KOVEN ANDREW I

SEC source: 0001104659-26-071471 · tm2617186-2_4seq1.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,339

F1 · shares: Represents a grant of restricted stock units issued to the Reporting Person under the Issuer's Amended and Restated 2022 Equity Incentive Plan, which vests on the earlier of June 8, 2027 or the day immediately prior to the Issuer's 2027 Annual Meeting of Stockholders, subject to the Reporting Person's continuing service on the applicable vesting date. In accordance with the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy (the "Policy"), the Reporting Person elected to defer receipt of the shares of common stock upon the vesting of the RSUs until the earlier of the date that is (i) immediately prior to a Change in Control (as described in the Policy), or (ii) within 60 days following the Reporting Person's retirement or other separation from service with the Issuer or death, whichever is earlier.

F2 · balance_after: The total number of securities beneficially owned has been adjusted to reflect the Issuer's completion of a 1-for-11 reverse stock split on December 4, 2025.

SEC source: 0001104659-25-064706 · tm2519510-2_4seq1.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,699

F1 · shares: Represents a grant of restricted stock units ("RSUs") issued to the Reporting Person under the Issuer's Amended and Restated 2022 Equity Incentive Plan, which vests on the earlier of June 30, 2026 or the day immediately prior to the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continuing service on the applicable vesting date. In accordance with the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy (the "Policy"), the Reporting Person elected to defer receipt of the shares of common stock upon the vesting of the RSUs until the earlier of the date that is (i) immediately prior to a Change in Control (as described in the Policy), or (ii) within 60 days following the Reporting Person's retirement or other separation from service with the Issuer or death, whichever is earlier.

SEC source: 0001415889-25-017611 · form4-06172025_080601.xml · derivative · entry 2

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,850

Underlying: Common Stock · 6,850 shares

Expires 2035-06-14

F3 · derivative.exercise_date: This option was granted on June 15, 2025 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 15, 2026 or (ii) the date of the first annual meeting of stockholders occurring in 2026.

SEC source: 0001415889-25-017611 · form4-06172025_080601.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,972

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 15, 2026 or (ii) the date of the first annual meeting of stockholders occurring in 2026.

F2 · balance_after: Includes 8,061 unvested RSUs.

SEC source: 0001415889-24-016570 · form4-06122024_080605.xml · derivative · entry 2

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,900

Underlying: Common Stock · 3,900 shares

Expires 2034-06-10

F3 · derivative.exercise_date: This option was granted on June 11, 2024 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024.

SEC source: 0001415889-24-016570 · form4-06122024_080605.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,922

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024.

F2 · balance_after: Includes 10,864 unvested RSUs.

SEC source: 0001104659-24-069786 · tm2416741-4_4seq1.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,552

F1 · shares: Represents a grant of restricted stock units ("RSUs") issued to the Reporting Person under the Issuer's 2022 Equity Incentive Plan, which vests on the earlier of June 7, 2025 or the day immediately prior to the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continuing service on the applicable vesting date. In accordance with the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy (the "Policy"), the Reporting Person elected to defer receipt of the shares of common stock upon the vesting of the RSUs until the earlier of the date that is (i) immediately prior to a Change in Control (as described in the Policy), or (ii) within 60 days following the Reporting Person's retirement or other separation from service with the Issuer or death, whichever is earlier.

F2 · balance_after: The total number of securities beneficially owned has been adjusted to reflect the Issuer's completion of a 1-for-8 reverse stock split on December 20, 2023.

SEC source: 0001104659-23-084992 · tm2321997-2_4seq1.xml · nonDerivative · entry 2

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

F1 · shares: Represents a grant of restricted stock units ("RSUs") issued to the reporting person under the Issuer's 2022 Equity Incentive Plan. Per the terms of the Amended and Restated Non-Employee Director Compensation Policy, the reporting person elected to defer receipt of the shares of common stock upon the vesting of the RSUs until the earlier of the date that is (i) immediately prior to a Change in Control (as described in the Policy), or (ii) within 60 days following the reporting person's retirement or other separation form service with the Issuer or death, whichever is earlier.

F3 · shares: Vests on the earlier of July 27, 2024 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-23-084992 · tm2321997-2_4seq1.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,500

F1 · shares: Represents a grant of restricted stock units ("RSUs") issued to the reporting person under the Issuer's 2022 Equity Incentive Plan. Per the terms of the Amended and Restated Non-Employee Director Compensation Policy, the reporting person elected to defer receipt of the shares of common stock upon the vesting of the RSUs until the earlier of the date that is (i) immediately prior to a Change in Control (as described in the Policy), or (ii) within 60 days following the reporting person's retirement or other separation form service with the Issuer or death, whichever is earlier.

F2 · shares: 50% of the RSUs vested immediately, and the remainder will vest in two equal installments on each subsequent anniversary of the date of grant, subject to continuing service.

SEC source: 0001415889-23-010288 · form4-06232023_080619.xml · derivative · entry 4

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,150

Underlying: Common Stock · 3,150 shares

Expires 2033-06-21

F6 · derivative.exercise_date: This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

SEC source: 0001415889-23-010288 · form4-06232023_080619.xml · derivative · entry 3

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,020

Underlying: Common Stock · 10,020 shares

Expires 2033-06-21

F5 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010288 · form4-06232023_080619.xml · nonDerivative · entry 2

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,172

F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

F4 · balance_after: Includes 12,172 unvested RSUs.

SEC source: 0001415889-23-010288 · form4-06232023_080619.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,772

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 10,772 unvested RSUs.

