RAKIN KEVIN

SEC source: 0001213900-21-041712 · ownership.xml · nonDerivative · entry 6

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,247

F3 · shares: Represents a cashless exercise of outstanding stock options to purchase 10,000 shares of common stock. The reporting person received 8,023 shares of common stock and surrendered 1,977 shares of common stock underlying the stock option in payment of the exercise price.

SEC source: 0001213900-21-041712 · ownership.xml · nonDerivative · entry 5

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,224

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.

SEC source: 0001213900-21-041712 · ownership.xml · nonDerivative · entry 4

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,224

F2 · shares: Represents a cashless exercise of outstanding stock options to purchase 6,666 shares of common stock. The reporting person received 5,149 shares of common stock and surrendered 1,517 shares of common stock underlying the stock option in payment of the exercise price.

SEC source: 0001213900-21-041712 · ownership.xml · nonDerivative · entry 3

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,741

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.

SEC source: 0001213900-21-041712 · ownership.xml · nonDerivative · entry 2

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,075

F1 · shares: Represents a cashless exercise of outstanding stock options to purchase 5,697 shares of common stock. The reporting person received 4,014 shares of common stock and surrendered 1,683 shares of common stock underlying the stock option in payment of the exercise price.

SEC source: 0001213900-21-041712 · ownership.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,758

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.

SEC source: 0001104659-21-081583 · tm2119549-25_4seq1.xml · nonDerivative · entry 2

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,512

F4 · shares: Consists of restricted stock units ("RSUs"). Each RSU represents the right to receive one share of common stock upon vesting. The RSUs vest in equal annual installments over three years beginning on June 11, 2022, subject to Mr. Rakin's continued service through the applicable vesting date.

SEC source: 0001104659-21-081583 · tm2119549-25_4seq1.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,901,000

F1 · shares: Consists of (i) 100,000 shares of the Company's Class A common stock held by Mr. Rakin and the Kevin L. Rakin Irrevocable Trust, (ii) 601,000 shares of the Company's Class A common stock held by HighCape Partners QSI II Invest, L.P, (iii) 24,527 shares of the Company's Class A common stock held by HighCape Partners II, L.P. and

F2 · shares: (iv) 1,175,473 shares of the Company's Class A common stock held by HighCape Partners QP II, L.P. Mr. Rakin and Matt Zuga are the managing members of HighCape Capital II GP, LLC, which is the general partner of HighCape Partners II GP, L.P., which is the general partner of each of HighCape Partners QSI II Invest, L.P, HighCape Partners II, L.P. and HighCape Partners QP II, L.P., and as a result each may be deemed to share voting and investment discretion with respect to the common stock held by such entities. Mr. Rakin disclaims any beneficial ownership of the securities to be held by HighCape Partners QSI II Invest, L.P, HighCape Partners II, L.P. and HighCape Partners QP II, L.P. other than to the extent of any pecuniary interest he may have therein, directly or indirectly.

F3 · shares: In connection with the closing of the transactions (the "Business Combination") contemplated by the Business Combination Agreement, dated as of February 18, 2021, by and among HighCape Capital Acquisition Corp. ("HighCape"), Tenet Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of HighCape ("Merger Sub"), and Quantum-Si Incorporated, a Delaware corporation ("Quantum-Si"), pursuant to which Merger Sub merged with and into Quantum-Si (the "Merger"), with Quantum-Si surviving as a wholly-owned subsidiary of HighCape (which changed its name to "Quantum-Si Incorporated", the "Issuer"), these shares were purchased, at a price of $10.00 per share, in a private placement immediately prior to the closing of the Merger.

