SPANA CARL

SEC source: 0001493152-26-033745 · ownership.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,899

F3 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 15, 2026, with the per share value of $14.34 determined as of June 4, 2026, the date of vesting, for a grant of 395 shares less the 142 shares withheld.

F3 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 15, 2026, with the per share value of $14.34 determined as of June 4, 2026, the date of vesting, for a grant of 395 shares less the 142 shares withheld.

SEC source: 0001493152-26-033745 · ownership.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 65,041

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 15, 2026, with the per share value of $11.72 determined as of June 20, 2026, the date of vesting, for a grant of 330 shares less the 119 shares withheld.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 15, 2026, with the per share value of $11.72 determined as of June 20, 2026, the date of vesting, for a grant of 330 shares less the 119 shares withheld.

SEC source: 0001493152-26-033745 · ownership.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 65,160

F1 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 15, 2026, with the per share value of $11.77 determined as of June 22, 2026, the date of vesting, for a grant of 91 shares less the 33 shares withheld.

F1 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 15, 2026, with the per share value of $11.77 determined as of June 22, 2026, the date of vesting, for a grant of 91 shares less the 33 shares withheld.

SEC source: 0001493152-26-000130 · ownership.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,377

F3 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended December 30, 2025, with the per share value determined as of December 8, 2025, the date of vesting, for a grant of 395 shares less the 143 shares withheld.

F3 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended December 30, 2025, with the per share value determined as of December 8, 2025, the date of vesting, for a grant of 395 shares less the 143 shares withheld.

SEC source: 0001493152-26-000130 · ownership.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,520

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended December 30, 2025, with the per share value determined as of December 8, 2025, the date of vesting, for a grant of 380 shares less the 138 shares withheld.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended December 30, 2025, with the per share value determined as of December 8, 2025, the date of vesting, for a grant of 380 shares less the 138 shares withheld.

SEC source: 0001493152-26-000130 · ownership.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,658

F1 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended December 30, 2025, with the per share value determined as of December 8, 2025, the date of vesting, for a grant of 110 shares less the 40 shares withheld.

F1 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended December 30, 2025, with the per share value determined as of December 8, 2025, the date of vesting, for a grant of 110 shares less the 40 shares withheld.

SEC source: 0001493152-25-027269 · ownership.xml · derivative · entry 6

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 123,939

Underlying: Common Stock · 568 shares

Expires 2034-06-04

F6 · derivative.exercise_date: Performance-based stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 4, 2024, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025.

SEC source: 0001493152-25-027269 · ownership.xml · derivative · entry 5

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 123,371

Underlying: Common Stock · 595 shares

Expires 2033-06-20

F5 · derivative.exercise_date: Performance-based Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 20, 2023, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025.

SEC source: 0001493152-25-027269 · ownership.xml · derivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 122,776

Underlying: Common Stock · 163 shares

Expires 2032-06-22

F4 · derivative.exercise_date: Performance-based stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 22, 2022, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025.

SEC source: 0001493152-25-027269 · ownership.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,698

F3 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 4, 2024, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following December 9, 2025.

F3 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 4, 2024, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following December 9, 2025.

SEC source: 0001493152-25-027269 · ownership.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 64,303

F2 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 20, 2023, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following December 9, 2025.

F2 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 20, 2023, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following December 9, 2025.

SEC source: 0001493152-25-027269 · ownership.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 63,923

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2022, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following December 9, 2025.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2022, vested in part on December 9, 2025, upon certification by the Compensation Committee of a defined performance objective as to 100% of the target number of share units for the 18 months ending December 31, 2025. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following December 9, 2025.

SEC source: 0001654954-25-013235 · section16.xml · nonDerivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,113

F4 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended November 14, 2025, with the per share value of determined as of June 4, 2025, the date of vesting, for a grant of 395 shares less the 142 shares withheld.

F4 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended November 14, 2025, with the per share value of determined as of June 4, 2025, the date of vesting, for a grant of 395 shares less the 142 shares withheld.

SEC source: 0001654954-25-013235 · section16.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,255

F3 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended November 14, 2025, with the per share value determined as of June 22, 2025, the date of vesting, for a grant of 330 shares less the 119 shares withheld.

F3 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended November 14, 2025, with the per share value determined as of June 22, 2025, the date of vesting, for a grant of 330 shares less the 119 shares withheld.

SEC source: 0001654954-25-013235 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,374

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended November 14, 2025, with the per share value determined as of June 22, 2025, the date of vesting, for a grant of 91 shares less the 33 shares withheld.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended November 14, 2025, with the per share value determined as of June 22, 2025, the date of vesting, for a grant of 91 shares less the 33 shares withheld.

