercise / conversion · Acquired 6,880 · Balance 6,880 F6: Each option represents the right to purchase one share of common stock at the exercise price. F8: Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors.

F2: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on November 21, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors.

F3: This restricted stock unit was granted on June 11, 2023 and pursuant to the issuance upon full vesting as described in Footnote 1, is no longer outstanding.

F4: This restricted stock unit was granted on November 21, 2023 and pursuant to the issuance upon full vesting described in Footnote 2, is no longer outstanding.

F5: Each restricted stock unit represents the right to receive one share of common stock.

F6: Each option represents the right to purchase one share of common stock at the exercise price.

F7: Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.

F8: Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 26, 2026 Filed Jul 29, 2026 00:25 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock Units · Derivative	62,221	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-26-001552 · form4.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,470 Underlying: Common Stock · 62,221 shares Expires not disclosed F1 · shares: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death. F1 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death. F1 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock. These RSUs vested upon grant, but will not be distributed until the earlier of: (i) their termination; (ii) six month anniversary of the grant date; (iii) change of control; or (iv) their death. F3 · balance_after: Reflects the 1-for-25 reverse stock split effected by the Issuer on December 17, 2025. Read SEC document
June 26, 2026 Filed Jun 30, 2026 20:47 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	Exercise / conversionRestricted Stock · Derivative	203	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-26-001468 · form4.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,249 Underlying: Common Stock · 203 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: Distribution of time-based service award. F1 · derivative.expiration_date: Distribution of time-based service award. Read SEC document
June 26, 2026 Filed Jun 30, 2026 20:47 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	Exercise / conversionCommon Stock	203	Not disclosed	Not disclosed	Disclosure SEC source: 0000897069-26-001468 · form4.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,021 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 · price: Distribution of time-based service award. Read SEC document
March 31, 2026 Filed Apr 2, 2026 21:12 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	PurchaseCommon Stock	789	$2.54	$2,000.12	Disclosure SEC source: 0000897069-26-000781 · form4.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 818 Read SEC document
December 16, 2025 Filed Mar 16, 2026 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	PurchasePre-Funded Warrants to purchase ADRs · Derivative	3,093	$0.40 Strike: $0.00	$1,249.88	Disclosure SEC source: 0001493152-26-010304 · ownership.xml · derivative · entry 4 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,093 Underlying: American Depositary Shares representing Ordinary Shares · 3,093 shares Expires not disclosed F1 · security: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F5 · security: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants"). F7 · derivative.exercise_price: Conversion Exercise Price of Security is $0.00001 F5 · price: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants"). F6 · derivative.exercise_date: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised. F6 · derivative.expiration_date: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised. Read SEC document
December 16, 2025 Filed Mar 16, 2026 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	PurchaseWarrants to purchase ADRs · Derivative	3,093	Not disclosed Strike: $0.39	Not disclosed	Disclosure SEC source: 0001493152-26-010304 · ownership.xml · derivative · entry 3 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,093 Underlying: American Depositary Shares representing Ordinary Shares · 3,093 shares Expires not disclosed F1 · security: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F5 · security: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants"). F5 · price: On December 16, 2025, the Reporting Person and the Issuer entered into a note cancellation and exchange agreement, pursuant to which, in exchange for the entire outstanding principal amount and all accrued interest on the Issuer's unsecured promissory note held by the Reporting Person, the Issuer issued to the Reporting Person (i) unregistered pre-funded warrants (the "Note Exchange Unregistered Pre-Funded Warrants") to purchase up to 3,093 ADSs, at a purchase price of $0.4041 per Note Exchange Unregistered Pre-Funded Warrant, and (ii) unregistered warrants to purchase up to 3,219 ADSs (the "Note Exchange Unregistered Warrants"). F6 · derivative.exercise_date: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised. F6 · derivative.expiration_date: The Note Exchange Unregistered Warrants and the Note Exchange Unregistered Pre-Funded Warrants shall be exercisable upon shareholder approval, with the Note Exchange Unregistered Warrants having a five-year term from such approval, and the Note Exchange Unregistered Pre-Funded Warrants remaining exercisable until fully exercised. Read SEC document
