Fischer Seth H. Z.

SEC source: 0001628280-26-048007 · wk-form4_1783973106.xml · derivative · entry 4

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,000 shares

Expires 2035-05-29

F4 · derivative.exercise_price: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

F1 · kind: This Form 4 reports securities disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 1, 2026, by and among the Issuer, Essence Parent Inc., a Delaware corporation ("Parent") and Essence MergerCo Inc., a Delaware corporation and wholly owned subsidiary of Parent ("MergerCo"), pursuant to which, on July 13, 2026 (the "Effective Time"), MergerCo merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent.

F4 · price: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

F4 · derivative.exercise_date: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

SEC source: 0001628280-26-048007 · wk-form4_1783973106.xml · derivative · entry 3

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,500 shares

Expires 2034-05-23

F4 · derivative.exercise_price: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

F1 · kind: This Form 4 reports securities disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 1, 2026, by and among the Issuer, Essence Parent Inc., a Delaware corporation ("Parent") and Essence MergerCo Inc., a Delaware corporation and wholly owned subsidiary of Parent ("MergerCo"), pursuant to which, on July 13, 2026 (the "Effective Time"), MergerCo merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent.

F4 · price: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

F4 · derivative.exercise_date: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

SEC source: 0001628280-26-048007 · wk-form4_1783973106.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,000 shares

Expires 2033-06-15

F4 · derivative.exercise_price: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

F1 · kind: This Form 4 reports securities disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 1, 2026, by and among the Issuer, Essence Parent Inc., a Delaware corporation ("Parent") and Essence MergerCo Inc., a Delaware corporation and wholly owned subsidiary of Parent ("MergerCo"), pursuant to which, on July 13, 2026 (the "Effective Time"), MergerCo merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent.

F4 · price: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

F4 · derivative.exercise_date: At the Effective Time, each stock option having a per share exercise price that was less than the per share cash consideration (each, an "in-the-money option") was canceled and converted into the right to receive, for each share of Common Stock issuable upon the exercise of such in-the-money option immediately prior to the Effective Time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the excess of the per share cash consideration over the per share exercise price of such in-the-money option plus (b) one CVR.

SEC source: 0001628280-26-048007 · wk-form4_1783973106.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated May 1, 2026, by and among the Issuer, Essence Parent Inc., a Delaware corporation ("Parent") and Essence MergerCo Inc., a Delaware corporation and wholly owned subsidiary of Parent ("MergerCo"), pursuant to which, on July 13, 2026 (the "Effective Time"), MergerCo merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent.

F2 · shares: At the Effective Time, each share of the Issuer's common stock, par value $0.001 per share ("Common Stock") was converted into the right to receive (a) an amount in cash equal to $3.16 per share, without interest (the "per share cash consideration"), and (b) one contractual contingent value right per share (each, a "CVR" and, together with the per share cash consideration, the "merger consideration"), representing the right to participate in contingent payments in cash, without interest, upon the achievement of certain milestones, subject to any applicable withholding taxes. From and after the Effective Time, all such shares of Common Stock were no longer outstanding and were automatically canceled.

F3 · shares: Includes 79,873 restricted stock units (each, a "RSU"). At the Effective Time, each RSU with respect to Common Stock outstanding immediately prior to the Effective Time vested in full (to the extent then-unvested), and was canceled and converted into the right to receive, with respect to each share of Common Stock subject to such RSU immediately prior to the effective time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the per share cash consideration, plus (b) one CVR, subject to certain exceptions.

F2 · price: At the Effective Time, each share of the Issuer's common stock, par value $0.001 per share ("Common Stock") was converted into the right to receive (a) an amount in cash equal to $3.16 per share, without interest (the "per share cash consideration"), and (b) one contractual contingent value right per share (each, a "CVR" and, together with the per share cash consideration, the "merger consideration"), representing the right to participate in contingent payments in cash, without interest, upon the achievement of certain milestones, subject to any applicable withholding taxes. From and after the Effective Time, all such shares of Common Stock were no longer outstanding and were automatically canceled.

