HALE DAVID F

SEC source: 0001493152-26-000703 · ownership.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2036-01-01

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0001654954-25-000690 · section16.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hale BioPharma Ventures LLC

Disclosed balance after: 80,957

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F4 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0001654954-25-000690 · section16.xml · derivative · entry 5

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hale BioPharma Ventures LLC

Disclosed balance after: 78,741

Underlying: Common Stock · 78,741 shares

Expires not disclosed

F1 · kind: The shares of Common Stock and accompanying Warrant were purchased by the Reporting Person from the Issuer in a private placement, which transaction is exempt from Section 16(b) in accordance with Rule 16b-3(d)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · price: The purchase price per share of Common Stock and accompanying Warrant was $1.27.

F3 · derivative.exercise_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F3 · derivative.expiration_date: The Warrant will become exercisable beginning on the effective date of stockholder approval of the issuance of the shares of Common Stock issuable upon exercise of the warrants. The Warrant will expire five years from the effective date of stockholder approval. The Warrant cannot be exercised by the Reporting Person if, after giving effect thereto, the Reporting Person, together with his/her affiliates, would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 9.99% of the number of shares of the Common Stock outstanding immediately after giving effect to such exercise, subject to certain exceptions.

F4 · ownership.nature: Reporting person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0001654954-25-000410 · section16.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2035-01-12

F1 · derivative.exercise_date: The shares underlying the option will vest in a series of twelve (12) successive substantially equal monthly installments, with the first installment vesting on the one month anniversary of the grant date and continuing to vest monthly thereafter, subject to Reporting Person's continuous service through each such vesting date.

SEC source: 0000950170-24-076698 · ownership.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,300

Underlying: Common Stock · 3,300 shares

Expires 2034-06-20

F1 · derivative.exercise_date: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of the grant date, subject to the Reporting Person's continued service through such vesting date.

SEC source: 0001209191-24-004016 · doc4.xml · nonDerivative · entry 2

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Hale BioPharma Ventures, LLC

Disclosed balance after: 29,673

F1 · shares: The shares of common stock were acquired directly from another director of the Issuer, Robert James Wills, in a private sale. The price per share was based on the closing price of the Issuer's common stock on February 23, 2024.

F1 · price: The shares of common stock were acquired directly from another director of the Issuer, Robert James Wills, in a private sale. The price per share was based on the closing price of the Issuer's common stock on February 23, 2024.

SEC source: 0001209191-24-004016 · doc4.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 714

F1 · shares: The shares of common stock were acquired directly from another director of the Issuer, Robert James Wills, in a private sale. The price per share was based on the closing price of the Issuer's common stock on February 23, 2024.

F1 · price: The shares of common stock were acquired directly from another director of the Issuer, Robert James Wills, in a private sale. The price per share was based on the closing price of the Issuer's common stock on February 23, 2024.

SEC source: 0001654954-24-000293 · section16.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-01-03

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing January 4, 2024.

SEC source: 0001209191-23-040278 · doc4.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2033-06-28

F1 · derivative.exercise_date: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of the grant date, subject to the Reporting Person's continued service through such vesting date.

SEC source: 0001654954-22-013528 · section16.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,720

F1 · date: On October 6, 2022, the Reporting Person was granted 30,155 Common Stock restricted units pursuant to the Issuer's 2021 Omnibus Equity Incentive Plan.

SEC source: 0001654954-22-009455 · section16.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,565

F1 · shares: On July 7, 2022, the Reporting Person was granted 26,441 Common Stock restricted units pursuant to the Issuer's 2021 Omnibus Equity Incentive Plan.

SEC source: 0001209191-22-038041 · doc4.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2032-06-16

F1 · derivative.exercise_date: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of the grant date, subject to the Reporting Person's continued service through such vesting date.

SEC source: 0000905718-22-000562 · dermata_fm4apr72022.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,124

F1 · shares: On April 7, 2022, the Reporting Person was granted 15,466 Common Stock restricted units pursuant to the Issuer's 2021 Omnibus Equity Incentive Plan.

SEC source: 0000905718-22-000048 · dermata_fm4jan32022.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2032-01-02

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing January 3, 2022.

SEC source: 0001209191-21-069092 · doc4.xml · nonDerivative · entry 3

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 796

F1 · kind: The sales reported herein were made for tax planning purposes.

SEC source: 0001209191-21-069092 · doc4.xml · nonDerivative · entry 2

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 101

F1 · kind: The sales reported herein were made for tax planning purposes.

