Grossman Adam S

SEC source: 0001140361-23-040322 · form4.xml · nonDerivative · entry 8

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,523,088

SEC source: 0001140361-23-040322 · form4.xml · nonDerivative · entry 7

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,113,075

F1 · price: Reflects the weighted average price of sales on August 15, 2023. The shares were sold in multiple transactions at prices ranging from $4.495 to $4.63, inclusive.

SEC source: 0001140361-23-040322 · form4.xml · nonDerivative · entry 6

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,623,544

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: 0001140361-23-040322 · form4.xml · nonDerivative · entry 5

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,040,320

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: 0001140361-23-040322 · form4.xml · nonDerivative · entry 4

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,690,320

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: 0001140361-23-040322 · form4.xml · nonDerivative · entry 3

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,290,320

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: 0001140361-23-040322 · form4.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,012,716

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: 0001140361-23-040322 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,735,585

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: 0001140361-23-033190 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,523,085

F1 · balance_after: Includes, as of the transaction date, (i) 573,695 RSUs granted on March 6, 2023 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 225,000 unvested RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and that will be settled into common stock upon vesting; (iii) 340,313 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs") which will vest in eight (8) equal quarterly installments over a period of two years following December 31, 2022, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date;

F2 · balance_after: (continued from footnote 1) (iv) 104,341 unvested RSUs granted on February 25, 2021, of which 91,575 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 12,766 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting;

F3 · balance_after: (continued from footnote 2) (v) 25,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (vi) 1,254,736 shares of common stock owned by the reporting person, which reflects prior purchases and the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-23-016458 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,543,139

F1 · balance_after: Includes, as of the transaction date, (i) 573,695 RSUs granted on March 6, 2023 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 225,000 unvested RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and that will be settled into common stock upon vesting; (iii) 397,032 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs") which will vest in eight (8) equal quarterly installments over a period of two years following December 31, 2022, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date;

F2 · balance_after: (continued from footnote 1) (iv) 104,341 unvested RSUs granted on February 25, 2021, of which 91,575 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 12,766 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting;

F3 · balance_after: (continued from footnote 2) (v) 25,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (vi) 1,218,071 shares of common stock owned by the reporting person, which reflects prior purchases and the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-23-010774 · form4.xml · nonDerivative · entry 5

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,560,992

F2 · balance_after: (continued from footnote 1) (iv) 104,341 unvested RSUs granted on February 25, 2021, of which 91,575 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 12,766 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting;

F3 · balance_after: (continued from footnote 2) (v) 25,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (vi) 1,179,206 shares of common stock owned by the reporting person, which reflects prior purchases and the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

F4 · balance_after: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.

SEC source: 0001140361-23-010774 · form4.xml · derivative · entry 8

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,147,385

Underlying: Common Stock · 1,147,385 shares

Expires 2033-03-06

F6 · derivative.exercise_date: The options vest over four years with 25% of the shares of common stock underlying the options vesting on the one year anniversary of the date of grant and the remaining 75% of such shares vesting monthly in equal installments over the next three years, becoming fully vested on March 6, 2027.

SEC source: 0001140361-23-010774 · form4.xml · nonDerivative · entry 4

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,584,599

F1 · shares: Includes, as of the transaction date, (i) 573,695 RSUs granted on March 6, 2023 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 225,000 unvested RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and that will be settled into common stock upon vesting; (iii) 453,750 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs") which will vest in eight (8) equal quarterly installments over a period of two years following December 31, 2022, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date;

SEC source: 0001140361-23-010774 · form4.xml · nonDerivative · entry 3

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,010,904

SEC source: 0001140361-23-010774 · form4.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,018,411

SEC source: 0001140361-23-010774 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,032,823

SEC source: 0001140361-23-000873 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,036,841

F1 · balance_after: Includes (i) 300,000 RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 453,750 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs") which will vest in eight (8) equal quarterly installments over a period of two years following December 31, 2022, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date;

F2 · balance_after: (continued from footnote 1) (iii) 162,893 unvested RSUs granted on February 25, 2021, of which 137,362 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 25,531 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting;

F3 · balance_after: (continued from footnote 2) (iv) 50,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (v) 1,070,198 shares of common stock owned by the reporting person, which reflects prior purchases and the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-22-045111 · form4.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,143,426

F1 · shares: Represents a purchase from the underwriters in the December 2022 public offering of the issuer.