F3 · price: Includes 79,873 restricted stock units (each, a "RSU"). At the Effective Time, each RSU with respect to Common Stock outstanding immediately prior to the Effective Time vested in full (to the extent then-unvested), and was canceled and converted into the right to receive, with respect to each share of Common Stock subject to such RSU immediately prior to the effective time, (a) a cash payment (rounded down to the nearest cent), without interest and subject to applicable tax withholding and deductions, equal to the per share cash consideration, plus (b) one CVR, subject to certain exceptions.

SEC source: 0001573553-26-000002 · form4-06122026_040605.xml · derivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,000

Underlying: Common Stock · 77,000 shares

Expires 2036-06-10

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 10, 2026, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

SEC source: 0001628280-26-039523 · wk-form4_1780345393.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,023

F1 · shares: The awards vest in full on the earlier of (i) May 28, 2027 and (ii) the Issuer's next annual meeting of stockholders following May 28, 2026.

SEC source: 0001415889-25-016930 · form4-06122025_040605.xml · derivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2035-06-10

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 10, 2025, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

SEC source: 0001628280-25-028829 · wk-form4_1748895006.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,000

Underlying: Common Stock · 44,000 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The awards vest in full on the earlier of (i) May 29, 2026 and (ii) the Issuer's next annual meeting of stockholders following May 29, 2025.

SEC source: 0001628280-25-028829 · wk-form4_1748895006.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,150

F1 · shares: The awards vest in full on the earlier of (i) May 29, 2026 and (ii) the Issuer's next annual meeting of stockholders following May 29, 2025.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 12

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,850 shares

Expires 2026-09-06

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 11

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,625 shares

Expires 2027-01-17

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 10

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,750 shares

Expires 2027-12-06

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 9

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,750 shares

Expires 2029-02-26

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 8

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2030-01-08

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 7

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,500 shares

Expires 2031-01-15

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 6

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,375 shares

Expires 2032-02-04

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 5

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,200 shares

Expires 2033-01-26

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 4

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,900 shares

Expires 2034-01-18

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · derivative · entry 3

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,450 shares

Expires 2034-06-18

F4 · kind: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding out-of-the-money stock option (i.e., a stock option that has an exercise price per share that is greater than the Offer Price) was terminated and the Reporting Person was not entitled to any payment in respect thereof.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · nonDerivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On December 29, 2024, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Immedica Pharma AB, a corporation organized and existing under the laws of Sweden ("Parent"), and Matador Subsidiary, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $0.55 per share (the "Offer Price") in cash.

F3 · shares: Represents 2,300 shares underlying Restricted Stock Units (the "RSUs"). Pursuant to the terms of the Merger Agreement, at the effective time of the merger (the "Effective Time"), each outstanding RSU was terminated in exchange for a lump sum cash payment equal to (i) the Offer Price multiplied by (ii) the number of shares of Common Stock underlying the RSU.

F1 · price: On December 29, 2024, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Immedica Pharma AB, a corporation organized and existing under the laws of Sweden ("Parent"), and Matador Subsidiary, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $0.55 per share (the "Offer Price") in cash.

SEC source: 0001104659-25-011247 · tm255946-9_4seq1.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,300

F1 · kind: On December 29, 2024, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Immedica Pharma AB, a corporation organized and existing under the laws of Sweden ("Parent"), and Matador Subsidiary, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $0.55 per share (the "Offer Price") in cash.

F1 · price: On December 29, 2024, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Immedica Pharma AB, a corporation organized and existing under the laws of Sweden ("Parent"), and Matador Subsidiary, Inc. a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $0.55 per share (the "Offer Price") in cash.

F2 · balance_after: The reported amount reflects an adjustment to correct a clerical error that previously underreported the Reporting Person's holdings by 2,081 shares of Common Stock. No reportable transactions were omitted from previous filings in connection with the clerical error underlying this correction.

