Gupta Pramod

SEC source: 0001213900-26-059558 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,500

Underlying: Common Stock · 169,500 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents grant of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. The shares subject to the RSU award vest 1/3 on the anniversary of the grant date for 3 years, subject to the Reporting Person's continued service with the Issuer.

F1 · derivative.expiration_date: Represents grant of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. The shares subject to the RSU award vest 1/3 on the anniversary of the grant date for 3 years, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001213900-26-068919 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 169,500

Underlying: Common Stock · 169,500 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents grant of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. 23,542 shares vest upon grant and 4,708 shares vest monthly over 31 months beginning June 1, 2026, subject to the Reporting Person's continued service with the Issuer.

F1 · derivative.expiration_date: Represents grant of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. 23,542 shares vest upon grant and 4,708 shares vest monthly over 31 months beginning June 1, 2026, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001213900-25-069301 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,986

Underlying: Common Stock · 90,000 shares

Expires 2035-07-28

F1 · derivative.exercise_date: 22,500 of the stock options vest on July 28, 2026 and 1/36th of the remaining options vest at the end of each successive month thereafter.

SEC source: 0001213900-24-069039 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,119,862

Underlying: Common Stock · 81,750 shares

Expires 2034-08-12

F1 · derivative.exercise_date: 20,438 of the stock options vest on August 12, 2025 and 1/36th of the remaining options vest at the end of each successive month thereafter.

SEC source: 0001213900-24-033829 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,038,112

Underlying: Common Stock · 463,250 shares

Expires 2034-04-15

F1 · derivative.exercise_date: 115,813 of the stock options vest on the first anniversary of the date of grant and 1/36th of the remaining options vest at the end of each successive month thereafter.

SEC source: 0001213900-23-072252 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,574,862

Underlying: Common Stock · 1,355,000 shares

Expires 2033-08-28

F1 · derivative.exercise_date: 338,750 of the stock options vest on March 6, 2024 and 1/36th of the remaining options vest at the end of each successive month thereafter.

SEC source: 0001213900-23-056864 · ownership.xml · derivative · entry 5

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,110

Underlying: Series A-5 Convertible Preferred Stock · 46,110 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 · price: The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share.

F5 · derivative.expiration_date: The Tranche C Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Company's public disclosure of financial results for four (4) quarters of commercial sales of Renazorb following receipt of Transitional Drug Add-On Payment Adjustment approval for Renazorb, commencing with the first quarter in which the Company receives revenue from Centers for Medicare and Medicaid Services for Renazorb under the Transitional Drug Add-On Payment Adjustment.

SEC source: 0001213900-23-056864 · ownership.xml · derivative · entry 4

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,818

Underlying: Series A-4 Convertible Preferred Stock · 28,818 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 · price: The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share.

F4 · derivative.expiration_date: The Tranche B Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Company's announcement of receipt of Transitional Drug Add-On Payment Adjustment approval for Renazorb.

SEC source: 0001213900-23-056864 · ownership.xml · derivative · entry 3

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,700

Underlying: Series A-3 Convertible Preferred Stock · 31,700 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 · price: The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share.

F3 · derivative.expiration_date: The Tranche A Warrants issued to the reporting person as part of the units issued upon conversion of the Series A-1 Convertible Preferred Stock expire twenty-one (21) days following the Issuer's announcement of receipt of FDA approval for Renazorb.

SEC source: 0001213900-23-056864 · ownership.xml · derivative · entry 2

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

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

F2 · derivative.exercise_date: On July 11, 2023, the shares of Series A-1 Convertible Preferred Stock automatically converted into units consisting of (1) 41,845 shares of common stock, (2) a Tranche A Warrant to purchase 31,700 shares of Series A-3 Convertible Preferred Stock, (3) a Tranche B Warrant to purchase 28,818 shares of Series A-4 Convertible Preferred Stock and (4) a Tranche C Warrant to purchase 46,110 shares of Series A-5 Convertible Preferred Stock. The shares of Series A-1 Convertible Preferred Stock had no expiration date prior to conversion.

F2 · derivative.expiration_date: On July 11, 2023, the shares of Series A-1 Convertible Preferred Stock automatically converted into units consisting of (1) 41,845 shares of common stock, (2) a Tranche A Warrant to purchase 31,700 shares of Series A-3 Convertible Preferred Stock, (3) a Tranche B Warrant to purchase 28,818 shares of Series A-4 Convertible Preferred Stock and (4) a Tranche C Warrant to purchase 46,110 shares of Series A-5 Convertible Preferred Stock. The shares of Series A-1 Convertible Preferred Stock had no expiration date prior to conversion.