SEC source: 0001654954-25-013235 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,407

F1 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended November 14, 2025, with the per share value determined as of June 20, 2025, the date of vesting, for a grant of 141 shares less the 51 shares withheld.

F1 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended November 14, 2025, with the per share value determined as of June 20, 2025, the date of vesting, for a grant of 141 shares less the 51 shares withheld.

SEC source: 0001654954-25-007106 · section16.xml · derivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,060,655

Underlying: Common Stock · 2,727,272 shares

Expires not disclosed

F1 · price: Each share of Series D Convertible Preferred Stock has a stated value of $100 per share, and is convertible to common stock at an initial conversion price of $0.11 per share, for a total of 1,363,636 shares of common stock. The Series D Preferred Stock and Series I common stock purchase warrants were sold at a combined offering price of $0.11 per share of common stock obtainable upon conversion of the Series D Convertible Preferred Stock.

F2 · derivative.exercise_date: The Series I warrants are exercisable on or after the date that approval is obtained from the Issuer's stockholders as may be required by the NYSE American (or any successor entity) (the "Stockholder Approval Date"), and will expire on the five-year anniversary of the Stockholder Approval Date, subject to the terms and conditions contained in such Series I warrant.

F2 · derivative.expiration_date: The Series I warrants are exercisable on or after the date that approval is obtained from the Issuer's stockholders as may be required by the NYSE American (or any successor entity) (the "Stockholder Approval Date"), and will expire on the five-year anniversary of the Stockholder Approval Date, subject to the terms and conditions contained in such Series I warrant.

SEC source: 0001654954-25-007106 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,672,940

F1 · shares: Each share of Series D Convertible Preferred Stock has a stated value of $100 per share, and is convertible to common stock at an initial conversion price of $0.11 per share, for a total of 1,363,636 shares of common stock. The Series D Preferred Stock and Series I common stock purchase warrants were sold at a combined offering price of $0.11 per share of common stock obtainable upon conversion of the Series D Convertible Preferred Stock.

SEC source: 0001654954-24-009702 · section16.xml · nonDerivative · entry 8

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 261,459

F8 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 14,025 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024.

F8 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 14,025 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024.

SEC source: 0001654954-24-009702 · section16.xml · nonDerivative · entry 7

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 266,515

F7 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 20, 2024, the date of vesting. The grant of the underlying 16,500 time-based restricted share units which vested on June 20, 2024, was reported on Form 4 filed on June 22, 2023.

F7 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 20, 2024, the date of vesting. The grant of the underlying 16,500 time-based restricted share units which vested on June 20, 2024, was reported on Form 4 filed on June 22, 2023.

SEC source: 0001654954-24-009702 · section16.xml · nonDerivative · entry 6

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 272,463

F6 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 5,318 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024.

F6 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 5,318 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024.

SEC source: 0001654954-24-009702 · section16.xml · nonDerivative · entry 5

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,380

F5 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant of the underlying 4,550 time-based restricted share units which vested on June 22, 2024 was reported on Form 4 filed on June 24, 2022.

F5 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant of the underlying 4,550 time-based restricted share units which vested on June 22, 2024 was reported on Form 4 filed on June 24, 2022.

SEC source: 0001654954-24-009702 · section16.xml · nonDerivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 276,020

F4 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 5,673 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024.

F4 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant and vesting of the underlying 5,673 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024.

SEC source: 0001654954-24-009702 · section16.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 278,065

F3 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant of the underlying 7,045 time-based restricted share units, which vested on June 22, 2024, was reported on Form 4 filed on June 24, 2021.

F3 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 22, 2024, the date of vesting. The grant of the underlying 7,045 time-based restricted share units, which vested on June 22, 2024, was reported on Form 4 filed on June 24, 2021.

SEC source: 0001654954-24-009702 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,605

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 16, 2024, the date of vesting. The grant and vesting of the underlying 8,185 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 16, 2024, the date of vesting. The grant and vesting of the underlying 8,185 restricted share units was reported on Form 4 filed on July 16, 2024, with a transaction date of June 4, 2024.

SEC source: 0001654954-24-009702 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,556

F1 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 16, 2024, the date of vesting. The grant of the underlying 6,465 time-based restricted share units which vested on June 16, 2024, with one-half the total shares reported on Form 4 filed on June 18, 2020, and the remaining one-half of the total shares reported on Form 4 filed on June 25, 2020.

F1 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended July 30, 2024, with the per share value determined as of June 16, 2024, the date of vesting. The grant of the underlying 6,465 time-based restricted share units which vested on June 16, 2024, with one-half the total shares reported on Form 4 filed on June 18, 2020, and the remaining one-half of the total shares reported on Form 4 filed on June 25, 2020.