December 16, 2025 Filed Mar 16, 2026 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	PurchasePre-Funded Warrants to purchase ADRs · Derivative	2,473	$0.40 Strike: $0.00	$999.34	Disclosure SEC source: 0001493152-26-010304 · ownership.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,473 Underlying: American Depositary Shares representing Ordinary Shares · 2,473 shares Expires not disclosed F1 · security: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F2 · security: On December 16, 2025, the Reporting Person acquired (i) unregistered pre-funded warrants to purchase up to 2,473 ADSs (the "PIPE PFWs" and ) and (ii) accompanying Series G Warrants to purchase up to 2,473 ADSs (the "Series G Warrants"), at a combined purchase price of $0.4041 per PIPE PFW and Series G Warrant in a private placement transaction pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended. F7 · derivative.exercise_price: Conversion Exercise Price of Security is $0.00001 F4 · price: The combined purchase price per one PIPE PFW and accompanying PIPE Series G Warrant was $0.4041. F3 · derivative.exercise_date: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised. F3 · derivative.expiration_date: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised. Read SEC document
December 16, 2025 Filed Mar 16, 2026 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	PurchaseWarrants to purchase American Depositary Shares ("ADRs") · Derivative	2,473	Not disclosed Strike: $0.39	Not disclosed	Disclosure SEC source: 0001493152-26-010304 · ownership.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,473 Underlying: American Depositary Shares representing Ordinary Shares · 2,473 shares Expires not disclosed F1 · security: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.000000005 per Ordinary Share of the Issuer. F2 · security: On December 16, 2025, the Reporting Person acquired (i) unregistered pre-funded warrants to purchase up to 2,473 ADSs (the "PIPE PFWs" and ) and (ii) accompanying Series G Warrants to purchase up to 2,473 ADSs (the "Series G Warrants"), at a combined purchase price of $0.4041 per PIPE PFW and Series G Warrant in a private placement transaction pursuant to an exemption from the registration requirements under Section 4(a)(2) of the Securities Act of 1933, as amended. F4 · price: The combined purchase price per one PIPE PFW and accompanying PIPE Series G Warrant was $0.4041. F3 · derivative.exercise_date: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised. F3 · derivative.expiration_date: The Series G Warrants and the PIPE PFWs shall be exercisable upon shareholder approval, with the Series G Warrants having a five-year term from such approval, and the PIPE PFWs remaining exercisable until fully exercised. Read SEC document
October 01, 2025 Filed Oct 3, 2025 20:41 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantStock Options (Right to Buy) · Derivative	300,000	$0.00 Strike: $0.20	$0.00	Disclosure SEC source: 0000897069-25-001561 · form4.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires not disclosed F2 · derivative.exercise_date: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years. F2 · derivative.expiration_date: Stock options vest one-third on the first anniversary date of the grant, with the remaining options vesting ratably over the subsequent two years. Read SEC document
October 01, 2025 Filed Oct 3, 2025 20:41 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock Units · Derivative	100,000	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-25-001561 · form4.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires not disclosed F1 · derivative.exercise_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock, following its vesting on of one-third on October 1, 2026, and one-thirty-sixth each month thereafter until fully vested on October 1, 2028. F1 · derivative.expiration_date: Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's common stock, following its vesting on of one-third on October 1, 2026, and one-thirty-sixth each month thereafter until fully vested on October 1, 2028. Read SEC document
July 24, 2025 Filed Jul 28, 2025 20:21 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock · Derivative	175,299	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-25-001211 · form4.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 206,505 Underlying: Common Stock · 175,299 shares Expires not disclosed F1 · shares: Restricted stock granted under the Processa Pharmaceuticals, Inc. 2019 Omnibus Incentive Plan ("Omnibus Plan"), of which 125,999 shares are subject to stockholder approval of the revised Omnibus Plan. F2 · derivative.exercise_date: The restricted stock vest on the earlier of June 30, 2026 or the next annual meeting of stockholders, subject to certain distribution requirements. F2 · derivative.expiration_date: The restricted stock vest on the earlier of June 30, 2026 or the next annual meeting of stockholders, subject to certain distribution requirements. Read SEC document