SEC source: 0001415889-24-022533 · form4-08292024_040804.xml · derivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Shares · 40,000 shares

Expires 2034-08-28

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on September 28, 2024, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

SEC source: 0001104659-24-092936 · tm2422466-2_4seq1.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Upon the consummation of the merger (the "Merger") pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 25, 2024, by and among Agile Therapeutics, Inc. (the "Company"), Insud Pharma, S.L. ("Insud"), and Exeltis Project, Inc., a Delaware corporation and indirect, wholly owned subsidiary of Insud ("Merger Sub"), 976 shares of Common Stock were converted into the right to receive into the right to receive a cash payment of $1.52 (the "Merger Consideration") per share of Common Stock, for an aggregate of $1,484, equal to the product of (x) the Merger Consideration, multiplied by (y) the total number of shares of Common Stock owned by the reporting person

SEC source: 0001415889-24-017635 · form4-06202024_080618.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,450

Underlying: Common Stock · 10,450 shares

Expires 2034-06-18

F2 · derivative.exercise_date: The option vests and becomes exercisable in full on July 15, 2025, subject to the reporting person's continued service with the Issuer.

SEC source: 0001415889-24-017635 · form4-06202024_080618.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,926

F1 · shares: Represents the grant of restricted stock units (RSUs). The RSUs vest in full on July 15, 2025, subject to the reporting person's continued service with Marinus Pharmaceuticals, Inc. (the Issuer). Each RSU represents the right to receive one share of common stock of the Issuer.

SEC source: 0001628280-24-025221 · wk-form4_1716581864.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,500

Underlying: Common Stock · 32,500 shares

Expires 2034-05-23

F1 · derivative.exercise_date: The awards vest in full on the earlier of (i) May 23, 2025 and (ii) the Issuer's next annual meeting of stockholders following May 23, 2024.

SEC source: 0001628280-24-025221 · wk-form4_1716581864.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,150

F1 · shares: The awards vest in full on the earlier of (i) May 23, 2025 and (ii) the Issuer's next annual meeting of stockholders following May 23, 2024.

SEC source: 0001415889-24-001598 · form4-01192024_090158.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2034-01-18

F2 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments beginning on February 18, 2024, subject to the reporting person's continued service with the Issuer.

SEC source: 0001415889-24-001598 · form4-01192024_090158.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,626

F1 · shares: Represents the grant of restricted stock units (RSUs). The RSUs vest in full on January 18, 2025, subject to the reporting person's continued service with Marinus Pharmaceuticals, Inc. (the Issuer). Each RSU represents the right to receive one share of common stock of the Issuer.

SEC source: 0000899243-23-017672 · doc4.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires not disclosed

F2 · price: Stock options of the Issuer (the "Company Options") were canceled in the merger and (i) if the Company Option had an exercise price less than the Upfront Consideration, it was exchanged for (1) common stock of the Acquiror with a value equal to the quotient of (A) the product of (x) the total number of common stock of Issuer underlying the Company Option multiplied by (y) the excess, if any, of the value of the Upfront Consideration over the exercise price of such Company Option, divided by (B) the average of the daily volume-weighted average price per share of the common stock of Acquiror calculated based on the ten (10) consecutive trading days ending two trading days prior to the date of the Merger Agreement and (2) a number of CVRs equal to the number of shares of common stock of the Issuer underlying such Company Option, (ii) if the Company Option had an exercise price equal to or greater than the Upfront Consideration and less than the Merger Consideration,

F3 · price: (Continued from Footnote 2) it was exchanged for a number of CVRs equal to the number of common stock of the Issuer underlying such Company Option (reduced by the amount that the exercise price exceeds the Upfront Consideration) and (iii) if the Company Option had an exercise price equal to or greater than the Merger Consideration, it was canceled for no consideration.

F2 · derivative.exercise_date: Stock options of the Issuer (the "Company Options") were canceled in the merger and (i) if the Company Option had an exercise price less than the Upfront Consideration, it was exchanged for (1) common stock of the Acquiror with a value equal to the quotient of (A) the product of (x) the total number of common stock of Issuer underlying the Company Option multiplied by (y) the excess, if any, of the value of the Upfront Consideration over the exercise price of such Company Option, divided by (B) the average of the daily volume-weighted average price per share of the common stock of Acquiror calculated based on the ten (10) consecutive trading days ending two trading days prior to the date of the Merger Agreement and (2) a number of CVRs equal to the number of shares of common stock of the Issuer underlying such Company Option, (ii) if the Company Option had an exercise price equal to or greater than the Upfront Consideration and less than the Merger Consideration,

F3 · derivative.exercise_date: (Continued from Footnote 2) it was exchanged for a number of CVRs equal to the number of common stock of the Issuer underlying such Company Option (reduced by the amount that the exercise price exceeds the Upfront Consideration) and (iii) if the Company Option had an exercise price equal to or greater than the Merger Consideration, it was canceled for no consideration.