F5 · ownership.nature: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.

SEC source: 0001140361-22-045111 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,203,708

F1 · shares: Represents a purchase from the underwriters in the December 2022 public offering of the issuer.

F2 · balance_after: Includes (i) 300,000 RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 907,500 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs"), of which (x) 50% of the Time Based RSUs shall vest on December 31, 2022 ("Initial Vesting Date") and (y) 50% of the Time-Based RSUs shall vest in eight (8) equal quarterly installments over a period of two years following the Initial Vesting Date, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date; (continued)

F3 · balance_after: (continued from prior footnote) (iii) 162,893 unvested RSUs granted on February 25, 2021, of which 137,362 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 25,531 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting; (continued)

F4 · balance_after: (continued from prior footnote) (iv) 50,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (v) 783,315 shares of common stock owned by the reporting person, which reflects prior purchases and the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-22-036164 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,188,725

F1 · balance_after: Includes (i) 300,000 RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 907,500 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs"), of which (x) 50% of the Time Based RSUs shall vest on December 31, 2022 ("Initial Vesting Date") and (y) 50% of the Time-Based RSUs shall vest in eight (8) equal quarterly installments over a period of two years following the Initial Vesting Date, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date; (iii) 162,893 unvested RSUs granted on February 25, 2021, of which 137,362 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's (continued)

F2 · balance_after: (continued from prior footnote) continued service as of the applicable vesting date and 25,531 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting; (iv) 50,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (v) 768,332 shares of common stock owned by the reporting person, which reflects previous purchases and prior net settlements upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-22-019215 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,290,040

F1 · balance_after: Includes (i) 300,000 RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 907,500 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs"), of which (x) 50% of the Time Based RSUs shall vest on December 31, 2022 ("Initial Vesting Date") and (y) 50% of the Time-Based RSUs shall vest in eight (8) equal quarterly installments over a period of two years following the Initial Vesting Date, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date; (iii) 330,412 unvested Milestone-Based RSUs granted on September 29, 2021, subject to milestone-based vesting conditions (the "Milestone-Based RSUs") established by the Board of Directors, upon the recommendation of the

F2 · balance_after: (continued from footnote 1) Compensation Committee of the Board of Directors, which shall become vested upon the achievement of $35 million in quarterly revenues in or before the fourth quarter of 2022 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date; (iv) 162,893 unvested RSUs granted on February 25, 2021, of which 137,362 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 25,531 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's

F3 · balance_after: (continued from footnote 2) continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting; (v) 50,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (vi) 539,234 shares of common stock owned by the reporting person, which reflects the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-22-011249 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,360,044

F1 · balance_after: Includes (i) 300,000 RSUs granted on March 7, 2022 that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date; (ii) 907,500 unvested Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs"), of which (x) 50% of the Time Based RSUs shall vest on December 31, 2022 ("Initial Vesting Date") and (y) 50% of the Time-Based RSUs shall vest in eight (8) equal quarterly installments over a period of two years following the Initial Vesting Date, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date; (iii) 577,665 unvested Milestone-Based RSUs granted on September 29, 2021, subject to milestone-based vesting conditions (the "Milestone-Based RSUs") established by the Board of Directors, upon the recommendation of the

F2 · balance_after: (continued from footnote 1) Compensation Committee of the Board of Directors, of which (x) 247,253 of the Milestone-Based RSUs shall become vested upon the achievement of a 15% gross margin on BIVIGAM without intermediates by the end of the fourth quarter of 2022, and (y) 330,412 of the Milestone-Based RSUs shall become vested upon the achievement of $35 million in quarterly revenues in or before the fourth quarter of 2022 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date; (iv) 162,893 unvested RSUs granted on February 25, 2021, of which 137,362 unvested RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 25,531 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting

F3 · balance_after: (continued from footnote 2) 2. person's continued service as of the applicable vesting date and 25,531 unvested RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting; (v) 50,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (vi) 361,986 shares of common stock owned by the reporting person, which reflects shares previously purchased in the open market and the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-22-008671 · form4.xml · derivative · entry 4

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2032-03-07

F8 · derivative.exercise_date: The options vest over four years with 25% of the shares of common stock underlying the options vesting on the one year anniversary of the date of grant and the remaining 75% of such shares vesting monthly in equal installments over the next three years, becoming fully vested on March 7, 2026.