March 20, 2025 Filed Mar 24, 2025 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	GrantStock Option (Right to Buy) · Derivative	225,000	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0000950170-25-043940 · ownership.xml · derivative · entry 3 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 225,000 Underlying: American Depositary Shares representing Ordinary Shares · 225,000 shares Expires 2035-03-20 F3 · derivative.exercise_date: The stock option award was granted under the Issuer's 2023 Equity Incentive Plan. Subject to the Reporting Person's continued service with the Issuer and shareholder approval covering the issuance of the ADS underlying this stock option, this option shall vest (i) 25% on the grant date (ii) 25% on December 31, 2025 and (iii) the remaining 50% shall vest ratably on a monthly basis over the 24 month period thereafter. F1 · derivative.underlying: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.0001 per Ordinary Share of the Issuer. Read SEC document
March 20, 2025 Filed Mar 24, 2025 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	GrantStock Option (Right to Buy) · Derivative	175,000	$0.00 Strike: $1.50	$0.00	Disclosure SEC source: 0000950170-25-043940 · ownership.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 175,000 Underlying: American Depositary Shares representing Ordinary Shares · 175,000 shares Expires 2035-03-20 F2 · derivative.exercise_date: The stock option award was granted under the Issuer's 2023 Equity Incentive Plan. The stock option shall vest over four years from the grant date with 25% vesting on the 12 month anniversary of the grant date, and the remainder vesting ratably on a monthly basis over the then remaining 36 months from the grant date, such that it will be fully vested on the fourth anniversary of the grant date. The stock option award is subject to continued service with the Issuer. F1 · derivative.underlying: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.0001 per Ordinary Share of the Issuer. Read SEC document
March 06, 2025 Filed Mar 10, 2025 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	GrantSeries B Warrants (Right to Buy) · Derivative	4,464	$1.12 Strike: $0.87	$4,999.68	Disclosure SEC source: 0000950170-25-036485 · ownership.xml · derivative · entry 3 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,464 Underlying: American Depositary Shares representing Ordinary Shares · 4,464 shares Expires 2030-03-06 F2 · kind: On March 6, 2025, the Reporting Person acquired 4,464 ADS and accompanying Series A and Series B warrants to purchase up to 8,928 ADS in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 27, 2025. The combined purchase price was $1.12 per ADS and accompanying Series A and Series B warrant. F2 · price: On March 6, 2025, the Reporting Person acquired 4,464 ADS and accompanying Series A and Series B warrants to purchase up to 8,928 ADS in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 27, 2025. The combined purchase price was $1.12 per ADS and accompanying Series A and Series B warrant. F1 · derivative.underlying: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.0001 per Ordinary Share of the Issuer. Read SEC document
March 06, 2025 Filed Mar 10, 2025 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	GrantSeries A Warrants (Right to Buy) · Derivative	4,464	$1.12 Strike: $0.87	$4,999.68	Disclosure SEC source: 0000950170-25-036485 · ownership.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,464 Underlying: American Depositary Shares representing Ordinary Shares · 4,464 shares Expires 2026-03-06 F2 · kind: On March 6, 2025, the Reporting Person acquired 4,464 ADS and accompanying Series A and Series B warrants to purchase up to 8,928 ADS in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 27, 2025. The combined purchase price was $1.12 per ADS and accompanying Series A and Series B warrant. F2 · price: On March 6, 2025, the Reporting Person acquired 4,464 ADS and accompanying Series A and Series B warrants to purchase up to 8,928 ADS in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 27, 2025. The combined purchase price was $1.12 per ADS and accompanying Series A and Series B warrant. F1 · derivative.underlying: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.0001 per Ordinary Share of the Issuer. Read SEC document
March 06, 2025 Filed Mar 10, 2025 21:00 UTC	Akari Therapeutics Plc AKTX · Entity 7692	GrantAmerican Depositary Shares representing Ordinary Shares	4,464	$1.12	$4,999.68	Disclosure SEC source: 0000950170-25-036485 · ownership.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,271 F1 · security: Each American Depositary Share ("ADS") represents 2,000 Ordinary Shares with a par value of $0.0001 per Ordinary Share of the Issuer. F2 · kind: On March 6, 2025, the Reporting Person acquired 4,464 ADS and accompanying Series A and Series B warrants to purchase up to 8,928 ADS in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 27, 2025. The combined purchase price was $1.12 per ADS and accompanying Series A and Series B warrant. F2 · price: On March 6, 2025, the Reporting Person acquired 4,464 ADS and accompanying Series A and Series B warrants to purchase up to 8,928 ADS in a private placement by the Issuer pursuant to the terms of a Securities Purchase Agreement dated as of February 27, 2025. The combined purchase price was $1.12 per ADS and accompanying Series A and Series B warrant. Read SEC document
January 09, 2025 Filed Jan 10, 2025 22:30 UTC	Akari Therapeutics Plc AKTX · Entity 7692	GrantOrdinary Shares, par value $0.0001 per share	8,000,000	$0.00	$4,800.00	Disclosure SEC source: 0000950170-25-004300 · ownership.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,216,000 F1 · security: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents 2,000 Ordinary Shares. F2 · kind: On January 9, 2025, the Reporting Person acquired 8,000,000 Ordinary Shares at a purchase price of $0.00065 per Ordinary Share. F2 · price: On January 9, 2025, the Reporting Person acquired 8,000,000 Ordinary Shares at a purchase price of $0.00065 per Ordinary Share. Read SEC document
December 23, 2024 Filed Dec 26, 2024 21:30 UTC	Akari Therapeutics Plc AKTX · Entity 7692	GrantOrdinary Shares, par value $0.0001 per share	2,000,000	$0.00	$1,000.00	Disclosure SEC source: 0000950170-24-140431 · ownership.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,216,000 F1 · security: The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents 2,000 Ordinary Shares. F2 · kind: On December 23, 2024, the Reporting Person acquired 2,000,000 Ordinary Shares at a purchase price of $0.0005 per Ordinary Share. F2 · price: On December 23, 2024, the Reporting Person acquired 2,000,000 Ordinary Shares at a purchase price of $0.0005 per Ordinary Share. Read SEC document
November 14, 2024 Filed Nov 18, 2024 23:54 UTC	Peak Bio, Inc. PKBO · Entity 85431	Disposition to issuerStock Option (Right to Buy) · Derivative	500,000	$0.00 Strike: $0.80	$0.00	Disclosure SEC source: 0000950170-24-128150 · ownership.xml · derivative · entry 5 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires not disclosed F1 · kind: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F5 · kind: At the Effective Time, each option to purchase shares of Peak Common Stock ("Peak Option") that was outstanding immediately prior to the Effective Time and unexercised, whether or not vested, was assumed by Parent and converted into the option to purchase a number of Ordinary Shares or ADSs (any such option, an "Assumed Option") equal to the number of Peak Common Stock underlying each such Peak Option multiplied by the Exchange Ratio. F5 · derivative.exercise_date: At the Effective Time, each option to purchase shares of Peak Common Stock ("Peak Option") that was outstanding immediately prior to the Effective Time and unexercised, whether or not vested, was assumed by Parent and converted into the option to purchase a number of Ordinary Shares or ADSs (any such option, an "Assumed Option") equal to the number of Peak Common Stock underlying each such Peak Option multiplied by the Exchange Ratio. F5 · derivative.expiration_date: At the Effective Time, each option to purchase shares of Peak Common Stock ("Peak Option") that was outstanding immediately prior to the Effective Time and unexercised, whether or not vested, was assumed by Parent and converted into the option to purchase a number of Ordinary Shares or ADSs (any such option, an "Assumed Option") equal to the number of Peak Common Stock underlying each such Peak Option multiplied by the Exchange Ratio. Read SEC document
November 14, 2024 Filed Nov 18, 2024 23:54 UTC	Peak Bio, Inc. PKBO · Entity 85431	Disposition to issuerWarrant (Right to Purchase) · Derivative	33,340	Not disclosed Strike: $0.60	Not disclosed	Disclosure SEC source: 0000950170-24-128150 · ownership.xml · derivative · entry 4 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,340 shares Expires not disclosed F1 · kind: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F4 · kind: At the Effective Time, each warrant to purchase capital stock of the Issuer (each, a "Peak Warrant") outstanding immediately prior to the Effective Time was converted into warrants to purchase a number of Ordinary Shares or ADSs (the "Assumed Warrants"), exercisable for a number of ADSs equal to the number of shares of Peak Common Stock underlying such Peak Warrant multiplied by the Exchange Ratio, and the exercise price with respect to such Assumed Warrants shall be equal to the exercise price of such Peak Warrant divided by the Exchange Ratio. F4 · price: At the Effective Time, each warrant to purchase capital stock of the Issuer (each, a "Peak Warrant") outstanding immediately prior to the Effective Time was converted into warrants to purchase a number of Ordinary Shares or ADSs (the "Assumed Warrants"), exercisable for a number of ADSs equal to the number of shares of Peak Common Stock underlying such Peak Warrant multiplied by the Exchange Ratio, and the exercise price with respect to such Assumed Warrants shall be equal to the exercise price of such Peak Warrant divided by the Exchange Ratio. F4 · derivative.exercise_date: At the Effective Time, each warrant to purchase capital stock of the Issuer (each, a "Peak Warrant") outstanding immediately prior to the Effective Time was converted into warrants to purchase a number of Ordinary Shares or ADSs (the "Assumed Warrants"), exercisable for a number of ADSs equal to the number of shares of Peak Common Stock underlying such Peak Warrant multiplied by the Exchange Ratio, and the exercise price with respect to such Assumed Warrants shall be equal to the exercise price of such Peak Warrant divided by the Exchange Ratio. F4 · derivative.expiration_date: At the Effective Time, each warrant to purchase capital stock of the Issuer (each, a "Peak Warrant") outstanding immediately prior to the Effective Time was converted into warrants to purchase a number of Ordinary Shares or ADSs (the "Assumed Warrants"), exercisable for a number of ADSs equal to the number of shares of Peak Common Stock underlying such Peak Warrant multiplied by the Exchange Ratio, and the exercise price with respect to such Assumed Warrants shall be equal to the exercise price of such Peak Warrant divided by the Exchange Ratio. Read SEC document
