Ence Chuck

SEC source: 0001213900-25-121972 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 828,000

Underlying: Common Stock · 828,000 shares

Expires 2035-12-12

F1 · derivative.exercise_date: The stock appreciation rights vest in 16 equal quarterly installments commencing on March 12, 2026.

SEC source: 0001213900-25-106838 · ownership.xml · nonDerivative · entry 1

Ence Chuck · CIK 0001697779 · CAO and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 403,931

SEC source: 0001213900-25-059870 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2035-06-26

F1 · derivative.exercise_date: The options vest in 16 equal quarterly installments commencing on September 26, 2025.

SEC source: 0001213900-25-046086 · ownership.xml · nonDerivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 267,931

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F2 · price: Purchase prices range from $0.401 to $0.4892 per share, inclusive.

SEC source: 0001213900-24-047633 · ownership.xml · derivative · entry 2

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,090

Underlying: Common Stock · 54,624 shares

Expires 2033-12-15

F2 · kind: On May 24, 2024, the Reporting Person voluntarily forfeited to the Issuer a portion of the December Award equal to the Additional Award Shares so that those shares can be allocated to the holders of Similar Awards who are not executive officers or directors of the Issuer.

SEC source: 0001213900-24-047633 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,714

Underlying: Common Stock · 54,624 shares

Expires 2033-12-15

F1 · kind: On May 24, 2024, under the terms of the option award granted to the Reporting Person on December 15, 2023 (the "December Award"), the Reporting Person became entitled to receive options for up to 54,624 additional shares of the Issuer's Common Stock on the same terms as the December Award (the "Additional Award Shares") out of shares that had become available under the terms of the Issuer's 2021 Equity Incentive Plan, as amended (the "Plan"), since December 15, 2023, as a result of expirations, cancelations, forfeitures and terminations of other outstanding awards under the Plan and/or tenders or withholding of shares.

SEC source: 0001213900-24-008557 · ownership.xml · nonDerivative · entry 3

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,970

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F4 · price: Purchase prices range from $3.93 to $4.17 per share, inclusive.

SEC source: 0001213900-24-008557 · ownership.xml · nonDerivative · entry 2

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,300

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F3 · price: Purchase prices range from $3.755 to $3.99 per share, inclusive.

SEC source: 0001213900-24-008557 · ownership.xml · nonDerivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,800

F1 · shares: The number of securities reported represents an aggregate number of shares purchased in multiple open market transactions over a range of purchase prices. The price reported represents the weighted average price. The Reporting Person undertakes to provide to the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares purchased by the Reporting Person at each separate price within the range.

F2 · price: Purchase prices range from $3.585 to $3.73 per share, inclusive.

SEC source: 0001213900-23-097026 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · Chief Accounting and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,090

Underlying: Common Stock · 82,090 shares

Expires 2033-12-15

F1 · derivative.exercise_date: The options vest in 16 equal quarterly installments commencing on March 15, 2024.

SEC source: 0001213900-23-044081 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 518,361

Underlying: Common Stock · 321,238 shares

Expires 2032-12-16

F1 · date: The option grant was approved by the Board of Directors of the Company on December 16, 2022, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan, as amended (the "Plan"), increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2023, at the 2023 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: 18,361 of the options immediately vested; 500,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

F2 · balance_after: 18,361 of the options immediately vested; 500,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-081518 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 200,000 shares

Expires 2031-12-17

F1 · kind: Represents the termination of milestone-based stock options granted to the reporting person on May 25, 2022, that were eligible to vest based on achievement of certain corporate objectives by the Issuer. Upon grant, the target vesting amount was reported in Table II of Form 4. On December 16, 2022, the Board of Directors determined that such milestone objectives were not achieved by the Issuer and that all 200,000 options would be terminated.

F1 · shares: Represents the termination of milestone-based stock options granted to the reporting person on May 25, 2022, that were eligible to vest based on achievement of certain corporate objectives by the Issuer. Upon grant, the target vesting amount was reported in Table II of Form 4. On December 16, 2022, the Board of Directors determined that such milestone objectives were not achieved by the Issuer and that all 200,000 options would be terminated.

F2 · price: Not applicable.

F2 · derivative.exercise_date: Not applicable.

F3 · derivative.expiration_date: Original expiration date.

SEC source: 0001213900-22-081474 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and CO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,123

Underlying: Common Stock · 196,123 shares

Expires 2032-12-16

F1 · derivative.exercise_date: 18,361 of the shares are immediately vested; 178,762 shares vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-029833 · ownership.xml · derivative · entry 2

Ence Chuck · CIK 0001697779 · CA and Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2031-12-17

F1 · date: The option grant was approved by the Board of Directors of the Company on December 17, 2021, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan (the "Plan") increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2022, at the 2022 Annual Meeting of the Company's shareholders.

F3 · derivative.exercise_date: 50% of the option shall vest when the Board of Directors or Compensation Committee has determined that 301, 302 and 303 Trials of dextromethadone (REL-1017) in major depressive disorder ("MDD") complete enrollment, as defined in the respective Trial's protocol, with 364 patients per Trial with the last patient in for each trial to be enrolled by December 31, 2022. The remaining 50% of the option shall vest when the Board of Directors or Compensation Committee has determined that 301, 302 and 303 Trials of REL-1017 in MDD report top-line data by December 31, 2023, and meet or exceed their primary and key secondary endpoints as defined in in the respective Trial's protocol.

SEC source: 0001213900-22-029833 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CA and Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522,236

Underlying: Common Stock · 295,404 shares

Expires 2031-12-17

F1 · date: The option grant was approved by the Board of Directors of the Company on December 17, 2021, subject to shareholder approval of an amendment to the Company's 2021 Equity Incentive Plan (the "Plan") increasing the number of shares of Common Stock available for the grant of awards under the Plan in an amount sufficient to cover this option grant. Shareholder approval was received for such amendment on May 25, 2022, at the 2022 Annual Meeting of the Company's shareholders.

F2 · derivative.exercise_date: The option vests in 16 equal quarterly installments, at 6.25% per quarter, commencing on March 17, 2022.

SEC source: 0001213900-21-066820 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CAO and Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,832

Underlying: Common Stock · 226,832 shares

Expires 2031-12-17

F1 · derivative.exercise_date: The option vests in 16 equal quarterly installments commencing on March 17, 2022.

SEC source: 0001213900-21-001416 · ownership.xml · derivative · entry 2

Ence Chuck · CIK 0001697779 · Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Common Stock · 112,500 shares

Expires 2031-01-07

F1 · derivative.exercise_date: The options vest from the date of grant in equal quarterly increments of 6.25% over a four-year period.

F2 · derivative.exercise_date: The options vest 25% one year from the date of grant, and thereafter in equal quarterly increments of 6.25% over the following three years. The options are subject to forfeiture upon failure by the Issuer to reach certain corporate objectives in 2021.

SEC source: 0001213900-21-001416 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · Chief Compliance Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,500

Underlying: Common Stock · 112,500 shares

Expires 2031-01-07

F1 · derivative.exercise_date: The options vest from the date of grant in equal quarterly increments of 6.25% over a four-year period.

SEC source: 0001213900-19-026862 · ownership.xml · derivative · entry 1

Ence Chuck · CIK 0001697779 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2029-12-19

F1 · derivative.exercise_date: Pursuant to the terms of the company's 2014 Stock Option and Equity Incentive Plan, 6.25% of the options shall vest each quarter from the date of grant.