SEC source: 0001140361-22-008671 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,410,583

F1 · shares: These shares represent restricted stock units ("RSUs") that will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date.

F2 · balance_after: Includes (i) 300,000 RSUs granted on March 7, 2022 and reported on this Form 4, subject to vesting as set forth in footnote (1); (ii) 907,500 Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs"), of which (x) 50% of the Time Based RSUs shall vest on December 31, 2022 ("Initial Vesting Date") and (y) 50% of the Time-Based RSUs shall vest in eight (8) equal quarterly installments over a period of two years following the Initial Vesting Date, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date;

F3 · balance_after: (continue from footnote 2) (iii) 742,500 Milestone-Based RSUs granted on September 29, 2021, subject to milestone-based vesting conditions (the "Milestone-Based RSUs") established by the Board of Directors, upon the recommendation of the Compensation Committee of the Board of Directors, of which (x) 22.2% of the Milestone-Based RSUs shall become vested upon the completion of a debt refinancing which adds non-dilutive capital to the Company's balance sheet before or during the calendar year ending December 31, 2022, (y) 33.3% of the Milestone-Based RSUs shall become vested upon the achievement of a 15% gross margin on BIVIGAM without intermediates by the end of the fourth quarter of 2022, and (z) 44.5% of the Milestone-Based RSUs shall become vested upon the achievement of $35 million in quarterly revenues in or before the fourth quarter of 2022 and that will be settled into common stock upon vesting,

F4 · balance_after: (continue from footnote 3) subject to the reporting person's continued employment on the applicable vesting date; (iv) 162,893 unvested RSUs granted on February 25, 2021, of which 137,362 RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 25,531 RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting;

F5 · balance_after: (continue from footnote 4) (v) 50,000 unvested RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (vi) 247,690 shares of common stock owned by the reporting person, which reflects shares previously purchased in the open market and the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-21-035379 · form4.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,128,444

F1 · shares: Represents a purchase from the underwriters in the October 2021 public offering of the issuer.

F6 · ownership.nature: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.

SEC source: 0001140361-21-035379 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,137,616

F1 · shares: Represents a purchase from the underwriters in the October 2021 public offering of the issuer.

F2 · balance_after: Includes (i) 907,500 Time-Based RSUs granted on September 29, 2021, subject to time based vesting conditions (the "Time-Based RSUs"), of which (x) 50% of the Time Based RSUs shall vest on December 31, 2022 ("Initial Vesting Date") and (y) 50% of the Time-Based RSUs shall vest in eight (8) equal quarterly installments over a period of two years following the Initial Vesting Date, becoming fully vested on December 31, 2024 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date;

F3 · balance_after: (ii) 742,500 Milestone-Based RSUs granted on September 29, 2021, subject to milestone-based vesting conditions (the "Milestone-Based RSUs") established by the Board of Directors, upon the recommendation of the Compensation Committee of the Board of Directors, of which (x) 22.2% of the Milestone-Based RSUs shall become vested upon the completion of a debt refinancing which adds non-dilutive capital to the Company's balance sheet before or during the calendar year ending December 31, 2022, (y) 33.3% of the Milestone-Based RSUs shall become vested upon the achievement of a 15% gross margin on BIVIGAM without intermediates by the end of the fourth quarter of 2022, and (z) 44.5% of the Milestone-Based RSUs shall become vested upon the achievement of $35 million in quarterly revenues in or before the fourth quarter of 2022 and that will be settled into common stock upon vesting, subject to the reporting person's continued employment on the applicable vesting date;