November 14, 2024 Filed Nov 18, 2024 23:54 UTC	Peak Bio, Inc. PKBO · Entity 85431	ConversionConvertible Notes · Derivative	Not disclosed	Not disclosed	$20,004.00	Disclosure SEC source: 0000950170-24-128150 · ownership.xml · derivative · entry 3 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,850 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: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). F1 · kind: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F2 · kind: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). F2 · price: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). F2 · derivative.exercise_date: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). F2 · derivative.expiration_date: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). Read SEC document
November 14, 2024 Filed Nov 18, 2024 23:54 UTC	Peak Bio, Inc. PKBO · Entity 85431	Disposition to issuerCommon Stock	37,850	Not disclosed	Not disclosed	Disclosure SEC source: 0000950170-24-128150 · ownership.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F3 · kind: At the Effective Time, each issued and outstanding share of Peak Common Stock was cancelled and converted into the right to receive 0.2935 (the "Exchange Ratio") American Depositary Shares ("ADSs") of Parent, each ADS representing a number of ordinary shares, par value $0.0001 per share (the "Ordinary Shares") of Parent. F3 · price: At the Effective Time, each issued and outstanding share of Peak Common Stock was cancelled and converted into the right to receive 0.2935 (the "Exchange Ratio") American Depositary Shares ("ADSs") of Parent, each ADS representing a number of ordinary shares, par value $0.0001 per share (the "Ordinary Shares") of Parent. Read SEC document
November 14, 2024 Filed Nov 18, 2024 23:54 UTC	Peak Bio, Inc. PKBO · Entity 85431	ConversionCommon Stock	37,850	Not disclosed	Not disclosed	Disclosure SEC source: 0000950170-24-128150 · ownership.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 37,850 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 · kind: This Form 4 reports securities transacted pursuant to the terms of the Agreement and Plan of Merger, dated as of March 4, 2024, as amended (the "Merger Agreement"), by and among the Issuer, Akari Therapeutics Plc ("Parent"), and Pegasus Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of November 14, 2024, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). F2 · kind: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). F2 · price: Immediately prior to the effective time of the Merger (the "Effective Time"), the principal amount of convertible promissory notes held by the Reporting Person (together with accrued interest thereon) automatically converted into shares of common stock of the Issuer ("Peak Common Stock"). Read SEC document
September 03, 2024 Filed Sep 18, 2024 20:48 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock · Derivative	31,206	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-24-001862 · form4.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,206 Underlying: Common Stock · 31,206 shares Expires not disclosed F1 · derivative.exercise_date: The restricted stock vest on the earlier of June 28, 2025 or the next annual meeting of stockholders, subject to certain distribution requirements. F1 · derivative.expiration_date: The restricted stock vest on the earlier of June 28, 2025 or the next annual meeting of stockholders, subject to certain distribution requirements. Read SEC document
September 03, 2024 Filed Sep 18, 2025 20:19 UTC Amendment	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock · Derivative	31,206	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-25-001496 · form4.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,275 Underlying: Common Stock · 31,206 shares Expires not disclosed F1 · derivative.exercise_date: The restricted stock vest on the earlier of June 28, 2025 or the next annual meeting of stockholders, subject to certain distribution requirements. F1 · derivative.expiration_date: The restricted stock vest on the earlier of June 28, 2025 or the next annual meeting of stockholders, subject to certain distribution requirements. F2 · balance_after: Amending to correct the beneficially owned shares reported on the Form 4 filed September 18, 2024. Read SEC document
February 09, 2024 Filed Feb 13, 2024 20:08 UTC	PALISADE BIO, INC. PALI · Entity 5803	Exercise / conversionCommon Stock Options · Derivative	6,880	$0.00 Strike: $0.59	$0.00	Disclosure SEC source: 0001493152-24-006049 · ownership.xml · derivative · entry 8 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,880 Underlying: Common Stock · 6,880 shares Expires 2033-11-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · security: Each option represents the right to purchase one share of common stock at the exercise price. F8 · security: Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. Read SEC document
