Fischel Nathan

SEC source: 0001493152-26-031534 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 720,775

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-26-000118 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 677,672

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001641172-25-017795 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 630,724

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-25-000099 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 587,056

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-24-025868 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 530,559

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-24-000117 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 477,084

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-23-023294 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 412,149

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-23-000122 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 364,530

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-22-018358 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,476

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-22-000299 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,949

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-21-016174 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-21-000287 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-20-012676 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-20-000226 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-19-009955 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control (as defined in the award documents).

SEC source: 0001493152-19-000101 · ownership.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control of the Company (as defined in the award documents).

SEC source: 0001289340-18-000065 · edgar.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control of the Company (as defined in the award documents).

SEC source: 0001289340-18-000041 · edgar.xml · derivative · entry 5

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 0

Underlying: Common Stock · 12,307,692 shares

Expires 2021-09-29

F1 · ownership.nature: Held by funds of which DAFNA Capital Management, LLC, a Delaware limited liability company, is the investment manager and general partner. Dr. Fischel is the Chief Executive Officer, of DAFNA Capital Management, LLC.

SEC source: 0001289340-18-000041 · edgar.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 13,680,554

F1 · ownership.nature: Held by funds of which DAFNA Capital Management, LLC, a Delaware limited liability company, is the investment manager and general partner. Dr. Fischel is the Chief Executive Officer, of DAFNA Capital Management, LLC.

SEC source: 0001289340-18-000041 · edgar.xml · derivative · entry 4

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 12,307,692

Underlying: Common Stock · 12,307,692 shares

Expires 2021-09-29

F2 · date: On February 28, 2018, the issuer and certain holders of outstanding warrants issued pursuant to the Stock Purchase Agreement dated September 26, 2016, including the reporting person, entered into an amendment to the warrants. The amendment provided that the exercise price of the warrants would be reduced for a limited period of time, provided that at least $6 million of warrants was exercised during the limited period. This condition was satisfied on March 1, 2018.

F3 · price: The transactions reported in the first two lines of Table II above report the amendment of the warrant to temporarily reduce the exercise price from $0.70 per share to $0.28 per share. The amendment is reported as the disposition of the old warrant and the acquisition of a new one. The amendment to the warrant was approved by a transaction committee consisting solely of independent directors for purposes of Rules 16b-3(d) and (e).

F1 · ownership.nature: Held by funds of which DAFNA Capital Management, LLC, a Delaware limited liability company, is the investment manager and general partner. Dr. Fischel is the Chief Executive Officer, of DAFNA Capital Management, LLC.

SEC source: 0001289340-18-000041 · edgar.xml · derivative · entry 3

Fischel Nathan · CIK 0001389932 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote 1

Disclosed balance after: 0

Underlying: Common Stock · 12,307,692 shares

Expires 2021-09-29

F2 · date: On February 28, 2018, the issuer and certain holders of outstanding warrants issued pursuant to the Stock Purchase Agreement dated September 26, 2016, including the reporting person, entered into an amendment to the warrants. The amendment provided that the exercise price of the warrants would be reduced for a limited period of time, provided that at least $6 million of warrants was exercised during the limited period. This condition was satisfied on March 1, 2018.

F3 · price: The transactions reported in the first two lines of Table II above report the amendment of the warrant to temporarily reduce the exercise price from $0.70 per share to $0.28 per share. The amendment is reported as the disposition of the old warrant and the acquisition of a new one. The amendment to the warrant was approved by a transaction committee consisting solely of independent directors for purposes of Rules 16b-3(d) and (e).

F1 · ownership.nature: Held by funds of which DAFNA Capital Management, LLC, a Delaware limited liability company, is the investment manager and general partner. Dr. Fischel is the Chief Executive Officer, of DAFNA Capital Management, LLC.

SEC source: 0001289340-18-000015 · edgar.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control of the Company (as defined in the award documents).

SEC source: 0000950138-17-000533 · edgar.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,500

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest on the earliest to occur of (i) the fifth anniversary of the date of the award, (ii) the date on which the service of the director on the board of directors terminates, or (iii) a Change of Control of the Company (as defined in the award documents).

SEC source: 0000950138-17-000113 · edgar.xml · nonDerivative · entry 1

Fischel Nathan · CIK 0001389932 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Grant of restricted share units. Each restricted share unit represents a right to receive one share of common stock. The restricted share units vest over a period of two (2) years with 50% vesting on the first anniversary of the date of the grant and the remaining 50% vesting on the second anniversary of the date of the grant.