Jung Cassie

SEC source: 0001214659-26-011475 · marketforms-73943.xml · derivative · entry 3

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,587 shares

Expires 2027-06-08

SEC source: 0001214659-26-011475 · marketforms-73943.xml · nonDerivative · entry 2

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,833

F1 · shares: Represents the exercise for cash of a Common Stock Purchase Warrant issued to the Reporting Person on June 8, 2022 pursuant to a Securities Purchase Agreement dated June 6, 2022. The warrant became exercisable on December 8, 2022, expires on June 8, 2027, and has an exercise price of $0.96 per share.

F1 · price: Represents the exercise for cash of a Common Stock Purchase Warrant issued to the Reporting Person on June 8, 2022 pursuant to a Securities Purchase Agreement dated June 6, 2022. The warrant became exercisable on December 8, 2022, expires on June 8, 2027, and has an exercise price of $0.96 per share.

SEC source: 0001214659-26-005748 · marketforms-73070.xml · nonDerivative · entry 2

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 202,246

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Performance Stock Units ("PSUs") previously granted to the Reporting Person.

SEC source: 0001214659-26-003141 · marketforms-72467.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,980

F2 · shares: Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $4.17 to $4.32. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001214659-26-003141 · marketforms-72467.xml · derivative · entry 4

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2036-03-09

F4 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-26-003141 · marketforms-72467.xml · nonDerivative · entry 2

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 320,771

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-25-015048 · marketforms-71051.xml · derivative · entry 4

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2031-06-10

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 · kind: This is a scheduled exercise from 10b5-1 trading plan. 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 affected.

F3 · derivative.exercise_date: This option was granted on June 10, 2021 and is fully vested.

SEC source: 0001214659-25-015048 · marketforms-71051.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 240,771

F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4.

SEC source: 0001214659-25-015048 · marketforms-71051.xml · nonDerivative · entry 2

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 308,346

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 · kind: This is a scheduled exercise from 10b5-1 trading plan. 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 affected.

SEC source: 0001214659-25-013493 · marketforms-70687.xml · derivative · entry 6

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2032-08-05

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 · kind: This is a scheduled exercise from 10b5-1 trading plan. 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 affected.

F4 · derivative.exercise_date: This option was granted on August 5, 2022 and is fully vested.

SEC source: 0001214659-25-013493 · marketforms-70687.xml · derivative · entry 5

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2029-08-09

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 · kind: This is a scheduled exercise from 10b5-1 trading plan. 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 affected.

F3 · derivative.exercise_date: This option was granted on August 9, 2019 and is fully vested.

SEC source: 0001214659-25-013493 · marketforms-70687.xml · nonDerivative · entry 4

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 283,346

F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 Trading Plan previously adopted by the reporting person in this Form 4.

SEC source: 0001214659-25-013493 · marketforms-70687.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 345,526

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 · kind: This is a scheduled exercise from 10b5-1 trading plan. 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 affected.

SEC source: 0001214659-25-013493 · marketforms-70687.xml · nonDerivative · entry 2

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 320,526

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 · kind: This is a scheduled exercise from 10b5-1 trading plan. 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 affected.

SEC source: 0001214659-25-004227 · marketforms-68571.xml · nonDerivative · entry 5

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 295,526

F2 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

SEC source: 0001214659-25-004227 · marketforms-68571.xml · nonDerivative · entry 4

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 297,708

F2 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

SEC source: 0001214659-25-004227 · marketforms-68571.xml · derivative · entry 6

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2035-03-07

F3 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-25-004227 · marketforms-68571.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 305,705

F2 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

SEC source: 0001214659-25-004227 · marketforms-68571.xml · nonDerivative · entry 2

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 313,066

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-26-004595 · marketforms-72927.xml · derivative · entry 1

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2028-03-07

F1 · security: This Form 4 was filed late due to an inadvertent administrative oversight.

F2 · derivative.exercise_price: Each PSU represents a contingent right to receive one share of the Company's common stock. The PSUs measure performance from March 7, 2025 (Grant Date) through March 7, 2028 and, if earned, vest 100% on March 7, 2028. "Performance Price" means (i) the 30-day average Nasdaq closing price ending on the last day of the period from the Grant Date through the day before the second anniversary (First Pricing Period) and (ii) the highest 30-day average Nasdaq closing price during the period from the second through the third anniversary (Second Pricing Period).