SEC source: 0001209191-21-069092 · doc4.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 3,114

F1 · kind: The sales reported herein were made for tax planning purposes.

SEC source: 0001209191-22-008972 · doc5.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioPharma Ventures, LLC

Disclosed balance after: 588,152

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · derivative · entry 16

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale Family Trust

Disclosed balance after: 35,714

Underlying: Common Stock · 35,714 shares

Expires 2026-08-17

F8 · price: Reporting Person purchased 35,714 Units in the IPO at $7.00 per Unit. Each Unit consists of one share of Common Stock and one warrant to purchase one share of Common Stock.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · derivative · entry 15

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 3,048

Underlying: Common Stock · 3,048 shares

Expires 2026-03-14

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.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · derivative · entry 14

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 0

Underlying: Common Stock · 3,048 shares

Expires 2026-03-14

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.

F6 · derivative.exercise_price: The Series 1a Preferred Warrants converted into warrants to purchase Common Stock in connection with the IPO.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · derivative · entry 13

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 0

Underlying: Common Stock · 27,103 shares

Expires not disclosed

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

F5 · derivative.exercise_price: The Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.

F5 · derivative.exercise_date: The Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.

F5 · derivative.expiration_date: The Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · derivative · entry 12

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 0

Underlying: Common Stock · 174,216 shares

Expires not disclosed

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

F4 · derivative.exercise_price: The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.

F4 · derivative.exercise_date: The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.

F4 · derivative.expiration_date: The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · derivative · entry 11

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.

F3 · derivative.exercise_date: The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.

F3 · derivative.expiration_date: The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · derivative · entry 10

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 0

Underlying: Common Stock · 12,195 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.exercise_date: The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.

F2 · derivative.expiration_date: The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · derivative · entry 9

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 0

Underlying: Common Stock · 44,777 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F1 · derivative.exercise_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F1 · derivative.expiration_date: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · nonDerivative · entry 6

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale Family Trust

Disclosed balance after: 35,714

F8 · price: Reporting Person purchased 35,714 Units in the IPO at $7.00 per Unit. Each Unit consists of one share of Common Stock and one warrant to purchase one share of Common Stock.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · nonDerivative · entry 5

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 532,925

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.

F5 · price: The Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · nonDerivative · entry 4

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 505,822

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.

F4 · price: The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · nonDerivative · entry 3

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 331,606

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 · price: The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · nonDerivative · entry 2

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 311,606

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 · price: The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0000905718-21-001110 · dermata_fm4aug172021.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioVentures LLC

Disclosed balance after: 299,411

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

F1 · price: The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.

F7 · ownership.nature: Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, 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 or for any other purpose.

SEC source: 0001209191-21-047388 · doc4.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-07-15

F1 · derivative.exercise_date: The shares subject to the option shall be 100% vested and exercisable on July 16, 2022.

SEC source: 0001209191-21-045049 · doc4.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioPharma Ventures, LLC

Disclosed balance after: 713,152

F1 · kind: These shares were transferred to Oxford Finance LLC by Hale BioPharma Ventures, LLC in satisfaction of a pledge by Hale BioPharma Ventures, LLC which was previously disclosed by the Issuer.

SEC source: 0001209191-21-036313 · doc4.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2031-05-25

F1 · derivative.exercise_date: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of the grant date, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

SEC source: 0001209191-20-036491 · doc4.xml · nonDerivative · entry 3

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 867

F1 · kind: The sales reported herein were made for tax planning purposes.

F4 · balance_after: On July 6, 2018, the Issuer effected a 1-for-30 reverse stock split resulting in the reporting person's ownership of 41,295 fewer shares.

SEC source: 0001209191-20-036491 · doc4.xml · nonDerivative · entry 2

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By trust

Disclosed balance after: 112

F1 · kind: The sales reported herein were made for tax planning purposes.

F3 · balance_after: On July 6, 2018, the Issuer effected a 1-for-30 reverse stock split resulting in the reporting person's ownership of 16,179 fewer shares.

SEC source: 0001209191-20-036491 · doc4.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 3,477

F1 · kind: The sales reported herein were made for tax planning purposes.

F2 · balance_after: On July 6, 2018, the Issuer effected a 1-for-30 reverse stock split resulting in the reporting person's ownership of 105,463 fewer shares.

