BAUM MARK L

SEC source: 0001493152-26-023321 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,996,130

F1 · price: The price reported in Column 4 is a weighted average purchase price. The shares were purchased in multiple transactions at prices ranging from $30.18 to $30.34, inclusive. The reporting person undertakes to provide to Harrow, Inc., any security holder of Harrow, Inc., 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: 0001493152-25-028036 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 180,000 shares

Expires 2026-04-01

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 · security: Represents stock options granted to Mr. Baum on April 1, 2016 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock options vested quarterly over a three-year period following the grant date. 79,994 shares were withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

F1 · derivative.exercise_date: Represents stock options granted to Mr. Baum on April 1, 2016 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock options vested quarterly over a three-year period following the grant date. 79,994 shares were withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-25-028036 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,986,130

SEC source: 0001493152-25-028036 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,066,124

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: 0001641172-25-020751 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,886,124

SEC source: 0001641172-25-020751 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,199,462

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: 0001641172-25-017376 · ownership.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 889,500

Underlying: Common Stock · 889,500 shares

Expires not disclosed

F1 · security: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2025 Stock Incentive and Awards Plan, (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a three-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $50 (causing the vesting of 124,530 PSU shares), $60 (causing the vesting of 186,795 PSU shares), $75 (causing the vesting of 257,955 PSU shares), $100 (causing the vesting of 320,220 PSU shares).

F1 · derivative.exercise_price: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2025 Stock Incentive and Awards Plan, (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a three-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $50 (causing the vesting of 124,530 PSU shares), $60 (causing the vesting of 186,795 PSU shares), $75 (causing the vesting of 257,955 PSU shares), $100 (causing the vesting of 320,220 PSU shares).

F1 · derivative.exercise_date: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2025 Stock Incentive and Awards Plan, (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a three-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $50 (causing the vesting of 124,530 PSU shares), $60 (causing the vesting of 186,795 PSU shares), $75 (causing the vesting of 257,955 PSU shares), $100 (causing the vesting of 320,220 PSU shares).

F1 · derivative.expiration_date: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2025 Stock Incentive and Awards Plan, (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a three-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $50 (causing the vesting of 124,530 PSU shares), $60 (causing the vesting of 186,795 PSU shares), $75 (causing the vesting of 257,955 PSU shares), $100 (causing the vesting of 320,220 PSU shares).

SEC source: 0001641172-25-003109 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,599,462

F1 · shares: The 762,300 shares of Harrow, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares upon vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on April 3, 2023. The PSUs vested on April 3, 2025 and were settled in full in shares of Harrow common stock (on a one-for-one basis) on April 7, 2025, following attainment of (i) a two-year service period, and (ii) the achievement of Harrow common stock price targets ranging from $25 - $50. The 300,363 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any market transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001641172-25-003109 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 762,300 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: The 762,300 shares of Harrow, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares upon vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on April 3, 2023. The PSUs vested on April 3, 2025 and were settled in full in shares of Harrow common stock (on a one-for-one basis) on April 7, 2025, following attainment of (i) a two-year service period, and (ii) the achievement of Harrow common stock price targets ranging from $25 - $50. The 300,363 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any market transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

F1 · derivative.exercise_date: The 762,300 shares of Harrow, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares upon vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on April 3, 2023. The PSUs vested on April 3, 2025 and were settled in full in shares of Harrow common stock (on a one-for-one basis) on April 7, 2025, following attainment of (i) a two-year service period, and (ii) the achievement of Harrow common stock price targets ranging from $25 - $50. The 300,363 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any market transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

F1 · derivative.expiration_date: The 762,300 shares of Harrow, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares upon vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on April 3, 2023. The PSUs vested on April 3, 2025 and were settled in full in shares of Harrow common stock (on a one-for-one basis) on April 7, 2025, following attainment of (i) a two-year service period, and (ii) the achievement of Harrow common stock price targets ranging from $25 - $50. The 300,363 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any market transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001641172-25-003109 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,899,825

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: The 762,300 shares of Harrow, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares upon vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on April 3, 2023. The PSUs vested on April 3, 2025 and were settled in full in shares of Harrow common stock (on a one-for-one basis) on April 7, 2025, following attainment of (i) a two-year service period, and (ii) the achievement of Harrow common stock price targets ranging from $25 - $50. The 300,363 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any market transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001493152-24-011071 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,137,525

