Huang James

SEC source: 0001193125-26-253607 · ownership.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 13,310,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $2.37 to $2.52, inclusive. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

F2 · ownership.nature: Panacea Venture Healthcare Fund II, L.P. is the record holder of the Ordinary Shares reported herein. James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd., which is the general partner of Panacea Venture Healthcare Fund II, L.P. As a result, James Huang may be deemed to share beneficial ownership of the Ordinary Shares reported herein, but disclaims such beneficial ownership.

SEC source: 0001193125-26-217380 · ownership.xml · nonDerivative · entry 1

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,011,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.00 to $10.50, inclusive. The Reporting Person undertake to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

F2 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund II, L.P.

F3 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0001193125-26-138012 · ownership.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 13,160,000

F1 · ownership.nature: Panacea Venture Healthcare Fund II, L.P. is the record holder of the Ordinary Shares reported herein. James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd., which is the general partner of Panacea Venture Healthcare Fund II, L.P. As a result, James Huang may be deemed to share beneficial ownership of the Ordinary Shares reported herein, but disclaims such beneficial ownership.

SEC source: 0001193125-26-116060 · ownership.xml · derivative · entry 4

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 259,163 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.

F4 · derivative.exercise_date: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock.

F4 · derivative.expiration_date: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock.

F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P.

F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0001193125-26-116060 · ownership.xml · nonDerivative · entry 2

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 307,894

F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P.

F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0001193125-26-116060 · ownership.xml · nonDerivative · entry 1

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 307,899

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: Represents securities held by Panacea Opportunity Fund I, L.P.

F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0001193125-26-013358 · ownership.xml · nonDerivative · entry 1

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,324,446

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $5.9888 to $6.2838, inclusive. The Reporting Person undertake to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund II, L.P.

F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0001193125-25-304018 · ownership.xml · derivative · entry 4

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 259,163

Underlying: Common Stock · 48,737 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.

F4 · derivative.exercise_date: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock.

F4 · derivative.expiration_date: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock.

F4 · balance_after: The warrants are immediately exercisable and do not expire. Pursuant to the terms of the warrants, no portion of the warrants held by a holder may be exercised to the extent that, after giving effect to the attempted exercise, such holder, together with such holder's affiliates and any other person whose beneficial ownership of the Issuer's common stock would be aggregated with such holder's for the purposes of Section 13(d) of the Exchange Act, would beneficially own in excess of 19.99% of the outstanding common stock.

F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P.

F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0001193125-25-304018 · ownership.xml · nonDerivative · entry 2

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 48,736

F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P.

F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0001193125-25-304018 · ownership.xml · nonDerivative · entry 1

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 48,737

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: Represents securities held by Panacea Opportunity Fund I, L.P.

F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0000950170-25-110310 · ownership.xml · nonDerivative · entry 1

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,405,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $11.83 to $12.44, inclusive. The Reporting Person undertake to provide to the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth above.

F2 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund II, L.P.

F3 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0000950170-25-097087 · ownership.xml · nonDerivative · entry 1

Panacea Innovation Ltd · CIK 0002010692 · 10% owner

Huang James · CIK 0001573160 · Director · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,350,000

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund II, L.P.

F2 · ownership.nature: James Huang is the sole owner of Panacea Innovation Limited, which is the sole owner of Panacea Venture Healthcare Fund II GP Company, Ltd. ("Fund II GP") and Panacea Opportunity Fund I GP Company, Ltd. ("Opportunity Fund GP"), which are the general partners of Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P. As a result, each of the Reporting Persons may be deemed to share beneficial ownership of the securities held of record by Panacea Venture Healthcare Fund II, L.P. and Panacea Opportunity Fund I, L.P., but each disclaims such beneficial ownership.

SEC source: 0000899243-23-014916 · doc4.xml · derivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-06-05

F1 · derivative.exercise_date: One-twelfth of the shares underlying the option vest in equal monthly installments measured from June 6, 2023, with the first vesting occurring on July 6, 2023, subject to the Reporting Person's continued service through each such date.

SEC source: 0001213900-23-041169 · ownership.xml · derivative · entry 1

Orion Sponsor Holdings, LLC · CIK 0001847414 · 10% owner

Huang James · CIK 0001573160 · Director · Chief Executive Officer

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1

Underlying: Class A ordinary shares · 4,879,999 shares

Expires not disclosed

F1 · derivative.exercise_price: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023.

F1 · price: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023.

F1 · derivative.exercise_date: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023.

F1 · derivative.expiration_date: On April 21, 2023, the Issuer announced that it will not consummate an initial business combination within the time period required. Pursuant to the Issuer's Amended and Restated Memorandum and Articles of Association (the "Articles") and in connection with the winding up of the Issuer, the Class B ordinary shares, par value $0.0001, held by Orion Sponsor Holdings, LLC (the "Sponsor") were surrendered for no compensation on May 17, 2023.

