Dasu Badri N

SEC source: 0001310803-26-000003 · form4-04032026_100455.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,440

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001310803-26-000002 · form4-02212026_010213.xml · nonDerivative · entry 3

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,884

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001310803-26-000002 · form4-02212026_010213.xml · derivative · entry 4

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2036-02-11

F3 · derivative.exercise_date: On February 12, 2026, the reporting person was granted an option to purchase 200,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001310803-26-000002 · form4-02212026_010213.xml · nonDerivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,230

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 12, 2027, February 12, 2028 and February 12, 2029.

SEC source: 0001310803-26-000002 · form4-02212026_010213.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,230

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001415889-25-009953 · form4-04032025_080409.xml · derivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2035-04-01

F2 · derivative.exercise_date: On April 2, 2025, the reporting person was granted an option to purchase 80,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001415889-25-009953 · form4-04032025_080409.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,011

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on April 2, 2026, April 2, 2027 and April 2, 2028.

SEC source: 0001415889-25-004443 · form4-02182025_090249.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,011

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001415889-25-003724 · form4-02122025_090208.xml · nonDerivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,655

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001415889-25-003724 · form4-02122025_090208.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,535

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-004246 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,414

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-004044 · doc4.xml · derivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,000

Underlying: Common Stock · 88,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: On February 14, 2024, the reporting person was granted an option to purchase 88,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-24-004044 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,820

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 14, 2025, February 14, 2026 and February 14, 2027.

SEC source: 0001209191-24-003308 · doc4.xml · nonDerivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,153

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-003308 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,962

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-016330 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,771

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009127 · doc4.xml · nonDerivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,169

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009127 · doc4.xml · derivative · entry 3

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,250

Underlying: Common Stock · 29,250 shares

Expires 2033-02-09

F4 · derivative.exercise_date: On February 10, 2023, the reporting person was granted an option to purchase 29,250 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-23-009127 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,945

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 10, 2024, February 10, 2025 and February 10, 2026.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-23-007818 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,070

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes non-reportable acquisition of 500 shares of Common Stock through the Company's Employee Stock Purchase Plan.

F4 · balance_after: Reflects a 1-for-20 reverse stock split which became effective on October 25, 2022.

SEC source: 0001209191-22-016248 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,595

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes non-reportable acquisition of 10,000 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-22-009349 · doc4.xml · derivative · entry 3

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,000

Underlying: Common Stock · 195,000 shares

Expires 2032-02-11

F4 · derivative.exercise_date: On February 11, 2022, the reporting person was granted an option to purchase 195,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-22-009349 · doc4.xml · nonDerivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,207

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-22-009349 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,822

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 11, 2023, February 11, 2024 and February 11, 2025.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-22-007634 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,322

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes non-reportable acquisition of 6,395 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-21-018154 · doc4.xml · derivative · entry 3

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2031-03-03

F5 · derivative.exercise_date: On March 3, 2021, the Reporting Person was granted performance options subject to the satisfaction of share price targets over a performance period from March 3, 2021 to December 31, 2024 (the "Performance Period"), as determined by the Compensation Committee (the "Committee") of the Company's Board of Directors.

F6 · derivative.exercise_date: The performance options shall be earned as follows: (i) 33% of the performance options if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $4.00, (ii) an additional 33% of the performance options if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $5.00, and (iii) 34% of the performance options if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $6.00. Once earned, the performance options will vest on the one-year anniversary of the date on which the Committee certified achievement of an applicable price target, so long as the reporting person remains in continuous service through such applicable vesting date.

SEC source: 0001209191-21-018154 · doc4.xml · derivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-03-03

F4 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the date of grant and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-21-018154 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,757

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on March 3, 2022, March 3, 2023 and March 3, 2024.

F3 · balance_after: Balance includes the acquisition of 10,000 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-21-010353 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,757

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-21-008815 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,532

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes acquisition of 1,265 shares of Common Stock through the Company's Employee Stock Purchase Plan and reflects the correction of the overreporting of 541 ESPP shares purchased on August 31, 2016.

SEC source: 0001209191-20-009168 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,654

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-20-007741 · doc4.xml · derivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-02-06

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the grant date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-20-007741 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,267

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 6, 2021, February 6, 2022 and February 6, 2023.

SEC source: 0000899243-19-026514 · doc4.xml · derivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,250

Underlying: Common Stock · 31,625 shares

Expires 2028-11-02

F1 · derivative.exercise_date: On April 7, 2018, the reporting person was granted a performance-based option to purchase 63,250 shares of common stock, subject to the Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019. Once the performance criteria is achieved, the option vests in two equal installments with 50% of the option vesting upon the Company's achievement of the performance criteria and the remaining 50% of the option vesting on the one-year anniversary of the date of such achievement, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 31,625 shares on that date. On November 2, 2019, the remaining balance of the option vested.

SEC source: 0001209191-19-015629 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,267

F1 · balance_after: Balance includes non-reportable acquisition of 9,206 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-19-009820 · doc4.xml · derivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-02-11

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-19-009820 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,061

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 11, 2020, February 11, 2021 and February 11, 2022.

SEC source: 0001209191-18-057252 · doc4.xml · derivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,625

Underlying: Common Stock · 31,625 shares

Expires 2028-11-02

F1 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 63,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 31,625 shares.

SEC source: 0001209191-18-055123 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,061

F1 · kind: Shares sold pursuant to a 10b5-1 plan.

SEC source: 0000899243-18-023791 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,412

F1 · kind: These shares were acquired under the Company's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d)and Rule 16b-3(c).

SEC source: 0001437749-18-001230 · rdgdoc.xml · derivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,000 shares

Expires 2028-01-21

F2 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F1 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0000899243-17-024533 · doc4.xml · derivative · entry 2

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2017-10-25

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.

F2 · derivative.exercise_date: Fully vested.

SEC source: 0000899243-17-024533 · doc4.xml · nonDerivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,390

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 · balance_after: Balance includes non-reportable acquisition of 14,360 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001437749-17-002065 · rdgdoc.xml · derivative · entry 1

Dasu Badri N · CIK 0001310803 · Chief Engineering Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,500

Underlying: Common Stock · 79,500 shares

Expires 2028-02-06

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date (February 7, 2017) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.