F1 · ownership.nature: Consists of (i) 100,000 shares of the Company's Class A common stock held by Mr. Rakin and the Kevin L. Rakin Irrevocable Trust, (ii) 601,000 shares of the Company's Class A common stock held by HighCape Partners QSI II Invest, L.P, (iii) 24,527 shares of the Company's Class A common stock held by HighCape Partners II, L.P. and

SEC source: 0001415889-21-002895 · form4-06092021_020617.xml · derivative · entry 2

HighCape Capital, L.P. · CIK 0001826279 · Director · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · Director · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 14,082

Underlying: Class A Common Stock · 14,082 shares

Expires 2031-06-06

F1 · derivative.exercise_date: This option was granted automatically under the Issuer's Non-Employee Director Compensation Program and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to Messrs. Rakin's and Zuga's, as applicable, continuing in service on the Issuer's board of directors through the applicable vesting date.

F3 · ownership.nature: Held by W. Matthew Zuga as non-employee member of the Issuer's board of directors

SEC source: 0001415889-21-002895 · form4-06092021_020617.xml · derivative · entry 1

HighCape Capital, L.P. · CIK 0001826279 · Director · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · Director · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 14,082

Underlying: Class A Common Stock · 14,082 shares

Expires 2031-06-06

F1 · derivative.exercise_date: This option was granted automatically under the Issuer's Non-Employee Director Compensation Program and vests and becomes exercisable on the earlier of (i) the day immediately preceding the date of the Issuer's first annual meeting following the date of grant and (ii) the first anniversary of the date of grant, subject to Messrs. Rakin's and Zuga's, as applicable, continuing in service on the Issuer's board of directors through the applicable vesting date.

F2 · ownership.nature: Held by Kevin L. Rakin as non-employee member of the Issuer's board of directors

SEC source: 0001213900-21-010094 · ownership.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-17

F1 · kind: The Stock Option will vest in 4 equal installments as follows: 3,750 shall vest on each of December 31, 2021, December 31, 2022, December 31, 2023 and December 31, 2024.

F1 · derivative.exercise_date: The Stock Option will vest in 4 equal installments as follows: 3,750 shall vest on each of December 31, 2021, December 31, 2022, December 31, 2023 and December 31, 2024.

SEC source: 0001104659-20-114637 · a4.xml · derivative · entry 7

HighCape Capital, L.P. · CIK 0001826279 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 7,655 shares

Expires 2027-03-01

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which in turn is the general partner of HighCape Partners GP, L.P., which in turn is the general partner of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which in turn is the general partner of HighCape Capital, L.P. Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P. and HighCape Partners QP, L.P., and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P.

F4 · ownership.nature: HighCape Partners QP, L.P. is the record holder of these securities.

SEC source: 0001104659-20-114637 · a4.xml · derivative · entry 6

HighCape Capital, L.P. · CIK 0001826279 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 4,062,451 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.

F6 · derivative.exercise_price: Each share of Series A preferred stock was automatically converted into 0.071659417 shares of Class A common stock upon the closing of the Issuer's initial public offering. In addition, immediately prior to the consummation of the Issuer's underwritten initial public offering of its Class A common stock, each holder of Series A preferred stockholders received, for each share of Series A preferred stock then held, 0.820876470 shares of Class A common stock (the quotient of $13.9549 divided by $17.00, the price per share of Class A common stock in such offering).

F6 · derivative.exercise_date: Each share of Series A preferred stock was automatically converted into 0.071659417 shares of Class A common stock upon the closing of the Issuer's initial public offering. In addition, immediately prior to the consummation of the Issuer's underwritten initial public offering of its Class A common stock, each holder of Series A preferred stockholders received, for each share of Series A preferred stock then held, 0.820876470 shares of Class A common stock (the quotient of $13.9549 divided by $17.00, the price per share of Class A common stock in such offering).

F6 · derivative.expiration_date: Each share of Series A preferred stock was automatically converted into 0.071659417 shares of Class A common stock upon the closing of the Issuer's initial public offering. In addition, immediately prior to the consummation of the Issuer's underwritten initial public offering of its Class A common stock, each holder of Series A preferred stockholders received, for each share of Series A preferred stock then held, 0.820876470 shares of Class A common stock (the quotient of $13.9549 divided by $17.00, the price per share of Class A common stock in such offering).