F2 · ownership.direct: This Form 4 is being filed by the Sponsor. The Class B ordinary shares are held in the name of the Sponsor. The Sponsor is managed by a board of managers comprised of James Huang, John Phelan and Robert Platek, who control the Sponsor. Accordingly, Messrs. Huang, Phelan and Platek have voting and investment discretion with respect to the securities held by the Sponsor, and may be deemed to have beneficial ownership of the securities held directly by the Sponsor. Each of Messrs. Huang, Phelan and Platek disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 9

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,224,616

Underlying: Common Stock · 2,224,616 shares

Expires 2028-08-21

F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 8

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,112,308 shares

Expires 2023-02-22

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 7

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,112,308

Underlying: Common Stock · 1,112,308 shares

Expires 2023-02-22

F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 6

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 62,500 shares

Expires 2023-07-02

F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 5

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 498,008 shares

Expires 2023-12-24

F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 4

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 275,938 shares

Expires 2024-12-06

F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-23-005992 · doc4.xml · derivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 275,862 shares

Expires 2025-05-22

F2 · kind: Pursuant to a warrant exercise inducement offer letter, the Issuer and Panacea Healthcare agreed to amend the outstanding warrants held by Panacea Healthcare to lower the exercise price to $0.1411 and to issue Panacea Healthcare warrants to purchase an additional 2,224,616 shares of Common Stock, in exchange for Panacea Healthcare agreeing to immediately exercise the repriced warrants.

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-23-005992 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,449,161

F1 · ownership.nature: Represents securities held by Panacea Venture Healthcare Fund I L.P. ("Panacea Healthcare"), over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-030690 · doc4.xml · nonDerivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 371,517

F4 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $4.115 to $4.40. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-030690 · doc4.xml · nonDerivative · entry 2

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 338,217

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.9401 to $4.00. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-030690 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 335,106

F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.80 to $4.00. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-030336 · doc4.xml · nonDerivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 315,944

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-030336 · doc4.xml · nonDerivative · entry 2

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 315,544

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.71 to $3.75. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-030336 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 303,723

F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.69 to $3.75. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-029897 · doc4.xml · nonDerivative · entry 2

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 278,748

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.70 to $3.75. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-029897 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 239,221

F1 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-029564 · doc4.xml · nonDerivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 234,221

F4 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.46 to $3.50. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-029564 · doc4.xml · nonDerivative · entry 2

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 194,221

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.24 to $3.50. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-029564 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 171,116

F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $3.075 to $3.50. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: Represents securities held by Panacea Opportunity Fund I, L.P., over which the reporting person may be deemed to indirectly share beneficial ownership. The reporting person disclaims such beneficial ownership except to the extent of his pecuniary interest therein, if any.

SEC source: 0000899243-22-024006 · doc4.xml · derivative · entry 2

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments beginning on July 13, 2022.

SEC source: 0000899243-22-024006 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,333

SEC source: 0000899243-22-023988 · doc4.xml · derivative · entry 2

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments beginning on July 13, 2022.

SEC source: 0000899243-22-023988 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,333

SEC source: 0001437749-22-014716 · rdgdoc.xml · derivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-07

F3 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014716 · rdgdoc.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,281

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001104659-22-065283 · tm2214966d1_4seq1.xml · derivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,419

Underlying: Common Stock · 397,419 shares

Expires 2032-05-25

F1 · derivative.exercise_date: Stock option award will vest ratably quarterly to the end of the year.

SEC source: 0001437749-21-023912 · rdgdoc.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,281

F1 · price: The shares were purchased in multiple trades at prices ranging from $1.84 to $1.93. 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.

SEC source: 0001209191-21-054824 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,333

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.69 to $1.71 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001104659-21-081985 · tm2119809d2_4.xml · derivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,028

Underlying: Common Stock · 113,028 shares

Expires 2031-06-15

F1 · date: Stock option award will vest ratably quarterly to the end of the year.

F1 · derivative.exercise_date: Stock option award will vest ratably quarterly to the end of the year.

SEC source: 0001437749-21-015119 · rdgdoc.xml · derivative · entry 3

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

F3 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001437749-21-008134 · rdgdoc.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,000

F1 · price: The shares were purchased in multiple trades at prices ranging from $2.275 to $2.40. 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.

SEC source: 0001209191-21-030740 · doc4.xml · derivative · entry 2

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock · 62,500 shares

Expires 2031-03-03

F2 · derivative.exercise_date: 1/3rd of the shares underlying this option will vest on 4/4/2021, 5/4/2021 and 5/19/2021.

SEC source: 0001209191-21-030740 · doc4.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,333

F1 · shares: The shares will vest on 5/19/2021.

SEC source: 0001437749-21-002148 · rdgdoc.xml · derivative · entry 4

Huang James · CIK 0001573160 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-03

F3 · derivative.exercise_date: The stock options shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant date.

SEC source: 0001437749-20-021666 · rdgdoc.xml · nonDerivative · entry 1

Huang James · CIK 0001573160 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

F1 · price: The shares were purchased in multiple trades at prices ranging from $6.66 to $6.67. 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.

SEC source: 0001209191-20-043323 · doc4.xml · derivative · entry 1

Huang James · CIK 0001573160 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,178

Underlying: Common Stock · 119,178 shares

Expires 2030-07-20

F1 · derivative.exercise_date: The shares underlying this option will vest on July 20, 2022.