Schneiderman Daniel H

SEC source: 0001213900-26-052259 · ownership.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,129,323

Underlying: Common Stock · 1,129,323 shares

Expires 2036-04-30

F1 · derivative.exercise_date: The option (the "Option") award was made in accordance with the terms of the Issuer's 2023 Stock Incentive Plan, as amended (the "Plan"). The shares of the Issuer's common stock, par value $0.0001 per share, underlying the Option will vest at the rate of 33% upon the one-year anniversary of the date of grant and the remaining shares will vest in equal quarterly installments thereafter for the next two years; provided, that the Reporting Person remains in continuous service to the Issuer through such vesting dates; provided further, that the shares underlying the Option will fully vest upon a Change in Control (as defined in the Plan). Additionally, all vested and exercisable shares underlying the Option held by the grantee may be exercised by the grantee for a period of up until three (3) years following termination of Continuous Service (as defined in the Plan), other than a termination for Cause (as defined in the Plan).

SEC source: 0001213900-25-116306 · ownership.xml · nonDerivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,667

SEC source: 0001213900-25-102681 · ownership.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 317,266

Underlying: Common Stock · 317,266 shares

Expires 2035-10-23

F1 · derivative.exercise_date: The option (the "Option") award was made in accordance with the terms of the Issuer's 2023 Stock Incentive Plan, as amended (the "Plan"). The shares of the Issuer's common stock, par value $0.0001 per share, underlying the Option will vest at the rate of 33% upon the one-year anniversary of the date of grant and the remaining shares will vest in equal quarterly installments thereafter for the next two years; provided, that the Reporting Person remains in continuous service to the Issuer through such vesting dates; provided further, that the shares underlying the Option will fully vest upon a Change in Control (as defined in the Plan). Additionally, all vested and exercisable shares underlying the Option held by the grantee may be exercised by the grantee for a period of up until three (3) years following termination of Continuous Service (as defined in the Plan), other than a termination for Cause (as defined in the Plan).

SEC source: 0001213900-24-019221 · ownership.xml · derivative · entry 2

Schneiderman Daniel H · CIK 0001565536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,927

Underlying: Common Stock · 5,927 shares

Expires 2034-02-28

F2 · derivative.exercise_date: The option award was made in accordance with the terms of the 2023 Plan. The option award fully vested upon issuance and became exercisable on March 1, 2024.

SEC source: 0001213900-24-019221 · ownership.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-02-28

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2023 Stock Incentive Plan (the "2023 Plan"). The shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), underlying the option award will vest at the rate of 33% upon the one-year anniversary of the date of grant and the remaining shares will vest in equal quarterly installments thereafter for the next two years; provided, that the Reporting Person remains in continuous service to the Issuer through such vesting date.

SEC source: 0001213900-24-030961 · ownership.xml · derivative · entry 2

Schneiderman Daniel H · CIK 0001565536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,927

Underlying: Common Stock · 5,927 shares

Expires 2034-02-28

F1 · derivative.exercise_price: The sole purpose of this Form 4/A is to correct the exercise price, which was previously reported erroneously as $8.34 per share. The correct exercise price, based upon the closing price of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), on March 1, 2024, was $8.13 per share.

F3 · derivative.exercise_date: The option award was made in accordance with the terms of the 2023 Plan. The option award fully vested upon issuance and became exercisable on March 1, 2024.

SEC source: 0001213900-24-030961 · ownership.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-02-28

F1 · derivative.exercise_price: The sole purpose of this Form 4/A is to correct the exercise price, which was previously reported erroneously as $8.34 per share. The correct exercise price, based upon the closing price of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), on March 1, 2024, was $8.13 per share.

F2 · derivative.exercise_date: The option award was made in accordance with the terms of the Issuer's 2023 Stock Incentive Plan (the "2023 Plan"). The shares of Common Stock underlying the option award will vest at the rate of 33% upon the one-year anniversary of the date of grant and the remaining shares will vest in equal quarterly installments thereafter for the next two years; provided, that the Reporting Person remains in continuous service to the Issuer through such vesting date.

SEC source: 0001213900-22-063616 · ownership.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2032-10-11

F1 · derivative.exercise_date: The Reporting Person was granted 300,000 stock options. The stock options have a ten-year term and vest over three years, subject to Mr. Schneiderman remaining employed and in good standing, one-third vesting 12 months after the grant date, and the remainder vesting in equal tranches monthly for two years thereinafter.

SEC source: 0001140361-22-000298 · form4.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common stock, par value $0.0001 per share · 10,000 shares

Expires 2032-01-03

F1 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on the date of grant, conditioned on Mr. Schneiderman's continued employment by First Wave BioPharma, Inc. on the applicable vesting date.