F1 · ownership.nature: Consists of (i) 43,255 shares of Class A common stock held by HighCape Partners, L.P.; (ii) 3,211,838 shares of Class A common stock held by HighCape Partners QP, L.P.; (iii) 499,145 shares of Class A common stock held by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Class A common stock held by HighCape Co-Investment Vehicle II, LLC and (v) 48,931 shares of Class A common stock held by HighCape Capital, L.P.

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which in turn is the general partner of HighCape Partners GP, L.P., which in turn is the general partner of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which in turn is the general partner of HighCape Capital, L.P. Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P. and HighCape Partners QP, L.P., and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P.

F3 · ownership.nature: In addition, Mr. Zuga is the managing member of each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC and may be deemed to beneficially own the securities held by such entities. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

SEC source: 0001104659-20-114637 · a4.xml · nonDerivative · entry 4

HighCape Capital, L.P. · CIK 0001826279 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 4,508,831

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which in turn is the general partner of HighCape Partners GP, L.P., which in turn is the general partner of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which in turn is the general partner of HighCape Capital, L.P. Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P. and HighCape Partners QP, L.P., and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P.

F3 · ownership.nature: In addition, Mr. Zuga is the managing member of each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC and may be deemed to beneficially own the securities held by such entities. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

F5 · ownership.nature: Consists of (i) 49,118 shares of Class A common stock held by HighCape Partners, L.P.; (ii) 3,652,355 shares of Class A common stock held by HighCape Partners QP, L.P.; (iii) 499,145 shares of Class A common stock held by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Class A common stock held by HighCape Co-Investment Vehicle II, LLC and (v) 48,931 shares of Class A common stock held by HighCape Capital, L.P.

SEC source: 0001104659-20-114637 · a4.xml · nonDerivative · entry 3

HighCape Capital, L.P. · CIK 0001826279 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 4,067,655

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which in turn is the general partner of HighCape Partners GP, L.P., which in turn is the general partner of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which in turn is the general partner of HighCape Capital, L.P. Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P. and HighCape Partners QP, L.P., and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P.

F3 · ownership.nature: In addition, Mr. Zuga is the managing member of each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC and may be deemed to beneficially own the securities held by such entities. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

F4 · ownership.nature: HighCape Partners QP, L.P. is the record holder of these securities.

SEC source: 0001104659-20-114637 · a4.xml · nonDerivative · entry 2

HighCape Capital, L.P. · CIK 0001826279 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 4,070,106

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which in turn is the general partner of HighCape Partners GP, L.P., which in turn is the general partner of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which in turn is the general partner of HighCape Capital, L.P. Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P. and HighCape Partners QP, L.P., and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P.

F3 · ownership.nature: In addition, Mr. Zuga is the managing member of each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC and may be deemed to beneficially own the securities held by such entities. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

F4 · ownership.nature: HighCape Partners QP, L.P. is the record holder of these securities.

SEC source: 0001104659-20-114637 · a4.xml · nonDerivative · entry 1

HighCape Capital, L.P. · CIK 0001826279 · 10% owner

HIGHCAPE PARTNERS, L.P. · CIK 0001598046 · 10% owner

HIGHCAPE PARTNERS QP, L.P. · CIK 0001598026 · 10% owner

HighCape Partners GP, LLC · CIK 0001819933 · 10% owner

HighCape Partners GP, L.P. · CIK 0001819932 · 10% owner

HighCape Co-Investment Vehicle I, LLC · CIK 0001819988 · 10% owner

HighCape Co-Investment Vehicle II, LLC · CIK 0001820044 · 10% owner

HighCape Capital, LLC · CIK 0001827500 · 10% owner

Zuga Matt · CIK 0001790214 · Director · 10% owner

RAKIN KEVIN · CIK 0001184421 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Footnote

Disclosed balance after: 4,062,451

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 · ownership.nature: Consists of (i) 43,255 shares of Class A common stock held by HighCape Partners, L.P.; (ii) 3,211,838 shares of Class A common stock held by HighCape Partners QP, L.P.; (iii) 499,145 shares of Class A common stock held by HighCape Co-Investment Vehicle I, LLC; (iv) 259,282 shares of Class A common stock held by HighCape Co-Investment Vehicle II, LLC and (v) 48,931 shares of Class A common stock held by HighCape Capital, L.P.