F1 · security: These shares were purchased in multiple transactions at a price of $11.585. The reporting person undertakes to provide to Harrow, Inc. ("Harrow"), any security holder of Harrow, 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: 0001493152-24-007453 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 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 · security: The listed acquired 150,000 shares of Harrow, Inc. ("Harrow")_common stock represent restricted stock units (RSUs") granted to Mr. Baum on February 19, 2021 under the Issuer's 2017 Stock Incentive and Awards Plan, as amended. The RSUs vested after a three-year period following the award date. 59,836 shares of Harrow common stock listed as disposed were withheld from issuance by Harrow to satisfy Mr. Baum's payroll tax liability incident related to the vesting of the RSUs. Such withholding did not involve any market sales or other market transactions.

F1 · derivative.exercise_date: The listed acquired 150,000 shares of Harrow, Inc. ("Harrow")_common stock represent restricted stock units (RSUs") granted to Mr. Baum on February 19, 2021 under the Issuer's 2017 Stock Incentive and Awards Plan, as amended. The RSUs vested after a three-year period following the award date. 59,836 shares of Harrow common stock listed as disposed were withheld from issuance by Harrow to satisfy Mr. Baum's payroll tax liability incident related to the vesting of the RSUs. Such withholding did not involve any market sales or other market transactions.

F1 · derivative.expiration_date: The listed acquired 150,000 shares of Harrow, Inc. ("Harrow")_common stock represent restricted stock units (RSUs") granted to Mr. Baum on February 19, 2021 under the Issuer's 2017 Stock Incentive and Awards Plan, as amended. The RSUs vested after a three-year period following the award date. 59,836 shares of Harrow common stock listed as disposed were withheld from issuance by Harrow to satisfy Mr. Baum's payroll tax liability incident related to the vesting of the RSUs. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-24-007453 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,128,525

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 · security: The listed acquired 150,000 shares of Harrow, Inc. ("Harrow")_common stock represent restricted stock units (RSUs") granted to Mr. Baum on February 19, 2021 under the Issuer's 2017 Stock Incentive and Awards Plan, as amended. The RSUs vested after a three-year period following the award date. 59,836 shares of Harrow common stock listed as disposed were withheld from issuance by Harrow to satisfy Mr. Baum's payroll tax liability incident related to the vesting of the RSUs. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-24-007453 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,188,361

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: 0001493152-24-005371 · ownership.xml · derivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,400 shares

Expires 2024-02-10

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 · security: Represents stock options granted to Mr. Baum on February 10, 2014 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested quarterly over a three-year period following the grant date. The total exercise price for the options ($118,734) was paid in cash to the Issuer by Mr. Baum.

F1 · derivative.exercise_date: Represents stock options granted to Mr. Baum on February 10, 2014 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested quarterly over a three-year period following the grant date. The total exercise price for the options ($118,734) was paid in cash to the Issuer by Mr. Baum.

SEC source: 0001493152-24-005371 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,038,361

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: 0001493152-23-041691 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,022,961

F1 · price: These shares were purchased in a single transaction at a price of $8.1097.

SEC source: 0001493152-23-028832 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,015,461

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.01 to $17.06, inclusive. The reporting person undertakes to provide to Harrow Health, Inc. ("Harrow"), any security holder of Harrow, 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: 0001493152-23-025150 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 762,300 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: The 762,300 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 299,968 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

F1 · derivative.exercise_date: The 762,300 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 299,968 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

F1 · derivative.expiration_date: The 762,300 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 299,968 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001493152-23-025150 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,009,661

F1 · shares: The 762,300 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 299,968 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001493152-23-025150 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,309,629

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 762,300 shares of Harrow Health, Inc. ("Harrow") common stock listed in Table I as "Acquired" represent shares issued based on vesting of performance stock units ("PSUs") granted to Mr. Baum under Harrow's 2017 Stock Incentive and Awards Plan (the "Incentive Plan") on July 23, 2021. The PSUs were settled in full (on a one-for-one basis) on July 18, 2023, following attainment of total stockholder return targets ranging from 50% - 175 % following the date of the award. The 299,968 shares of Harrow common stock listed in Table I as "Disposed" were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld by the Company for payroll tax purposes from the same aforementioned 762,300 shares pursuant to the terms of the Incentive Plan.