February 09, 2024 Filed Feb 13, 2024 20:08 UTC	PALISADE BIO, INC. PALI · Entity 5803	Exercise / conversionCommon Stock Options · Derivative	6,880	$0.00 Strike: $0.59	$0.00	Disclosure SEC source: 0001493152-24-006049 · ownership.xml · derivative · entry 7 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,880 shares Expires 2033-11-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · security: Each option represents the right to purchase one share of common stock at the exercise price. F8 · security: Represents the modification of the option granted on November 21, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. Read SEC document
February 09, 2024 Filed Feb 13, 2024 20:08 UTC	PALISADE BIO, INC. PALI · Entity 5803	Exercise / conversionCommon Stock Options · Derivative	12,160	$0.00 Strike: $1.60	$0.00	Disclosure SEC source: 0001493152-24-006049 · ownership.xml · derivative · entry 6 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,160 Underlying: Common Stock · 12,160 shares Expires 2033-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · security: Each option represents the right to purchase one share of common stock at the exercise price. F7 · security: Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. Read SEC document
February 09, 2024 Filed Feb 13, 2024 20:08 UTC	PALISADE BIO, INC. PALI · Entity 5803	Exercise / conversionCommon Stock Options · Derivative	12,160	$0.00 Strike: $1.60	$0.00	Disclosure SEC source: 0001493152-24-006049 · ownership.xml · derivative · entry 5 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,160 shares Expires 2033-06-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · security: Each option represents the right to purchase one share of common stock at the exercise price. F7 · security: Represents the modification of the option granted on June 11, 2023, resulting in (i) immediate vesting in full of the outstanding grant and (ii) extension of the exercise period until the expiration date in connection with Reporting Person's resignation from the Issuer's Board of Directors. Read SEC document
February 09, 2024 Filed Feb 13, 2024 20:08 UTC	PALISADE BIO, INC. PALI · Entity 5803	Exercise / conversionRestricted Stock Units · Derivative	5,820	$0.00	$0.00	Disclosure SEC source: 0001493152-24-006049 · ownership.xml · derivative · entry 4 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,820 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 · security: This restricted stock unit was granted on November 21, 2023 and pursuant to the issuance upon full vesting described in Footnote 2, is no longer outstanding. F4 · derivative.exercise_price: This restricted stock unit was granted on November 21, 2023 and pursuant to the issuance upon full vesting described in Footnote 2, is no longer outstanding. F5 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of common stock. F5 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of common stock. Read SEC document
February 09, 2024 Filed Feb 13, 2024 20:08 UTC	PALISADE BIO, INC. PALI · Entity 5803	Exercise / conversionRestricted Stock Units · Derivative	5,100	$0.00	$0.00	Disclosure SEC source: 0001493152-24-006049 · ownership.xml · derivative · entry 3 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,100 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · security: This restricted stock unit was granted on June 11, 2023 and pursuant to the issuance upon full vesting as described in Footnote 1, is no longer outstanding. F3 · derivative.exercise_price: This restricted stock unit was granted on June 11, 2023 and pursuant to the issuance upon full vesting as described in Footnote 1, is no longer outstanding. F5 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of common stock. F5 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of common stock. Read SEC document
February 09, 2024 Filed Feb 13, 2024 20:08 UTC	PALISADE BIO, INC. PALI · Entity 5803	Exercise / conversionCommon Stock, par value $0.01	5,820	$0.00	$0.00	Disclosure SEC source: 0001493152-24-006049 · ownership.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 10,920 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 · security: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. F2 · price: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on November 21, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. Read SEC document
February 09, 2024 Filed Feb 13, 2024 20:08 UTC	PALISADE BIO, INC. PALI · Entity 5803	Exercise / conversionCommon Stock, par value $0.01	5,100	$0.00	$0.00	Disclosure SEC source: 0001493152-24-006049 · ownership.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,100 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 · security: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. F1 · price: Represents the issuance of common stock upon the vesting and settlement of outstanding restricted stock units granted on June 11, 2023, resulting from the full accelerated vesting in connection with Reporting Person's resignation from the Issuer's Board of Directors. Read SEC document