F2 · ownership.nature: Kevin Rakin and W. Matthew Zuga, members of Issuer's board of directors, are the managing members of HighCape Partners GP, LLC, which in turn is the general partner of HighCape Partners GP, L.P., which in turn is the general partner of each of HighCape Partners, L.P. and HighCape Partners QP, L.P. Mr. Rakin and Mr. Zuga are the managing members of HighCape Capital, LLC, which in turn is the general partner of HighCape Capital, L.P. Each of Mr. Rakin, Mr. Zuga, HighCape Partners GP, LLC and HighCape Partners GP, L.P. may be deemed to beneficially own the securities held by HighCape Partners, L.P. and HighCape Partners QP, L.P., and each of Mr. Rakin, Mr. Zuga and HighCape Capital, LLC may be deemed to beneficially own the securities held by HighCape Capital, L.P.

F3 · ownership.nature: In addition, Mr. Zuga is the managing member of each of HighCape Co-Investment Vehicle I, LLC and HighCape Co-Investment Vehicle II, LLC and may be deemed to beneficially own the securities held by such entities. Each of the reporting persons disclaims beneficial ownership of the securities held by the other reporting persons except to the extent of each reporting person's pecuniary interest therein, if any.

SEC source: 0001213900-20-000991 · ownership.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-01-08

F1 · derivative.exercise_date: The Stock Option will vest in 3 installments as follows: 6,666 shall vest on December 31, 2020, and 6,667 shall vest on each of December 31, 2021 and December 31, 2022.

SEC source: 0001213900-19-018200 · ownership.xml · derivative · entry 2

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-09-12

F1 · kind: The two reported transactions involved the cancellation of an outstanding option and the grant of a replacement option.

SEC source: 0001213900-19-006288 · ownership.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-04-10

SEC source: 0001213900-19-018200 · ownership.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2029-04-10

F1 · kind: The two reported transactions involved the cancellation of an outstanding option and the grant of a replacement option.

SEC source: 0000899243-19-003145 · doc4.xml · derivative · entry 8

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 111,111 shares

Expires 2021-11-22

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 per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F4 · ownership.nature: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · derivative · entry 7

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 33,333 shares

Expires 2021-11-22

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 per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F3 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · derivative · entry 6

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 33,333 shares

Expires 2021-11-22

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 per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F2 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · derivative · entry 5

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 173,076 shares

Expires 2023-10-10

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 per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

SEC source: 0000899243-19-003145 · doc4.xml · nonDerivative · entry 4

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 257,846

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 per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F4 · ownership.nature: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · nonDerivative · entry 3

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,666

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 per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F3 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · nonDerivative · entry 2

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,666

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 per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F2 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 418,639

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 per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

SEC source: 0000899243-18-026561 · doc4.xml · derivative · entry 5

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,076

Underlying: Common Stock · 173,076 shares

Expires 2023-10-10

F1 · price: The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.

SEC source: 0000899243-18-026561 · doc4.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,563

F1 · price: The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.

SEC source: 0000899243-18-017189 · doc4.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-06-14

F1 · derivative.exercise_date: This option vests and becomes exercisable with respect to 8.33% of the option shares for each one-month period following June 15, 2018.

SEC source: 0001213900-17-007162 · f4063017rakin_oramed.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,773

Underlying: Common Stock · 56,773 shares

Expires 2027-06-30

F1 · derivative.exercise_date: The Stock Option will vest in 4 installments as follows: 15,591 on each of December 31, 2017, December 31, 2018 and December 31, 2019, and 10,000 on December 31, 2020.

SEC source: 0000899243-17-016395 · doc4.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-06-12

F1 · derivative.exercise_date: This option vests and becomes exercisable with respect to 8.33% of the option shares for each one-month period following June 13, 2017.

SEC source: 0001213900-17-001490 · f4020917rakin_oramed.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,697

Underlying: Common Stock · 5,697 shares

Expires 2027-02-09

F1 · derivative.exercise_date: The Stock Option will vest immediately.

SEC source: 0000899243-16-035942 · doc4.xml · derivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-12-16

F1 · derivative.exercise_date: This option vests and becomes exercisable with respect to 8.33% of the option shares for each one-month period following June 22, 2016.

SEC source: 0001213900-16-019206 · f4120516rakin_oramedpharma.xml · nonDerivative · entry 2

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,061

F2 · price: This transaction was executed in multiple trades at prices ranging from $6.40 to $6.65. The price reported above in Column 4 of Table I reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer complete information regarding the number of shares and prices at which each of the individual transactions was effected.

SEC source: 0001213900-16-019206 · f4120516rakin_oramedpharma.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,761

F1 · price: This transaction was executed in multiple trades at prices ranging from $6.36 to $6.39. The price reported above in Column 4 of Table I reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer complete information regarding the number of shares and prices at which each of the individual transactions was effected.

SEC source: 0001213900-16-019147 · f4120116rakin_oramed.xml · nonDerivative · entry 2

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,461

F2 · price: This transaction was executed in multiple trades at prices ranging from $6.07 to $6.30. The price reported above in Column 4 of Table I reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer complete information regarding the number of shares and prices at which each of the individual transactions was effected.

SEC source: 0001213900-16-019147 · f4120116rakin_oramed.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,200

F1 · price: This transaction was executed in multiple trades at prices ranging from $6.00 to $6.15. The price reported above in Column 4 of Table I reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer complete information regarding the number of shares and prices at which each of the individual transactions was effected.

SEC source: 0000899243-16-034850 · doc4.xml · derivative · entry 6

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 88,998 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: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.exercise_date: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.expiration_date: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.underlying_shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F4 · ownership.nature: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-034850 · doc4.xml · derivative · entry 5

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 26,699 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: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.exercise_date: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.expiration_date: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.underlying_shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F3 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-034850 · doc4.xml · derivative · entry 4

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 26,699 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: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.exercise_date: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.expiration_date: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · derivative.underlying_shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F2 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-034850 · doc4.xml · nonDerivative · entry 3

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 228,196

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 · shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · price: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F4 · ownership.nature: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-034850 · doc4.xml · nonDerivative · entry 2

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 139,198

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 · shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · price: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F3 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-034850 · doc4.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 112,499

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 · shares: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F1 · price: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.

F2 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-030577 · doc4.xml · derivative · entry 9

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 177,777

Underlying: Common Stock · 111,111 shares

Expires not disclosed

F5 · derivative.exercise_date: The Common Stock Warrants are exercisable at any time on or after the date (the "Initial Exercise Date") that the Company's stockholders approve the transactions contemplated by that certain securities purchase agreement dated September 15, 2016 pursuant to which the warrants were issued through the close of business on the five year anniversary of the Initial Exercise Date.

F5 · derivative.expiration_date: The Common Stock Warrants are exercisable at any time on or after the date (the "Initial Exercise Date") that the Company's stockholders approve the transactions contemplated by that certain securities purchase agreement dated September 15, 2016 pursuant to which the warrants were issued through the close of business on the five year anniversary of the Initial Exercise Date.

F3 · ownership.nature: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-030577 · doc4.xml · derivative · entry 8

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,666

Underlying: Common Stock · 33,333 shares

Expires not disclosed

F5 · derivative.exercise_date: The Common Stock Warrants are exercisable at any time on or after the date (the "Initial Exercise Date") that the Company's stockholders approve the transactions contemplated by that certain securities purchase agreement dated September 15, 2016 pursuant to which the warrants were issued through the close of business on the five year anniversary of the Initial Exercise Date.

F5 · derivative.expiration_date: The Common Stock Warrants are exercisable at any time on or after the date (the "Initial Exercise Date") that the Company's stockholders approve the transactions contemplated by that certain securities purchase agreement dated September 15, 2016 pursuant to which the warrants were issued through the close of business on the five year anniversary of the Initial Exercise Date.

F2 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-030577 · doc4.xml · derivative · entry 7

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 33,333

Underlying: Common Stock · 33,333 shares

Expires not disclosed

F5 · derivative.exercise_date: The Common Stock Warrants are exercisable at any time on or after the date (the "Initial Exercise Date") that the Company's stockholders approve the transactions contemplated by that certain securities purchase agreement dated September 15, 2016 pursuant to which the warrants were issued through the close of business on the five year anniversary of the Initial Exercise Date.

F5 · derivative.expiration_date: The Common Stock Warrants are exercisable at any time on or after the date (the "Initial Exercise Date") that the Company's stockholders approve the transactions contemplated by that certain securities purchase agreement dated September 15, 2016 pursuant to which the warrants were issued through the close of business on the five year anniversary of the Initial Exercise Date.

F1 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-030577 · doc4.xml · derivative · entry 6

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 320.3911

Underlying: Common Stock · 88,998 shares

Expires not disclosed

F4 · derivative.exercise_price: The shares of Series A Convertible Preferred Stock have a stated value of $1,000 per share and will be convertible into shares of the Issuer's Common Stock, subject to certain conditions including the receipt of requisite stockholder approval pursuant to the Certificate of Designation governing the rights, preferences and privileges of the Series A Convertible Preferred Stock. The initial conversion price of $2.25 is subject to appropriate adjustment in the event of a stock split, stock dividend, combination, reclassification or other recapitalization affecting the Issuer's Common Stock

F4 · shares: The shares of Series A Convertible Preferred Stock have a stated value of $1,000 per share and will be convertible into shares of the Issuer's Common Stock, subject to certain conditions including the receipt of requisite stockholder approval pursuant to the Certificate of Designation governing the rights, preferences and privileges of the Series A Convertible Preferred Stock. The initial conversion price of $2.25 is subject to appropriate adjustment in the event of a stock split, stock dividend, combination, reclassification or other recapitalization affecting the Issuer's Common Stock

F4 · derivative.exercise_date: The shares of Series A Convertible Preferred Stock have a stated value of $1,000 per share and will be convertible into shares of the Issuer's Common Stock, subject to certain conditions including the receipt of requisite stockholder approval pursuant to the Certificate of Designation governing the rights, preferences and privileges of the Series A Convertible Preferred Stock. The initial conversion price of $2.25 is subject to appropriate adjustment in the event of a stock split, stock dividend, combination, reclassification or other recapitalization affecting the Issuer's Common Stock

F4 · derivative.expiration_date: The shares of Series A Convertible Preferred Stock have a stated value of $1,000 per share and will be convertible into shares of the Issuer's Common Stock, subject to certain conditions including the receipt of requisite stockholder approval pursuant to the Certificate of Designation governing the rights, preferences and privileges of the Series A Convertible Preferred Stock. The initial conversion price of $2.25 is subject to appropriate adjustment in the event of a stock split, stock dividend, combination, reclassification or other recapitalization affecting the Issuer's Common Stock

F4 · derivative.underlying_shares: The shares of Series A Convertible Preferred Stock have a stated value of $1,000 per share and will be convertible into shares of the Issuer's Common Stock, subject to certain conditions including the receipt of requisite stockholder approval pursuant to the Certificate of Designation governing the rights, preferences and privileges of the Series A Convertible Preferred Stock. The initial conversion price of $2.25 is subject to appropriate adjustment in the event of a stock split, stock dividend, combination, reclassification or other recapitalization affecting the Issuer's Common Stock

F3 · ownership.nature: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.