F2 · derivative.expiration_date: Stock options of the Issuer (the "Company Options") were canceled in the merger and (i) if the Company Option had an exercise price less than the Upfront Consideration, it was exchanged for (1) common stock of the Acquiror with a value equal to the quotient of (A) the product of (x) the total number of common stock of Issuer underlying the Company Option multiplied by (y) the excess, if any, of the value of the Upfront Consideration over the exercise price of such Company Option, divided by (B) the average of the daily volume-weighted average price per share of the common stock of Acquiror calculated based on the ten (10) consecutive trading days ending two trading days prior to the date of the Merger Agreement and (2) a number of CVRs equal to the number of shares of common stock of the Issuer underlying such Company Option, (ii) if the Company Option had an exercise price equal to or greater than the Upfront Consideration and less than the Merger Consideration,

F3 · derivative.expiration_date: (Continued from Footnote 2) it was exchanged for a number of CVRs equal to the number of common stock of the Issuer underlying such Company Option (reduced by the amount that the exercise price exceeds the Upfront Consideration) and (iii) if the Company Option had an exercise price equal to or greater than the Merger Consideration, it was canceled for no consideration.

SEC source: 0000899243-23-017672 · doc4.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Represents shares of the Issuer disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 24, 2023, by and among the Issuer, Assertio Holdings, Inc., a Delaware corporation ("Acquiror"), and Spade Merger Sub 1, Inc., a Delaware corporation and a wholly owned subsidiary of Acquiror, in exchange for consideration of (a) 0.1783 of a share of the common stock of Acquiror and cash in lieu of fractional shares (the "Upfront Consideration") and (b) a contingent value right ("CVR") to receive up to an additional $0.20 per common share (subject to adjustment), payable in cash or common stock of Acquiror at the election of Acquiror, upon the achievement of certain milestones, (the Upfront Consideration plus one CVR, collectively, the "Merger Consideration") on the effective date of the merger.

SEC source: 0001628280-23-022458 · wf-form4_168694610673749.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The awards vest in full on the earlier of (i) June 15, 2024 and (ii) the Issuer's next annual meeting of stockholders following June 15, 2023.

SEC source: 0001628280-23-022458 · wf-form4_168694610673749.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,150

F1 · shares: The awards vest in full on the earlier of (i) June 15, 2024 and (ii) the Issuer's next annual meeting of stockholders following June 15, 2023.

SEC source: 0000929638-23-001712 · form4.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,065

Underlying: Common Stock · 1,065 shares

Expires 2033-06-07

F3 · derivative.exercise_date: This option was granted on June 8, 2023 and vests in full on June 8, 2024, subject to the Reporting Person's continued service on the Issuer's board of directors through the vesting date and provided that the Reporting Person attends at least 75% of the board meetings held during the year of board service.

SEC source: 0000929638-23-001712 · form4.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 976

F1 · shares: These shares represent restricted stock units that were granted on June 8, 2023, which will vest and be settled in common stock on June 8, 2024, subject to the Reporting Person's continued service on the Issuer's board of directors through the vesting date and provided that the Reporting Person attends at least 75% of the board meetings held during the year of board service.

F2 · balance_after: On April 10, 2023 the Issuer completed a one-for-fifty reverse stock split of the Issuer's common stock. This amount has been adjusted to give effect to this reverse stock split.

SEC source: 0001209191-23-035825 · doc4.xml · derivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Shares · 30,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: This option will vest in twelve (12) equal monthly installments, beginning on July 7, 2023, provided that the option will in any case be fully vested on the date of next annual meeting of the stockholders of the Issuer, subject to the Reporting Person continuing to provide service through each such vesting date.

SEC source: 0001209191-23-020844 · doc4.xml · derivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Shares · 42,000 shares

Expires 2033-03-21

F1 · derivative.exercise_date: This option will vest in equal monthly installments, beginning on April 21, 2023, over a period of three years, subject to the Reporting Person continuing to provide service through each such vesting date.