F4 · balance_after: (iii) 221,447 RSUs granted on February 25, 2021, of which 183,150 RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 38,297 RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting;

F5 · balance_after: (iv) 75,000 RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (v) 191,169 shares of common stock owned by the reporting person, which reflects the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-21-033354 · form4.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,037,616

F2 · shares: These shares represent RSUs that will be settled into common stock upon vesting. Subject to the reporting person's continued employment on the applicable vesting date, these RSUs are subject to milestone-based vesting conditions (the "Milestone-Based RSUs") established by the Board of Directors, upon the recommendation of the Compensation Committee of the Board of Directors, of which (x) 22.2% of the Milestone-Based RSUs shall become vested upon the completion of a debt refinancing which adds non-dilutive capital to the Company's balance sheet before or during the calendar year ending December 31, 2022, (y) 33.3% of the Milestone-Based RSUs shall become vested upon the achievement of a 15% gross margin on BIVIGAM without intermediates by the end of the fourth quarter of 2022, and (z) 44.5% of the Milestone-Based RSUs shall become vested upon the achievement of $35 million in quarterly revenues in or before the fourth quarter of 2022.

F3 · balance_after: Includes (i) 907,500 Time-Based RSUs granted on September 29, 2021 and reported on this Form 4, subject to vesting as set forth in footnote (1) and that will be settled into common stock upon vesting; (ii) 742,500 Milestone-Based RSUs granted on September 29, 2021 and reported on this Form 4, subject to vesting as set forth in footnote (2) and that will be settled into common stock upon vesting; (iii) 221,447 RSUs granted on February 25, 2021, of which 183,150 RSUs will vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 38,297 RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date, and in each case will be settled into common stock upon vesting;

F4 · balance_after: (continued from footnote 3) (iv) 75,000 RSUs granted on February 28, 2020, which vest quarterly on each anniversary of the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (v) 91,169 shares of common stock owned by the reporting person, which reflects the prior net settlement upon vesting of previously granted RSUs after the withholding of shares to cover applicable taxes.

SEC source: 0001140361-21-033354 · form4.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,295,116

F1 · shares: These shares represent restricted stock units ("RSUs") that will be settled into common stock upon vesting. Subject to the reporting person's continued employment on the applicable vesting date, these RSUs are subject to time based vesting conditions (the "Time-Based RSUs"), of which (x) 50% of the Time Based RSUs shall vest on December 31, 2022 ("Initial Vesting Date") and (y) 50% of the Time-Based RSUs shall vest in eight (8) equal quarterly installments over a period of two years following the Initial Vesting Date, becoming fully vested on December 31, 2024.

SEC source: 0001193805-21-000293 · e620328_4-agrossman.xml · derivative · entry 4

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 458,700

Underlying: Common Stock · 458,700 shares

Expires 2031-02-25

F5 · derivative.exercise_date: The options vest over four years with 25% of the shares of Common Stock underlying the options vesting on the one year anniversary of the date of grant and the remaining 75% of such shares vesting monthly in equal installments over the next three years, becoming fully vested on February 25, 2025.

SEC source: 0001193805-21-000293 · e620328_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,545

F1 · shares: These shares represent restricted stock units ("RSUs"). Of these RSUs, 183,150 RSUs will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and 38,297 RSUs are subject to cliff vesting with one-third of such RSUs vesting on each anniversary of the date of grant over three years, subject to the reporting person's continued service as of the applicable vesting date. The RSUs will be settled into common stock upon vesting.

F2 · balance_after: Includes (i) 221,447 RSUs granted on February 25, 2021 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; (ii) 100,000 RSUs granted on February 28, 2020, which vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting; and (iii) 76,098 shares of common stock owned by the reporting person.

SEC source: 0001193805-20-001128 · e619921_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,098

F1 · balance_after: Includes 100,000 restricted stock units granted on February 28, 2020, which will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting.

SEC source: 0001193805-20-001005 · e619856_4-agrossman.xml · nonDerivative · entry 4

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,098

F1 · balance_after: Includes 100,000 restricted stock units granted on February 28, 2020, which will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting.

