Bleichroeder LP

SEC source: 0001781002-22-000027 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 603,351

F1 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-22-000003 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,283,162

F1 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-22-000002 · primary_doc.xml · derivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 454,546 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F1 · derivative.exercise_date: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F1 · derivative.expiration_date: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-22-000002 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 908,162

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

F1 · price: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-21-000020 · primary_doc.xml · derivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,500

Underlying: Common Stock · 454,546 shares

Expires not disclosed

F1 · derivative.exercise_price: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F1 · derivative.exercise_date: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F1 · derivative.expiration_date: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes.

SEC source: 0001781002-20-000034 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,414,656

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions. Prices ranged from $1.65 to $1.735 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 16,036,514 shares and 21 April Fund, LP owns 4,718,700 shares respectively of these 26,414,656 shares reported in this form

SEC source: 0001781002-20-000032 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 26,664,656

F1 · shares: The transaction reported herein was entered into in error. In addition, the sale by the reporting person of 39,388 shares of Issuer's common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the purchase by the reporting person of 39,388 shares of the Issuer's common stock on February 6, 2020 as reported in a prior Form 4 filing. Pursuant to a settlement agreement with the Issuer, the reporting person has paid to the issuer $34,588.00, representing the full amount of the profit realized in connection with the short-swing transaction.

F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions. Prices ranged from $2.50 to $2.511 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 16,036,514 shares and 21 April Fund, LP owns 4,718,700 shares respectively of these 26,664,656 shares reported in this form.

SEC source: 0001781002-20-000031 · primary_doc.xml · derivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires not disclosed

F1 · security: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · derivative.exercise_price: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · kind: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · shares: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · price: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · derivative.exercise_date: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · derivative.expiration_date: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · derivative.underlying_shares: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F1 · balance_after: On May 5, 2020, 21 April Fund, Ltd., 21 April Fund, LP and Identiv, Inc. (the "Issuer") entered into an agreement under which 21 April Fund, Ltd. purchased from the Issuer a secured subordinated promissory note in a principal amount of $2,800,000 and a warrant to purchase 192,500 shares of the Issuer's common stock at a per share exercise price of $3.50, and 21 April Fund LP purchased from the Issuer a secured subordinated promissory note in a principal amount of $1,200,000 and a warrant to purchase 82,500 shares of the Issuer's common stock at a per share exercise price of $3.50. 21 April Fund, Ltd. and 21 April Fund, LP may exercise these warrants in whole or in part at any time prior to the third anniversary of the issuance date, which expiration date is subject to extension in the event that the promissory notes are not fully repaid when due.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns warrants to acquire 192,500 shares and 21 April Fund, LP owns warrants to acquire 82,500 shares respectively of these 275,000 shares reported in this form.

SEC source: 0001781002-20-000029 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,949,355

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions. On 03/26/2020, prices ranged from $4.35 to $4.47 per share, inclusive. On 03/27/2020, prices ranged from $4.00 to $4.2525 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 3,322,615 shares and 21 April Fund, LP owns 851,137 shares respectively of these 4,949,355.00 shares reported in this form.

SEC source: 0001781002-20-000029 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,959,680

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions. On 03/26/2020, prices ranged from $4.35 to $4.47 per share, inclusive. On 03/27/2020, prices ranged from $4.00 to $4.2525 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 3,322,615 shares and 21 April Fund, LP owns 851,137 shares respectively of these 4,949,355.00 shares reported in this form.

SEC source: 0001781002-20-000028 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,196,389

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 03/16/2020, prices ranged from $2.495 to $2.56 per share, inclusive. On 03/17/2020, prices ranged from $2.53 to $2.55 per share, inclusive. On 03/18/2020, prices ranged from $2.245 to $2.39 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,561,404 shares and 21 April Fund, LP owns 439,985 shares respectively of these 2,196,389.00 shares reported in this form.

SEC source: 0001781002-20-000028 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,162,323

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 03/16/2020, prices ranged from $2.495 to $2.56 per share, inclusive. On 03/17/2020, prices ranged from $2.53 to $2.55 per share, inclusive. On 03/18/2020, prices ranged from $2.245 to $2.39 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,561,404 shares and 21 April Fund, LP owns 439,985 shares respectively of these 2,196,389.00 shares reported in this form.

SEC source: 0001781002-20-000028 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,143,989

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 03/16/2020, prices ranged from $2.495 to $2.56 per share, inclusive. On 03/17/2020, prices ranged from $2.53 to $2.55 per share, inclusive. On 03/18/2020, prices ranged from $2.245 to $2.39 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,561,404 shares and 21 April Fund, LP owns 439,985 shares respectively of these 2,196,389.00 shares reported in this form.

SEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 4

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,114,989

F3 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.085 to $4.15 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form.

SEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,109,488

F2 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.39 to $4.49 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form.

SEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,102,800

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.45 to $4.49 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form.

SEC source: 0001781002-20-000027 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,089,588

F4 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F5 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,520,704 shares and 21 April Fund, LP owns 399,285 shares respectively of these 2,114,989 shares reported in this form.

SEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,089,488

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form.

SEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,073,275

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form.

SEC source: 0001781002-20-000026 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,072,175

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/20/2020, prices ranged from $4.93 to $4.95 per share, inclusive. On 02/21/2020, prices ranged from $4.985 to $4.99 per share, inclusive. On 02/24/2020, prices ranged from $4.67 to $4.80 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts that directly hold these securities. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. 21 April Fund, Ltd. owns 1,502,853 shares and 21 April Fund, LP owns 391,635 shares respectively of these 2,089,488 shares reported in this form.

SEC source: 0001781002-20-000025 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 498,258

F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP ("Bleichroeder"), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000025 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 498,158

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $5.97 to $5.98 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP ("Bleichroeder"), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000025 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 496,958

F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP ("Bleichroeder"), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000005 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,704,044

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/04/2020, prices ranged from $1.68 to $1.71 per share, inclusive. On 02/05/2020, prices ranged from $1.675 to $1.70 per share, inclusive. On 02/06/2020, prices ranged from $1.605 to $1.69 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 5

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,066,339

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

SEC source: 0001781002-20-000005 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,629,044

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/04/2020, prices ranged from $1.68 to $1.71 per share, inclusive. On 02/05/2020, prices ranged from $1.675 to $1.70 per share, inclusive. On 02/06/2020, prices ranged from $1.605 to $1.69 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 5

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,066,339

F7 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.825 to $4.95 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 4

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,056,226

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,048,004

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

SEC source: 0001781002-20-000005 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 26,554,046

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. On 02/04/2020, prices ranged from $1.68 to $1.71 per share, inclusive. On 02/05/2020, prices ranged from $1.675 to $1.70 per share, inclusive. On 02/06/2020, prices ranged from $1.605 to $1.69 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 4

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,056,226

F6 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.805 to $4.88 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 3

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,048,004

F5 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.90 to $5.05 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,034,893

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

SEC source: 0001781002-20-000004 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,924,893

F1 · balance_after: Total amount of securities reported in item 5 does not includes previously reported 5,000,000 of Series B Convertible Preferred shares.

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 2

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,034,893

F4 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.795 to $5.10 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.

SEC source: 0001781002-20-000006 · primary_doc.xml · nonDerivative · entry 1

Bleichroeder LP · CIK 0001781002 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,924,893

F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $4.95 to $5.00 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

F2 · balance_after: Total amount of securities reported in item 5 does not include previously reported 5,000,000 of Series B Convertible Preferred shares.

F3 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP (Bleichroeder), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds and other managed accounts. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds and other managed accounts except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities.