TRAVERSA SERGIO

SEC source: 0001213900-26-098969 · ownership.xml · nonDerivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,500,000

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 $4.03 to $4.11 per share, inclusive

SEC source: 0001213900-26-098969 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,400,000

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 $4.15 to $4.22 per share, inclusive.

SEC source: 0001213900-25-121974 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,300,000

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 $4.10 to $4.12 per share, inclusive.

SEC source: 0001213900-25-121974 · ownership.xml · derivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,198,000

Underlying: Common Stock · 1,198,000 shares

Expires 2035-12-12

F3 · derivative.exercise_date: The stock appreciation rights vest in 16 equal quarterly installments commencing on March 12, 2026.

SEC source: 0001213900-25-106837 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,272,500

SEC source: 0001213900-25-081837 · ownership.xml · nonDerivative · entry 3

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,000,000

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 $0.68 to $0.79 per share, inclusive.

SEC source: 0001213900-25-081837 · ownership.xml · nonDerivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 944,024

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 $0.65 to $0.69 per share, inclusive.

SEC source: 0001213900-25-081837 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 814,569

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 $0.61 to $0.65 per share, inclusive.

SEC source: 0001213900-25-059868 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2035-06-26

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

SEC source: 0001213900-25-046085 · ownership.xml · nonDerivative · entry 3

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 734,024

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 $0.53 to $0.59 per share, inclusive.

SEC source: 0001213900-25-046085 · ownership.xml · nonDerivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 586,338

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 $0.4998 to $0.50 per share, inclusive.

SEC source: 0001213900-25-046085 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 556,338

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 $0.4485 to $0.4564 per share, inclusive.

SEC source: 0001213900-24-077795 · ownership.xml · nonDerivative · entry 3

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 384,024

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 $2.84 to $3.05 per share, inclusive.

SEC source: 0001213900-24-077795 · ownership.xml · nonDerivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 332,617

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 $2.73 to $2.80 per share, inclusive.

SEC source: 0001213900-24-077795 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 299,603

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 $2.51 to $2.85 per share, inclusive.

SEC source: 0001213900-24-047639 · ownership.xml · derivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,881

Underlying: Common Stock · 122,358 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: 0001213900-24-047639 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 306,239

Underlying: Common Stock · 122,358 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 122,358 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: 0001213900-24-008560 · ownership.xml · nonDerivative · entry 3

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 244,024

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 $3.95 to $4.05 per share, inclusive.

SEC source: 0001213900-24-008560 · ownership.xml · nonDerivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 216,564

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 $3.88 to $3.97 per share, inclusive.

SEC source: 0001213900-24-008560 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,565

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 $3.69 to $3.75 per share, inclusive.

SEC source: 0001213900-23-097032 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 183,881

Underlying: Common Stock · 183,881 shares

Expires 2033-12-15

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

SEC source: 0001213900-23-044093 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 850,728

Underlying: Common Stock · 527,211 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: 80,728 of the options immediately vested; 770,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

F2 · balance_after: 80,728 of the options immediately vested; 770,000 options vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-081520 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 300,000 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 300,000 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 300,000 options would be terminated.

F2 · price: Not applicable.

F2 · derivative.exercise_date: Not applicable.

F3 · derivative.expiration_date: Original expiration date.

SEC source: 0001213900-22-081481 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,517

Underlying: Common Stock · 323,517 shares

Expires 2032-12-16

F1 · derivative.exercise_date: 80,728 of the shares are immediately vested; 242,789 shares vest in 16 equal quarterly installments commencing on March 16, 2023.

SEC source: 0001213900-22-079244 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,024

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 $2.05 to $2.13 per share, inclusive.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 7

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,500

Underlying: Common Stock · 87,500 shares

Expires 2031-01-07

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F7 · derivative.exercise_date: The options were granted on January 7, 2021. 25% of the options vested one year from the grant date, and thereafter in equal quarterly increments of 6.25% over the following three years.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 6

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,500

Underlying: Common Stock · 62,500 shares

Expires 2031-01-07

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F6 · derivative.exercise_date: The options were granted on January 7, 2021. 6.25% of the options vest each quarter from the date of grant.

SEC source: 0001213900-22-037231 · ownership.xml · derivative · entry 9

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,755 shares

Expires 2022-07-10

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 · kind: The transaction reported on this Form 4 reflects the exercise of stock options set to expire on July 10, 2022.

F8 · derivative.exercise_date: The options were granted on July 10, 2012 (the "Grant Date"). 25% of the options vested upon the Grant Date and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in July 2016.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 7

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,774

F2 · shares: The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales 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 sold by the Reporting Person at each separate price within the range.

F7 · price: Sales prices range from $18.26 to $18.44 per share, inclusive.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 6

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,842

F2 · shares: The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales 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 sold by the Reporting Person at each separate price within the range.