SEC source: 0001415889-21-003429 · form4-07022021_020752.xml · derivative · entry 4

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock, par value $0.0001 per share · 250,000 shares

Expires 2031-06-30

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Schneiderman on July 16, 2020 covering an aggregate of 285,006 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F5 · derivative.exercise_date: The stock option vests (i) with respect to 79,860 shares immediately and (ii) with respect to 170,140 shares over a term of 2 years and 1 month in 25 equal monthly installments, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-21-003429 · form4-07022021_020752.xml · derivative · entry 3

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 per share · 250,000 shares

Expires 2030-07-15

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Schneiderman on July 16, 2020 covering an aggregate of 285,006 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F4 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

F4 · balance_after: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-21-003429 · form4-07022021_020752.xml · derivative · entry 2

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,006

Underlying: Common Stock, par value $0.0001 per share · 35,006 shares

Expires 2031-06-30

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Schneiderman on July 16, 2020 covering an aggregate of 285,006 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F3 · derivative.exercise_date: The stock option vests (i) with respect to 17,502 shares immediately and (ii) with respect to 17,504 shares over a term of 19 months in 19 equal monthly installments, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-21-003429 · form4-07022021_020752.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 per share · 35,006 shares

Expires 2030-07-15

F1 · kind: On June 30, 2021, the board of directors of AzurRx BioPharma, Inc. (the "Company") rescinded and cancelled stock option awards previously made to Mr. Schneiderman on July 16, 2020 covering an aggregate of 285,006 shares under the Company's Amended and Restated 2014 Omnibus Equity Incentive Plan and granted new stock options under the Company's 2020 Omnibus Equity Incentive Plan, as amended and restated, on substantially similar terms to the rescinded stock options.

F2 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

F2 · balance_after: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-20-001936 · form4-07202020_060720.xml · derivative · entry 3

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock, par value $0.0001 per share · 250,000 shares

Expires 2030-07-15

F4 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on August 16, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-20-001936 · form4-07202020_060720.xml · derivative · entry 2

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,006

Underlying: Common Stock, par value $0.0001 per share · 35,006 shares

Expires 2030-07-15

F1 · kind: On July 16, 2016, the board of directors of AzurRx BioPharma, Inc. (the "Company") determined to amend and restate a stock option award previously made to Mr. Schneiderman on January 2, 2020, to reduce the amount of shares of the Company's common stock, par value $0.0001 per share (the "Common Stock"), issuable upon exercise of such option to be the maximum number of shares Mr. Schneiderman was eligible to receive under the Company's 2014 Omnibus Equity Incentive Plan (the "Plan") on the original grant date (or 300,000 shares), due to certain limitations relating to Section 162(m) of the Internal Revenue Code that have since been eliminated from the Plan. Mr. Schneiderman was simultaneously awarded a replacement stock option covering the balance of shares intended to be issued at that time (or 35,006 shares).

F3 · derivative.exercise_date: The stock option was accelerated to vest in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-20-001936 · form4-07202020_060720.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock, par value $0.0001 per share · 35,006 shares

Expires 2030-01-02

F1 · kind: On July 16, 2016, the board of directors of AzurRx BioPharma, Inc. (the "Company") determined to amend and restate a stock option award previously made to Mr. Schneiderman on January 2, 2020, to reduce the amount of shares of the Company's common stock, par value $0.0001 per share (the "Common Stock"), issuable upon exercise of such option to be the maximum number of shares Mr. Schneiderman was eligible to receive under the Company's 2014 Omnibus Equity Incentive Plan (the "Plan") on the original grant date (or 300,000 shares), due to certain limitations relating to Section 162(m) of the Internal Revenue Code that have since been eliminated from the Plan. Mr. Schneiderman was simultaneously awarded a replacement stock option covering the balance of shares intended to be issued at that time (or 35,006 shares).

F2 · derivative.exercise_date: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

F2 · balance_after: The stock option vests in 36 equal monthly installments over a term of three (3) years beginning on February 3, 2020, conditioned on Mr. Schneiderman's continued employment by the Company on the applicable vesting date.

SEC source: 0001415889-20-000092 · form4-01092020_040101.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,006

Underlying: Common Stock · 335,006 shares

Expires 2030-01-02

F1 · price: Options granted in connection with the Reporting Person's appointment as Chief Financial Officer of the Issuer. The options will vest in three equal annual installments commencing on the first anniversary of the grant date, becoming fully vested on January 2, 2023.

F1 · derivative.exercise_date: Options granted in connection with the Reporting Person's appointment as Chief Financial Officer of the Issuer. The options will vest in three equal annual installments commencing on the first anniversary of the grant date, becoming fully vested on January 2, 2023.

SEC source: 0001415889-18-000072 · form4-01172018_050105.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · VP OF FINANCE AND SECRETARY

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,962

Underlying: Common Stock · 76,962 shares

Expires 2028-01-12

F1 · kind: Reflects the issuance of 76,962 stock options with an exercise price of $0.93 per share approved by the board of directors on January 12, 2018 in connection with an annual performance review process for fiscal year 2017.

F2 · derivative.exercise_date: 25,654 shares vest on the first anniversary of the grant date on January 12, 2019, and then 2,138 shares (1/36) vest per month thereafter.

SEC source: 0001415889-17-000627 · form4-04062017_080426.xml · derivative · entry 1

Schneiderman Daniel H · CIK 0001565536 · VP OF FINANCE AND SECRETARY

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2027-04-04

F1 · kind: Reflects the issuance of 25,000 stock options with a strike price of $3.00 per share approved by the board of directors on April 4, 2017 in connection with an annual performance review process for 2016.

F1 · shares: Reflects the issuance of 25,000 stock options with a strike price of $3.00 per share approved by the board of directors on April 4, 2017 in connection with an annual performance review process for 2016.

F2 · derivative.exercise_date: 8,333 shares shall vest on the first anniversary of the grant date on April 4, 2018, and then 695 shares (1/36) vest per month thereafter.