SEC source: 0001193805-20-001005 · e619856_4-agrossman.xml · nonDerivative · entry 3

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,098

F1 · balance_after: Includes 100,000 restricted stock units granted on February 28, 2020, which will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting.

SEC source: 0001193805-20-001005 · e619856_4-agrossman.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,098

F1 · balance_after: Includes 100,000 restricted stock units granted on February 28, 2020, which will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting.

SEC source: 0001193805-20-001005 · e619856_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,108

F1 · balance_after: Includes 100,000 restricted stock units granted on February 28, 2020, which will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date and will be settled into common stock upon vesting.

SEC source: 0001193805-20-000287 · e619421_4-agrossman.xml · derivative · entry 4

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires 2030-02-28

F5 · derivative.exercise_date: The options vest over four years with 25% of the shares of Common Stock underlying the options vesting on the one year anniversary of the date of grant and the remaining 75% of such shares vesting monthly in equal installments over the next three years, becoming fully vested on February 28, 2024.

SEC source: 0001193805-20-000287 · e619421_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,098

F1 · shares: These shares represent restricted stock units ("RSUs"), which will vest quarterly on the date of grant, over four years, subject to the reporting person's continued service as of the applicable vesting date, and will be settled into common stock upon vesting.

F2 · balance_after: Includes (i) 100,000 RSUs granted on February 28, 2020 and reported on this Form 4, subject to vesting as set forth in footnote (1) and will be settled into common stock upon vesting; and (ii) 66,098 shares of common stock owned by the reporting person.

SEC source: 0001193805-20-000127 · e619338_4-agrossman.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 878,444

F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering.

F2 · ownership.nature: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.

SEC source: 0001193805-20-000127 · e619338_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,098

F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering.

SEC source: 0001193805-19-000520 · e618479_4-agrossman.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 821,301

F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering.

F2 · ownership.nature: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.

SEC source: 0001193805-19-000520 · e618479_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,527

F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering.

SEC source: 0001193805-19-000090 · e618164_4-agrossman.xml · derivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2029-01-23

F1 · derivative.exercise_date: The option vests over a four-year period with 25% of the shares of common stock underlying the option vesting on the one year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter beginning on February 23, 2020, becoming fully vested on January 23, 2023.

SEC source: 0001193805-18-000820 · e618086_4-agrossman.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 796,301

F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering.

F2 · ownership.nature: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.

SEC source: 0001193805-18-000820 · e618086_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,527

F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering.

SEC source: 0001193805-18-000188 · e617682_4-agrossman.xml · derivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2028-02-09

F1 · derivative.exercise_date: The option vests over a four year period with 25% of the shares of common stock underlying the option vesting on the one year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter beginning on March 9, 2019, becoming fully vested on February 9, 2022.

SEC source: 0001193805-17-003451 · e617469_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 744,000

F1 · shares: Represents a purchase from the underwriters in the Issuer's public offering.

F2 · ownership.nature: These shares are owned by Areth, LLC ("Areth"). The reporting person is a control person of Areth.

SEC source: 0001193805-17-001300 · e616386_4-agrossman.xml · derivative · entry 5

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,021 shares

Expires 2017-07-16

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.

F3 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to the option vested on July 16, 2007 (the "First Anniversary Date"), and the remaining seventy-five percent (75%) of the shares subject to the option vested in equal monthly installments over the three (3) year period following the First Anniversary Date.

SEC source: 0001193805-17-001300 · e616386_4-agrossman.xml · nonDerivative · entry 2

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,606

SEC source: 0001193805-17-001300 · e616386_4-agrossman.xml · nonDerivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,732

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: 0001193805-17-001059 · e616266_4-agrossman.xml · derivative · entry 1

Grossman Adam S · CIK 0001542517 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 583,224

Underlying: Common Stock · 583,224 shares

Expires 2027-06-06

F1 · derivative.exercise_date: The option vests over a four year period with 25% of the shares of common stock underlying the option vesting on the one year anniversary of the grant date and the remaining 75% of the shares of common stock underlying the option vesting in equal monthly installments thereafter beginning on July 6, 2018, becoming fully vested on June 6, 2021.