SEC source: 0001493152-23-010886 · ownership.xml · derivative · entry 4

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 762,300

Underlying: Common Stock · 762,300 shares

Expires 2028-04-03

F3 · derivative.exercise_price: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 108,900 PSU shares), $35 (causing the vesting of 163,350 PSU shares), $45 (causing the vesting of 217,800 PSU shares), $50 (causing the vesting of 272,250 PSU shares).

F3 · derivative.exercise_date: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. The vesting of the PSUs (granted in lieu of service only stock option and restricted stock unit awards) require (i) a minimum of a two-year service period, and (ii) the achievement and maintenance of Harrow common stock price targets of $25 (causing the vesting of 108,900 PSU shares), $35 (causing the vesting of 163,350 PSU shares), $45 (causing the vesting of 217,800 PSU shares), $50 (causing the vesting of 272,250 PSU shares).

SEC source: 0001493152-23-010886 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 180,000 shares

Expires 2023-05-02

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

F2 · derivative.exercise_date: The stock option was granted on May 2, 2013 under the Issuers 2007 Stock Incentive and Awards Plan and the shares subject to the stock option became exercisable over a 3 year period, according to a quarterly vesting schedule following its grant date. The stock option had an expiration date of May 2, 2023.

SEC source: 0001493152-23-010886 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,547,329

F1 · security: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

F1 · shares: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-23-010886 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,664,962

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 · security: Shares withheld to satisfy the exercise price and tax liability incident to the exercise of the stock option. Such withholding did not involve any market sales or other market transactions.

SEC source: 0001493152-23-000190 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 88,000 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 · security: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

F1 · derivative.exercise_date: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

F1 · derivative.expiration_date: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

SEC source: 0001493152-23-000190 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,484,962

F1 · security: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

SEC source: 0001493152-23-000190 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,520,141

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 · security: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

F1 · price: The listed Acquired (as described in the table above) 88,000 shares of Harrow Health, Inc. ("Harrow") common stock represent restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2017 Stock Incentive and Awards Plan on January 2, 2020. The RSUs, which vested in full on January 2, 2023, the third-year anniversary of the grant of the same, settled as one share of common stock for each RSU. The listed Disposed (as described in the table above) 35,179 shares of Harrow common stock were not sold by Mr. Baum in any transaction; rather, they were shares of Harrow common stock withheld, by the Company, from the same aforementioned 88,000 RSU share issuance for payroll tax purposes only.

SEC source: 0001493152-22-036396 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,432,141

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.34 to $13.42, inclusive. The reporting person undertakes to provide to Harrow Health, Inc. ("Harrow"), any security holder of Harrow, 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: 0001493152-22-002006 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires 2022-01-25

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 · security: Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes.

F1 · derivative.exercise_date: Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes.

SEC source: 0001493152-22-002006 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,407,141

F1 · security: Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes.

SEC source: 0001493152-22-002006 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,478,547

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 · security: Represents stock options granted to Mr. Baum on January 25, 2012 under the Issuer's 2007 Stock Incentive and Awards Plan, as amended. The stock option vested 1/12 on a monthly basis over the one year period following the grant date. The Company withheld a total of 71,406 shares of common stock from issuance to Mr. Baum: (i) 36,014 shares withheld as consideration for the cashless exercise of the option; and (ii) an additional 35,392 shares withheld for payroll tax purposes.

SEC source: 0001493152-21-017686 · ownership.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 762,301

Underlying: Common Stock · 762,301 shares

Expires 2026-07-23

F1 · derivative.exercise_price: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

F1 · derivative.exercise_date: Represents performance-based restricted stock units ("PSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan, as amended (the "Plan"). Each PSU represents a contingent right to receive one share of common stock of the Issuer upon vesting. Vesting of the PSUs requires a minimum of a two-year service period and achievement of pre-determined total stockholder return-based performance targets ranging from a 50% - 250% increase during the term of the PSUs.

SEC source: 0001493152-21-009872 · ownership.xml · derivative · entry 3

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 850,000 shares

Expires 2021-04-25

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 · security: Represents remaining performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 334,129 shares of common stock were withheld from issuance to Mr. Baum for payroll tax purposes.

SEC source: 0001493152-21-009872 · ownership.xml · nonDerivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,353,547

F1 · security: Represents remaining performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 334,129 shares of common stock were withheld from issuance to Mr. Baum for payroll tax purposes.