SEC source: 0001415889-23-009140 · form4-06022023_080632.xml · derivative · entry 5

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires 2032-06-15

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,197 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,000 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F7 · derivative.exercise_date: The cancelled option was granted on June 16, 2022 and provided for vesting as to 100% of the shares underlying the option on the earlier of (i) June 16, 2023 or (ii) the date of the first annual meeting following June 16, 2022.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009140 · form4-06022023_080632.xml · derivative · entry 4

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 420 shares

Expires 2029-06-04

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,197 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,000 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F6 · derivative.exercise_date: The cancelled option was granted on June 5, 2019 and provided for vesting with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009140 · form4-06022023_080632.xml · derivative · entry 3

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 259 shares

Expires 2028-06-11

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,197 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,000 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F5 · derivative.exercise_date: The cancelled option was granted on June 12, 2018 and provided for vesting in equal monthly installments until the one-year anniversary of the date of grant and was subject to vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009140 · form4-06022023_080632.xml · derivative · entry 2

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 518 shares

Expires 2027-09-28

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,197 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,000 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The cancelled option was granted on September 28, 2017 and provided for vesting with respect to 1/3rd of the shares on the first anniversary of the grant date and with respect to an additional 1/36th of the shares on each monthly anniversary thereafter and was subject to vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009140 · form4-06022023_080632.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,257

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,197 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,000 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 3,257 unvested or deferred RSUs.

SEC source: 0001415889-22-006749 · form4-06172022_040601.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: This option was granted on June 16, 2022 and will vest as to 100% of the shares underlying the option on the earlier of (i) June 16, 2023 or (ii) the date of the first annual meeting following June 16, 2022.

SEC source: 0001104659-22-070219 · tm2218193-1_4seq1.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: Vests on the earlier of June 9, 2023 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001596771-21-000049 · primary_doc.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-09-01

F1 · derivative.exercise_date: Vests in 36 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the 36-month anniversary of the date of grant.

SEC source: 0001415889-21-003121 · form4-06212021_050611.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 17, 2022 or (ii) the date of the first annual meeting following June 17, 2021.

F2 · balance_after: Includes 25,000 unvested RSUs.

SEC source: 0001104659-20-078287 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right two receive one share of the Issuer's common stock. Subject to the reporting person's continued service with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 25, 2021 or (ii) the date of the first annual meeting following June 25, 2020.

F2 · balance_after: Includes 28,000 unvested RSUs.

SEC source: 0001104659-19-034521 · a4.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2029-06-04

F1 · derivative.exercise_date: This option was granted on June 5, 2019 and vests with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-18-008527 · edgar.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001104659-18-038619 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · President & Chief Business Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,183,419

F1 · kind: This represents shares sold by the issuer on behalf of the reporting person pursuant to an instruction made in accordance with Rule 10b5-1 for payment of withholding tax liability incurred upon the vesting of 369,168 restricted stock units, which were previously granted on June 3, 2015 and which vested on June 3, 2018.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.3700 to $0.3803. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-18-033906 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · President & Chief Business Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,339,992

F1 · kind: This represents shares sold by the issuer on behalf of the reporting person pursuant to an instruction made in accordance with Rule 10b5-1 for payment of withholding tax liability incurred upon the vesting of 36,396 restricted stock units, which were previously granted on May 11, 2017 and which vested on May 11, 2018.

SEC source: 0001104659-18-019363 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · President & Chief Business Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,353,956

F1 · kind: This represents shares sold by the issuer on behalf of the reporting person pursuant to an instruction made in accordance with Rule 10b5-1 for payment of withholding tax liability incurred upon the vesting of 20,711 restricted stock units, which were previously granted on March 17, 2016 and which vested on March 17, 2018.

SEC source: 0001179110-17-012839 · edgar.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,920

Underlying: Common Stock · 25,920 shares

Expires 2027-09-28

F1 · derivative.exercise_date: This option was granted on September 28, 2017 and vests with respect to 1/3 of the shares on the first anniversary of the grant and with respect to an additional 1/36th of the shares on each monthly anniversary thereafter and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001104659-17-037755 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · President & Chief Business Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,363,695

F1 · kind: This represents shares sold by the issuer on behalf of the reporting person for payment of withholding tax liability incurred upon the vesting of 369,169 restricted stock units, which were previously granted on June 3, 2015 and which vested on June 3, 2017.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.2700 to $1.2900. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-17-032413 · a4.xml · derivative · entry 2

KOVEN ANDREW I · CIK 0001258673 · President & CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,158

Underlying: Common Shares, without par value · 126,158 shares

Expires 2027-05-11

F3 · derivative.exercise_date: The option vests as to 25% of the shares on May 11, 2018, and the remainder vests in substantially equal monthly installments over the 36 months immediately following such date, subject to continued employment or service to the Company.

SEC source: 0001104659-17-032413 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · President & CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,525,601

F1 · kind: Restricted Stock Units granted pursuant to the Aralez Pharmaceuticals Inc. 2016 Amended and Restated Long-Term Incentive Plan, which vest in substantially equal annual installments over the three years immediately following the date of grant, subject to continued employment or service to the Company.

F2 · balance_after: Includes 267,483 shares of Common Stock and 1,258,118 Restricted Stock Units.

SEC source: 0001104659-17-018599 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · President & Chief Business Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,416,411

F1 · kind: This represents shares sold by the issuer on behalf of the reporting person pursuant to an instruction made in accordance with Rule 10b5-1 for payment of withholding tax liability incurred upon the vesting of 20,710 restricted stock units, which were previously granted on March 17, 2016 and which vested on March 17, 2017.

F2 · price: This transaction was executed in two trades at prices of $2.4100 and $2.4101. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-17-017613 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · President & Chief Business Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,424,236

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.525 to $2.560. The price reported above 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 full information regarding the number of shares and prices at which the transaction was effected.