November 21, 2023 Filed Nov 24, 2023 21:00 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantCommon Stock Options · Derivative	6,880	$0.00 Strike: $0.59	$0.00	Disclosure SEC source: 0001493152-23-042662 · ownership.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,880 Underlying: Common Stock · 6,880 shares Expires 2033-11-21 F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee. F2 · security: The grants vest fully on the one (1) year anniversary of the grant date. F5 · security: Each option represents the right to purchase one share of common stock at the exercise price. F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date. Read SEC document
November 21, 2023 Filed Nov 24, 2023 21:00 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantRestricted Stock Units · Derivative	5,820	$0.00	$0.00	Disclosure SEC source: 0001493152-23-042662 · ownership.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,820 Underlying: Common Stock · 5,820 shares Expires not disclosed F1 · security: Represents supplemental grant issued to non-employee members of Board of Directors of Issuer, which includes 5,820 restricted stock units and 6,880 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan, as amended, and were approved by the Issuer's Compensation Committee. F2 · security: The grants vest fully on the one (1) year anniversary of the grant date. F3 · security: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date. F3 · shares: Each restricted stock unit represents the right to receive, at settlement, one share of common stock. F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date. F4 · derivative.expiration_date: N/A. Read SEC document
June 27, 2023 Filed Jul 24, 2023 22:38 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock · Derivative	101,365	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-23-001005 · form4.xml · derivative · entry 3 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 101,365 Underlying: Common Stock · 101,365 shares Expires not disclosed F2 · derivative.exercise_date: The restricted stock vests on the earliest of one year from date of grant or the next annual meeting of stockholders. F2 · derivative.expiration_date: The restricted stock vests on the earliest of one year from date of grant or the next annual meeting of stockholders. Read SEC document
June 27, 2023 Filed Jul 24, 2023 22:38 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	Exercise / conversionRestricted Stock · Derivative	14,407	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0000897069-23-001005 · form4.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,407 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: Vesting of time-based restricted shares. F1 · derivative.expiration_date: Vesting of time-based restricted shares. Read SEC document
June 27, 2023 Filed Jul 24, 2023 22:38 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	Exercise / conversionCommon Stock	14,407	Not disclosed	Not disclosed	Disclosure SEC source: 0000897069-23-001005 · form4.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,407 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 · price: Vesting of time-based restricted shares. Read SEC document
June 11, 2023 Filed Jun 13, 2023 22:44 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantCommon Stock Options · Derivative	12,160	$0.00 Strike: $1.60	$0.00	Disclosure SEC source: 0001493152-23-021130 · ownership.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,160 Underlying: Common Stock · 12,160 shares Expires 2033-06-11 F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant. F2 · security: The grants vest fully on the one (1) year anniversary of the grant date. F5 · security: Each option represents the right to purchase one share of common stock at the exercise price. F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date. Read SEC document
June 11, 2023 Filed Jun 13, 2023 22:44 UTC	PALISADE BIO, INC. PALI · Entity 5803	GrantRestricted Stock Units · Derivative	5,100	$0.00	$0.00	Disclosure SEC source: 0001493152-23-021130 · ownership.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,100 Underlying: Common Stock · 5,100 shares Expires not disclosed F1 · security: Represents partial compensation for services as a director pursuant to Issuer's director compensation policy, which includes 5,100 restricted stock units and 7,000 common stock purchase options. The grants were issued from Issuer's 2021 Equity Incentive Plan. In addition, Reporting Person received, per its election, an additional 5,160 common stock purchase options as a discretionary grant. F3 · security: Each restricted stock unit represents the right to receive one share of common stock. F2 · derivative.exercise_price: The grants vest fully on the one (1) year anniversary of the grant date. F3 · shares: Each restricted stock unit represents the right to receive one share of common stock. F2 · derivative.exercise_date: The grants vest fully on the one (1) year anniversary of the grant date. F4 · derivative.expiration_date: N/A Read SEC document