SEC source: 0001209191-20-036300 · doc4.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2029-06-10

F1 · derivative.exercise_date: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of the grant date, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

SEC source: 0001209191-20-044381 · doc4a.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2030-06-11

F1 · shares: The original Form 4 reported the acquisition of the Stock Options in the "D" column of Column 5. This amendment is being filed to correctly report the acquisition of the Stock Options in the "A" column of Column 5.

F2 · derivative.exercise_date: One-twelfth of the number of shares subject to the option vest and become exercisable in substantially equal installments on each monthly anniversary of grant date, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

SEC source: 0001209191-20-035209 · doc4.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Common Stock · 500 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The shares subject to the option shall be 100% vested and exercisable on June 5, 2021.

SEC source: 0001209191-20-031792 · doc4.xml · derivative · entry 3

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioPharma Ventures LLC

Disclosed balance after: 8,706

Underlying: Common Stock · 8,706 shares

Expires 2025-11-21

F1 · price: Pursuant to the Securities Purchase Agreement, dated as of May 19, 2020, by and among the Issuer and the several purchasers party thereto, on May 21, 2020 the Reporting Person purchased the securities reported herein for aggregate consideration $44,792.37.

F2 · derivative.exercise_date: The warrants are currently exercisable.

SEC source: 0001209191-20-031792 · doc4.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioPharma Ventures LLC

Disclosed balance after: 716,818

F1 · price: Pursuant to the Securities Purchase Agreement, dated as of May 19, 2020, by and among the Issuer and the several purchasers party thereto, on May 21, 2020 the Reporting Person purchased the securities reported herein for aggregate consideration $44,792.37.

SEC source: 0001209191-19-049691 · doc4.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-09-12

F1 · derivative.exercise_date: One thirty-sixth of each Effective Date Award and each Initial Award shall vest and become exercisable in substantially equal installments on each monthly anniversary of the date of grant, so that the options subject to each such type of award shall be fully vested on the three-year anniversary of the date of grant, subject to the Reporting Persons continued service on the Board through each such vesting date.

SEC source: 0001209191-20-044372 · doc4a.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-09-12

F1 · shares: The original Form 4 reported the acquisition of the Stock Options in the "D" column of Column 5. This amendment is being filed to correctly report the acquisition of the Stock Options in the "A" column of Column 5.

F2 · derivative.exercise_date: One thirty-sixth of each Effective Date Award and each Initial Award shall vest and become exercisable in substantially equal installments on each monthly anniversary of the date of grant, so that the options subject to each such type of award shall be fully vested on the three-year anniversary of the date of grant, subject to the Reporting Persons continued service on the Board through each such vesting date.

SEC source: 0001209191-19-039725 · doc4.xml · derivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2029-06-26

F1 · derivative.exercise_date: The shares subject to this option become exercisable as the shares vest. The entire number of shares subject to this option becomes fully vested and exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service on the board of directors of the Issuer through such vesting date.

SEC source: 0001209191-19-038017 · doc4.xml · derivative · entry 2

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Common Stock · 500 shares

Expires 2029-06-16

F2 · derivative.exercise_date: The shares subject to the option shall be 100% vested and exercisable on June 17, 2020.

SEC source: 0000899243-19-016484 · doc4.xml · derivative · entry 3

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioPharma Ventures, LLC.

Disclosed balance after: 3,292

Underlying: Common Stock · 3,292 shares

Expires 2022-09-12

F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share.

F2 · derivative.exercise_date: The warrants are currently exercisable.

SEC source: 0000899243-19-016484 · doc4.xml · nonDerivative · entry 2

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale Trading Company.

Disclosed balance after: 18,346

F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share.

SEC source: 0000899243-19-016484 · doc4.xml · nonDerivative · entry 1

HALE DAVID F · CIK 0001024004 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Hale BioPharma Ventures, LLC.

Disclosed balance after: 699,406

F1 · price: Pursuant to the Agreement and Plan of Merger dated as of April 30, 2019 (the "Merger Agreement"), by and among Oncternal Therapeutics, Inc. ("Old Oncternal"), GTx, Inc. ("GTx") and certain of their subsidiaries, on June 7, 2019 (the "Effective Time"), GTx was merged with and into Old Oncternal, with GTx surviving as the continuing entity. At the Effective Time, each share of Old Oncternal common stock issued and outstanding immediately prior to such time was converted into the right to receive 0.073386 shares of the Issuer's common stock. On the trading day immediately prior to the effective time, the closing price of the Issuer's common stock was $1.20 per share.