SEC source: 0001654954-24-009003 · section16.xml · derivative · entry 6

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 316,537

Underlying: Common Stock · 113,500 shares

Expires 2032-06-22

F6 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock, and which vest at the rate of 25% per year, with the initial vesting on June 4, 2025. The options were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

SEC source: 0001654954-24-009003 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 331,686

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, with the initial vesting on June 4, 2025. The restricted share units were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest at the rate of 25% per year, with the initial vesting on June 4, 2025. The restricted share units were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

SEC source: 0001654954-24-009003 · section16.xml · derivative · entry 9

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 352,371

Underlying: Common Stock · 7,912 shares

Expires 2032-06-22

F9 · derivative.exercise_date: Performance-based Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 22, 2022, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024.

SEC source: 0001654954-24-009003 · section16.xml · derivative · entry 8

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 344,459

Underlying: Common Stock · 14,357 shares

Expires 2031-06-22

F8 · derivative.exercise_date: Performance-based stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 22, 2021, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024.

SEC source: 0001654954-24-009003 · section16.xml · derivative · entry 7

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,102

Underlying: Common Stock · 13,565 shares

Expires 2030-06-16

F7 · derivative.exercise_date: Performance-based stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 16, 2020, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024.

SEC source: 0001654954-24-009003 · section16.xml · nonDerivative · entry 5

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 364,887

F5 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 20, 2023, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

F5 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 20, 2023, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

SEC source: 0001654954-24-009003 · section16.xml · nonDerivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 350,862

F4 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2022, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

F4 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2022, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

SEC source: 0001654954-24-009003 · section16.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 345,544

F3 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2021, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

F3 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2021, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

SEC source: 0001654954-24-009003 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 339,871

F2 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

F2 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

SEC source: 0001654954-24-009003 · section16.xml · derivative · entry 10

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,364

Underlying: Common Stock · 21,993 shares

Expires 2033-06-20

F10 · derivative.exercise_date: Performance-based stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 20, 2023, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024.

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 8

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 366,303

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F9 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant and vesting of the underlying 1,937 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F9 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant and vesting of the underlying 1,937 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 7

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 367,001

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F8 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant of the underlying 2,360 time-based restricted share units which vested on June 24, 2023 was reported on Form 4 filed on June 26, 2019.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F8 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant of the underlying 2,360 time-based restricted share units which vested on June 24, 2023 was reported on Form 4 filed on June 26, 2019.

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 6

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 367,852

F7 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 2,844 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F7 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 2,844 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 5

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 368,877

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F6 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 4,550 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 28, 2022.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F6 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 4,550 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 28, 2022.

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 370,517

F5 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 3,551 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F5 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 3,551 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 371,797

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F4 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 7,045 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 24, 2021.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F4 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 7,045 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 24, 2021.

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,337

F3 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant and vesting of the underlying 5,273 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F3 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant and vesting of the underlying 5,273 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,238

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant of the underlying 6,465 time-based restricted share units, which vested on June 16, 2023, was reported on Form 4 filed on June 18, 2020 as to one half of the total grant, and on Form 4 filed on June 26, 2020 as to the remaining one half, which had been granted contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved the stockholders at a meeting on June 25, 2020.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant of the underlying 6,465 time-based restricted share units, which vested on June 16, 2023, was reported on Form 4 filed on June 18, 2020 as to one half of the total grant, and on Form 4 filed on June 26, 2020 as to the remaining one half, which had been granted contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved the stockholders at a meeting on June 25, 2020.

SEC source: 0001654954-23-008309 · section16.xml · derivative · entry 9

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,231 shares

Expires 2032-06-22

F9 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 22, 2022, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of stock option shares for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

SEC source: 0001654954-23-008309 · section16.xml · derivative · entry 8

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,984 shares

Expires 2031-06-22

F8 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 22, 2021, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of stock option shares for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

SEC source: 0001654954-23-008309 · section16.xml · derivative · entry 7

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,739 shares

Expires 2030-06-16

F7 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 16, 2020, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of stock option shares for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

SEC source: 0001654954-23-008309 · section16.xml · derivative · entry 6

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,500 shares

Expires 2033-06-22

F6 · derivative.exercise_date: The options vest at the rate of 25% per year, with the initial vesting on June 20, 2024.

SEC source: 0001654954-23-008309 · section16.xml · nonDerivative · entry 5

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 378,568

F5 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2022, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

F5 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2022, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

SEC source: 0001654954-23-008309 · section16.xml · nonDerivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,724

F4 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2021, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

F4 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2021, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.