SEC source: 0001415889-23-002163 · form4-02082023_090232.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,026

F1 · kind: The sales reported on this Form 4 represent shares of common stock of Marinus Pharmaceuticals, Inc. (the "Company") sold by the reporting person pursuant to a Rule 10b5-1 plan to cover tax obligations in connection with the vesting of previously granted restricted stock units.

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $6.54 - $6.55, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, 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 ranges set forth in this footnote (2) to this Form 4.

SEC source: 0001415889-23-001556 · form4-01302023_090138.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,200

Underlying: Common Stock · 16,200 shares

Expires 2033-01-26

F2 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments beginning on February 26, 2023, subject to the reporting person's continued service with the Issuer.

SEC source: 0001415889-23-001556 · form4-01302023_090138.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,044

F1 · shares: Represents the grant of restricted stock units (RSUs). The RSUs vest in full on January 26, 2024, subject to the reporting person's continued service with Marinus Pharmaceuticals, Inc. (the Issuer). Each RSU represents the right to receive one share of common stock of the Issuer.

SEC source: 0001209191-22-048515 · doc4.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2032-08-31

F2 · derivative.exercise_date: One third of the aggregate amount of option shares shall vest on each of August 31, 2023, 2024 and 2025, respectively.

SEC source: 0001209191-22-048515 · doc4.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,066

F1 · shares: Represents restricted stock units ("RSUs") granted on August 31, 2022. One hundred percent (100%) of the total number of RSUs granted vest on the earlier of (i) June 22, 2023 or (ii) the date of the Company's 2023 Annual Meeting of Stockholders.

SEC source: 0001209191-22-038810 · doc4.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,066

F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer.

SEC source: 0001104659-22-070181 · tm2218213-5_4seq1.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 807

Underlying: Common Stock · 807 shares

Expires 2032-06-08

F3 · derivative.exercise_date: This option was granted on June 9, 2022 and vests in full on June 9, 2023, subject to the Reporting Person's continued service on the Issuer's board of directors through the vesting date and provided that the Reporting Person attends at least 75% of the board meetings held during the year of board service.

SEC source: 0001104659-22-070181 · tm2218213-5_4seq1.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,066

F1 · shares: These shares represent restricted stock units that were granted on June 9, 2022, which will vest and be settled in common stock on June 9, 2023, subject to the Reporting Person's continued service on the Issuer's board of directors through the vesting date and provided that the Reporting Person attends at least 75% of the board meetings held during the year of board service.

F2 · balance_after: On April 26, 2022, the Issuer completed a one-for-forty reverse stock split of the Issuer's common stock. This amount has been adjusted to give effect to this reverse stock split.

SEC source: 0001628280-22-015591 · wf-form4_165368271040719.xml · derivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,561

Underlying: Common Stock · 11,561 shares

Expires 2032-05-26

F1 · derivative.exercise_date: The awards vest in full on the earlier of (i) May 26, 2023 and (ii) the Issuer's next annual meeting of stockholders following May 26, 2022.

SEC source: 0001104659-22-012784 · tm225605-6_4seq1.xml · derivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,375

Underlying: Common Stock · 12,375 shares

Expires 2032-02-04

F2 · derivative.exercise_date: The option vests and becomes exercisable in 12 equal monthly installments beginning on March 4, 2022.

SEC source: 0001104659-22-012784 · tm225605-6_4seq1.xml · nonDerivative · entry 1

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,444

F1 · shares: Represents the grant of restricted stock units (RSUs). The RSUs vest in full on February 4, 2023, subject to the reporting person's continued service with Marinus Pharmaceuticals, Inc. (the Issuer). Each RSU represents the right to receive one share of common stock of the Issuer.

SEC source: 0001209191-21-042453 · doc4.xml · nonDerivative · entry 2

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,777

F2 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer.

SEC source: 0001209191-21-042453 · doc4.xml · derivative · entry 3

Fischer Seth H. Z. · CIK 0001573553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,804

Underlying: Common Stock · 67,804 shares

Expires 2031-06-17

F3 · derivative.exercise_date: One third of the aggregate amount of option shares shall vest on each of June 17, 2022, 2023 and 2024, respectively.