F6 · price: Sales prices range from $18.45 to $18.47 per share, inclusive.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 5

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,690

F2 · shares: The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales 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 sold by the Reporting Person at each separate price within the range.

F5 · price: Sales prices range from $18.47 to $18.53 per share, inclusive.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 4

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,529

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 · kind: The transaction reported on this Form 4 reflects the exercise of stock options set to expire on July 10, 2022.

SEC source: 0001213900-22-037231 · ownership.xml · derivative · entry 8

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,755

Underlying: Common Stock · 16,012 shares

Expires 2022-07-10

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 · kind: The transaction reported on this Form 4 reflects the exercise of stock options set to expire on July 10, 2022.

F8 · derivative.exercise_date: The options were granted on July 10, 2012 (the "Grant Date"). 25% of the options vested upon the Grant Date and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in July 2016.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 3

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,774

F2 · shares: The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales 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 sold by the Reporting Person at each separate price within the range.

F4 · price: Sales prices range from $19.00 to $19.15 per share, inclusive.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,472

F2 · shares: The number of securities reported represents an aggregate number of shares sold in multiple open market transactions over a range of sales 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 sold by the Reporting Person at each separate price within the range.

F3 · price: Sales prices range from $19.20 to $19.51 per share, inclusive.

SEC source: 0001213900-22-037231 · ownership.xml · nonDerivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,786

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 · kind: The transaction reported on this Form 4 reflects the exercise of stock options set to expire on July 10, 2022.

SEC source: 0001213900-22-029839 · ownership.xml · derivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 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: 0001213900-22-029839 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,143,994

Underlying: Common Stock · 651,821 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: 0001213900-21-066825 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 492,173

Underlying: Common Stock · 492,173 shares

Expires 2031-12-17

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

SEC source: 0001213900-23-007440 · ownership.xml · derivative · entry 6

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,500

Underlying: Common Stock · 87,500 shares

Expires 2031-01-07

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F7 · derivative.exercise_date: The options were granted on January 7, 2021. 25% of the options vested one year from the grant date, and thereafter in equal quarterly increments of 6.25% over the following three years.

SEC source: 0001213900-23-007440 · ownership.xml · derivative · entry 5

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,500

Underlying: Common Stock · 93,750 shares

Expires 2031-01-07

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F6 · derivative.exercise_date: The options were granted on January 7, 2021. 6.25% of the options vest each quarter from the date of grant.

SEC source: 0001213900-23-007440 · ownership.xml · derivative · entry 4

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,750

Underlying: Common Stock · 131,250 shares

Expires 2029-12-19

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F5 · derivative.exercise_date: The options were granted on December 19, 2019. 6.25% of the options vest each quarter from the date of grant.

SEC source: 0001213900-23-007440 · ownership.xml · derivative · entry 3

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,019

Underlying: Common Stock · 8,231 shares

Expires 2025-02-23

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F4 · derivative.exercise_date: The options were granted on February 15, 2015. 6.25% of the options vested each quarter from the date of grant.

SEC source: 0001213900-23-007440 · ownership.xml · derivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,165

Underlying: Common Stock · 27,123 shares

Expires 2023-09-30

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F3 · derivative.exercise_date: The options were granted on September 30, 2013. 25% of the options vested upon the date of grant and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in September 2017.

SEC source: 0001213900-23-007440 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,131 shares

Expires 2022-07-10

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F2 · derivative.exercise_date: The options were granted on July 10, 2012. 25% of the options vested upon the grant date and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in July 2016.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 5

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Stock · 31,250 shares

Expires 2031-01-07

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F6 · derivative.exercise_date: The options were granted on January 7, 2021. 6.25% of the options vest each quarter from the date of grant.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 4

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,750

Underlying: Common Stock · 131,250 shares

Expires 2029-12-19

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F5 · derivative.exercise_date: The options were granted on December 19, 2019. 6.25% of the options vest each quarter from the date of grant.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 3

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,019

Underlying: Common Stock · 8,231 shares

Expires 2025-02-23

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F4 · derivative.exercise_date: The options were granted on February 15, 2015. 6.25% of the options vested each quarter from the date of grant.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 2

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,165

Underlying: Common Stock · 27,123 shares

Expires 2023-09-30

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F3 · derivative.exercise_date: The options were granted on September 30, 2013. 25% of the options vested upon the date of grant and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in September 2017.

SEC source: 0001213900-23-008514 · ownership.xml · derivative · entry 1

TRAVERSA SERGIO · CIK 0001565832 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,131 shares

Expires 2022-07-10

F1 · kind: Represents a bona fide gift of stock options to a family trust. An independent trustee is trustee of the trust.

F2 · derivative.exercise_date: The options were granted on July 10, 2012. 25% of the options vested upon the grant date and the remaining 75% of the options vested in equal quarterly increments over the next four (4) years, so that the last set of options vested in July 2016.