F2 · derivative.exercise_date: Each PSU represents a contingent right to receive one share of the Company's common stock. The PSUs measure performance from March 7, 2025 (Grant Date) through March 7, 2028 and, if earned, vest 100% on March 7, 2028. "Performance Price" means (i) the 30-day average Nasdaq closing price ending on the last day of the period from the Grant Date through the day before the second anniversary (First Pricing Period) and (ii) the highest 30-day average Nasdaq closing price during the period from the second through the third anniversary (Second Pricing Period).

SEC source: 0001214659-24-019685 · marketforms-67449.xml · nonDerivative · entry 2

Jung Cassie · CIK 0001960154 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · by spouse IRA

Disclosed balance after: 0

F1 · shares: Shares owned by spouse who shares Ms. Jung's household. Ms. Jung disclaims beneficial ownership of the shares held by her spouse, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16(a) of the Securities Exchange Act of 1940, as amended, or for any other purpose.

SEC source: 0001214659-24-004390 · marketforms-65150.xml · nonDerivative · entry 4

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 237,754

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

SEC source: 0001214659-24-004390 · marketforms-65150.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 238,886

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

SEC source: 0001214659-24-017008 · marketforms-67098.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,066

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person. This amended Form 4 is being filed to revise the number of shares withheld by the issuer to satisfy tax withholding obligations originally reported on form 4 filed on March 12, 2024 .

SEC source: 0001214659-24-004304 · marketforms-65134.xml · derivative · entry 5

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,625

Underlying: Common Stock · 50,625 shares

Expires 2024-03-07

F4 · derivative.exercise_date: The options will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-24-004304 · marketforms-65134.xml · nonDerivative · entry 4

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,186

F3 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.

SEC source: 0001214659-23-010920 · marketforms-61883.xml · derivative · entry 1

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each performance-based stock unit ("PSU") represents a contingent right to receive one share of the Company's Common Stock. The PSUs have a Performance Period beginning on the Grant Date and ending on May 5, 2026 and, to the extent earned, will vest 100% on that date, subject to the grantee's continued employment or other service with the Company from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the Performance Period is subject to increase or decrease from 50% to up to 150%, based on the achievement of pre-established Performance Price metrics. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-23-006554 · marketforms-61238.xml · derivative · entry 1

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2026-05-05

F1 · derivative.exercise_price: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

F1 · derivative.exercise_date: Each Performance Stock Unit ("PSU") represents a contingent right to receive one share of Aquestive ("Company") common stock. The PSUs have a three-year Performance Period, and, to the extent earned, will vest 100% on the third anniversary of the grant date, subject to the grantee's continued employment or other service with the Company or any Subsidiary from the Grant Date through the last day of the Performance Period. The number of shares of Common Stock that will be earned at the end of the three-year Performance Period is subject to increase or decrease based on the results of the Performance Price. The Performance Price for these PSUs is defined as the 30-day average of the closing price of the Company shares as reported on the Nasdaq Stock Market immediately prior to and including the last calendar day of the Performance Period.

SEC source: 0001214659-24-004304 · marketforms-65134.xml · nonDerivative · entry 3

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 145,936

F1 · shares: Represents shares withheld by the Issuer to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain Restricted Stock Units ("RSUs") previously granted to the Reporting Person.

F2 · balance_after: The original Form 3, filed on 1/1/23, is being amended by this Form 4 amendment solely to correct an administrative error, which misreported the inclusion of shares vested that occurred on 3/10/22 as a total of 4,663 shares vested and owned when in fact 3,173 shares of the Issuer's common stock were owned, net of taxes withheld. As a result of this administrative error, the number of shares beneficially owned by the reporting person following the corrected transaction reflects a reduction in the number of shares reported as beneficially owned by the reporting person by 1,490 shares reflecting share withheld for the payment of taxes.

SEC source: 0001214659-23-003693 · marketforms-59531.xml · nonDerivative · entry 1

Jung Cassie · CIK 0001960154 · SVP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,747

F1 · shares: The Common Stock is represented by restricted stock which will vest in three annual installments with 25% on the 1st installment, 25% on the 2nd installment and 50% on the 3rd installment.