April 28, 2023 Filed May 2, 2023 20:30 UTC	Peak Bio, Inc. PKBO · Entity 85431	GrantConvertible Notes · Derivative	Not disclosed	$20,004.00	$20,004.00	Disclosure SEC source: 0000899243-23-011993 · doc4.xml · derivative · entry 2 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · Not disclosed shares Expires 2023-10-28 F2 · derivative.exercise_price: The Convertible Notes accrue interest at 6.0% per annum. At any time prior to maturity, the Reporting Person may convert the unpaid principal amount of the Convertible Notes, together with any accrued but unpaid interest, into shares of the Company's common stock at a price per share equal to $0.60. The Convertible Notes mature on October 28, 2023. F2 · derivative.exercise_date: The Convertible Notes accrue interest at 6.0% per annum. At any time prior to maturity, the Reporting Person may convert the unpaid principal amount of the Convertible Notes, together with any accrued but unpaid interest, into shares of the Company's common stock at a price per share equal to $0.60. The Convertible Notes mature on October 28, 2023. F2 · derivative.underlying_shares: The Convertible Notes accrue interest at 6.0% per annum. At any time prior to maturity, the Reporting Person may convert the unpaid principal amount of the Convertible Notes, together with any accrued but unpaid interest, into shares of the Company's common stock at a price per share equal to $0.60. The Convertible Notes mature on October 28, 2023. Read SEC document
April 28, 2023 Filed May 2, 2023 20:30 UTC	Peak Bio, Inc. PKBO · Entity 85431	GrantWarrant (Right to Purchase) · Derivative	33,340	Not disclosed Strike: $0.60	Not disclosed	Disclosure SEC source: 0000899243-23-011993 · doc4.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,340 Underlying: Common Stock · 33,340 shares Expires 2028-04-28 F1 · price: The warrants were received in consideration for the loans forwarded by Mr. Neal and which are evidenced by the convertible promissory notes (the "Convertible Notes"). Read SEC document
July 19, 2022 Filed Jul 21, 2022 20:46 UTC	Processa Pharmaceuticals, Inc. PCSA · Entity 8210	GrantRestricted Stock · Derivative	17,797	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001567619-22-014305 · doc1.xml · derivative · entry 1 Neal James R · CIK 0001600865 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,797 Underlying: Common Stock · 17,797 shares Expires not disclosed F1 · derivative.exercise_date: The restricted stock vest on the earlier of one year from the grant date or the next annual meeting of stockholders. F1 · derivative.expiration_date: The restricted stock vest on the earlier of one year from the grant date or the next annual meeting of stockholders. Read SEC document
July 15, 2022 Filed Jul 18, 2022 20:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $4.03	$0.00	Disclosure SEC source: 0001214659-22-008950 · marketforms-56649.xml · derivative · entry 8 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,056 Underlying: Common Stock · 25,000 shares Expires 2027-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Shares subject to this option have fully vested as of February 10, 2020. Read SEC document
July 15, 2022 Filed Jul 18, 2022 20:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	905	$31.86	$28,834.21	Disclosure SEC source: 0001214659-22-008950 · marketforms-56649.xml · nonDerivative · entry 4 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,822 F1 · kind: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.53 to $32.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
July 15, 2022 Filed Jul 18, 2022 20:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	3,212	$31.19	$100,174.89	Disclosure SEC source: 0001214659-22-008950 · marketforms-56649.xml · nonDerivative · entry 3 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,727 F1 · kind: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.53 to $31.52, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
July 15, 2022 Filed Jul 18, 2022 20:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	20,883	$29.55	$617,094.74	Disclosure SEC source: 0001214659-22-008950 · marketforms-56649.xml · nonDerivative · entry 2 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,939 F1 · kind: The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the reporting person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.25 to $30.04, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document
July 15, 2022 Filed Jul 18, 2022 20:30 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionCommon Stock	25,000	$4.03	$100,750.00	Disclosure SEC source: 0001214659-22-008950 · marketforms-56649.xml · nonDerivative · entry 1 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,822 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. Read SEC document
March 23, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	Exercise / conversionStock Option (Right to Buy) · Derivative	1,111	$0.00 Strike: $4.03	$0.00	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · derivative · entry 12 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,800 Underlying: Common Stock · 1,111 shares Expires 2027-02-10 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Shares subject to this option have fully vested as of December 31, 2017. Read SEC document
March 23, 2022 Filed Mar 23, 2022 22:52 UTC	XOMA Royalty Corp XOMA · Entity 30207	SaleCommon Stock	1,111	$30.02	$33,348.22	Disclosure SEC source: 0001214659-22-004299 · marketforms-55844.xml · nonDerivative · entry 9 Neal James R · CIK 0001600865 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,822 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.115, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.