SEC source: 0001493152-21-009872 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,687,676

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 · security: Represents remaining performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settled in one share of common stock for each RSU. 334,129 shares of common stock were withheld from issuance to Mr. Baum for payroll tax purposes.

SEC source: 0001493152-21-005005 · ownership.xml · derivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

Underlying: Common Stock · 200,000 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 · security: Represents performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

F1 · derivative.exercise_date: Represents performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

F1 · derivative.expiration_date: Represents performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

SEC source: 0001493152-21-005005 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 837,676

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 · security: Represents performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

F1 · price: Represents performance-based restricted stock units ("RSUs") granted to Mr. Baum under the Issuer's 2007 Stock Incentive and Awards Plan on April 25, 2016. The RSUs settle in one share of common stock for each RSU and provide for accelerated vesting based on pre-determined stock price-based performance targets during the term of the RSUs.

SEC source: 0001493152-21-004654 · ownership.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2024-02-19

F1 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Issuer's 2017 Stock Incentive and Awards Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant.

SEC source: 0001493152-20-010785 · ownership.xml · derivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2025-07-31

F1 · kind: The two reported transactions involve an amendment of an outstanding option to extend the term of the option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on July 31, 2015. The option provides for vesting in five installments based on the satisfaction of certain stock-price based performance targets during the term of such option.

F1 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option to extend the term of the option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on July 31, 2015. The option provides for vesting in five installments based on the satisfaction of certain stock-price based performance targets during the term of such option.

SEC source: 0001493152-20-010785 · ownership.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 600,000 shares

Expires 2020-07-31

F1 · kind: The two reported transactions involve an amendment of an outstanding option to extend the term of the option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on July 31, 2015. The option provides for vesting in five installments based on the satisfaction of certain stock-price based performance targets during the term of such option.

F1 · derivative.exercise_date: The two reported transactions involve an amendment of an outstanding option to extend the term of the option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on July 31, 2015. The option provides for vesting in five installments based on the satisfaction of certain stock-price based performance targets during the term of such option.

SEC source: 0001493152-20-004062 · ownership.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,400

Underlying: Common Stock · 27,400 shares

Expires 2030-03-11

F1 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on March 12, 2021.

SEC source: 0001493152-20-000270 · ownership.xml · derivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,000

Underlying: Common Stock · 88,000 shares

Expires 2023-01-02

F2 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant.

SEC source: 0001493152-20-000270 · ownership.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,500

Underlying: Common Stock · 217,500 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Represents stock options granted under the Issuer's 2017 Stock Incentive and Awards Plan (the "Plan"). The stock options vest in equal quarterly installments over a three-year period.

SEC source: 0001493152-20-000279 · ownership.xml · derivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,000

Underlying: Common Stock · 88,000 shares

Expires 2023-01-02

F2 · derivative.exercise_date: Represents restricted stock units ("RSUs") granted under the Plan. Each RSU represents a contingent right to receive one share of common stock of the Issuer upon the vesting and settlement of the RSU. The RSUs vest and settle in full on the third anniversary of the date of grant.

SEC source: 0001493152-20-000279 · ownership.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,500

Underlying: Common Stock · 217,500 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Represents stock options granted under the Issuer's 2017 Stock Incentive and Awards Plan (the "Plan"). The stock options vest in equal quarterly installments over a three-year period.

SEC source: 0001493152-19-018350 · ownership.xml · derivative · entry 2

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 156,000 shares

Expires 2019-12-23

F2 · security: On November 22, 2019, the Beadore Trust assigned the Purchase Warrants to the Four Tree Trust.

SEC source: 0001493152-19-018350 · ownership.xml · nonDerivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 598,126

F1 · ownership.nature: Total number of shares beneficially held by the Four Tree Trust dated June 3, 2019 (the "Four Tree Trust"), a trust through which Mr. Baum has voting and investment control over the securities. Mr. Baum, individually, and the Beadore Trust dated March 20, 2015 (the "Beadore Trust") assigned 442,126 shares of the Company's common stock to the Four Tree Trust.

SEC source: 0001209191-19-018109 · doc4.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2029-02-19

F1 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on February 20, 2020.

SEC source: 0001493152-19-002375 · ownership.xml · derivative · entry 1

BAUM MARK L · CIK 0001274282 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-02-19

F1 · derivative.exercise_date: Represents stock options granted under the Issuer's 2017 Stock Incentive and Awards Plan. The stock options vest in equal quarterly installments over a three year period.