F2 · derivative.underlying_shares: On July 11, 2023, the shares of Series A-1 Convertible Preferred Stock automatically converted into units consisting of (1) 41,845 shares of common stock, (2) a Tranche A Warrant to purchase 31,700 shares of Series A-3 Convertible Preferred Stock, (3) a Tranche B Warrant to purchase 28,818 shares of Series A-4 Convertible Preferred Stock and (4) a Tranche C Warrant to purchase 46,110 shares of Series A-5 Convertible Preferred Stock. The shares of Series A-1 Convertible Preferred Stock had no expiration date prior to conversion.

SEC source: 0001213900-23-056864 · ownership.xml · nonDerivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,845

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: The reported securities were included within the units issued to the reporting person upon conversion of the Series A-1 Convertible Preferred Stock. The Series A-1 Convertible Preferred Stock converted into units at an exercise price of $0.49 per share.

SEC source: 0001213900-23-018968 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: The Conversion Price of the Series A-1 Preferred Stock is subject to adjustment as set forth in that certain of Designation of Preferences, Rights and Limitations of the Series A Convertible Voting Preferred Stock attached as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 6, 2023 (the "Certificate of Designation"). Capitalized terms that are used but not defined in this Form 4 have the meanings given to them in the Certificate of Designation.

F2 · derivative.exercise_date: The shares of Series A-1 Convertible Preferred Stock are not convertible until the stockholders of the Issuer approve the Proposals. Additionally, on the Automatic Conversion Date, as set forth in the Certificate of Designation, each share of Series A-1 Preferred Stock shall automatically convert into a unit consisting of (1) shares of Common Stock (or shares of Series A-2 Preferred Stock) equal to the quotient of (A) the Liquidation Preference divided by (B) the Conversion Price, (2) a Tranche A Warrant, (3) a Tranche B Warrant and (4) a Tranche C Warrant.

F3 · derivative.expiration_date: The shares of Series A-1 Convertible Preferred Stock have no expiration date.

F4 · derivative.expiration_date: The Tranche A Warrants are exercisable for Series A-3 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche B Warrants are exercisable for Series A-4 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche C Warrants are exercisable for Series A-5 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. All shares of Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock have no expiration date and are convertible into shares of Common Stock in accordance with the Certificate of Designation.

F2 · derivative.underlying: The shares of Series A-1 Convertible Preferred Stock are not convertible until the stockholders of the Issuer approve the Proposals. Additionally, on the Automatic Conversion Date, as set forth in the Certificate of Designation, each share of Series A-1 Preferred Stock shall automatically convert into a unit consisting of (1) shares of Common Stock (or shares of Series A-2 Preferred Stock) equal to the quotient of (A) the Liquidation Preference divided by (B) the Conversion Price, (2) a Tranche A Warrant, (3) a Tranche B Warrant and (4) a Tranche C Warrant.

F4 · derivative.underlying: The Tranche A Warrants are exercisable for Series A-3 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche B Warrants are exercisable for Series A-4 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche C Warrants are exercisable for Series A-5 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. All shares of Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock have no expiration date and are convertible into shares of Common Stock in accordance with the Certificate of Designation.

F2 · derivative.underlying_shares: The shares of Series A-1 Convertible Preferred Stock are not convertible until the stockholders of the Issuer approve the Proposals. Additionally, on the Automatic Conversion Date, as set forth in the Certificate of Designation, each share of Series A-1 Preferred Stock shall automatically convert into a unit consisting of (1) shares of Common Stock (or shares of Series A-2 Preferred Stock) equal to the quotient of (A) the Liquidation Preference divided by (B) the Conversion Price, (2) a Tranche A Warrant, (3) a Tranche B Warrant and (4) a Tranche C Warrant.

F4 · derivative.underlying_shares: The Tranche A Warrants are exercisable for Series A-3 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche B Warrants are exercisable for Series A-4 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche C Warrants are exercisable for Series A-5 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. All shares of Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock have no expiration date and are convertible into shares of Common Stock in accordance with the Certificate of Designation.

SEC source: 0001213900-22-074724 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,862

Underlying: Common Stock · 28,000 shares

Expires 2032-11-21

F1 · derivative.exercise_date: 7,000 of the stock options vest on first anniversary of the date of grant and 1/36th of the remaining options vest at the end of each successive month thereafter.

SEC source: 0001213900-21-038635 · ownership.xml · derivative · entry 1

Gupta Pramod · CIK 0001857927 · EVP, Pharmaceuticals and BD

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,862

Underlying: Common Stock · 34,884 shares

Expires 2031-07-15

F1 · derivative.exercise_date: The stock options vest equally over a period of three years from the date of grant.