BOCHNOWSKI JAMES J

SEC source: 0001193125-25-319518 · ownership.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,363

Underlying: Common Stock · 6,363 shares

Expires 2035-12-11

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The restricted stock unit and option grants were approved by the issuer's board of directors on December 11, 2025.

F6 · derivative.exercise_date: The options will vest ratably on a monthly basis over 12 months from the grant date, so long as the reporting person continues to serve on the board of directors of the issuer.

SEC source: 0001193125-25-319518 · ownership.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,415

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The restricted stock unit and option grants were approved by the issuer's board of directors on December 11, 2025.

F3 · date: Each restricted stock unit represents a contingent right to receive one share of the issuer's voting common stock. The restricted stock units vest on December 11, 2026. Vested shares will be delivered to the reporting on the vesting date provided in the grant notice.

F4 · balance_after: On May 23, 2024, the issuer effected a 60-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "2024 Reverse Stock Split"). Upon effectiveness of the 2024 Reverse Stock Split, every 60 shares of voting common stock was automatically converted into one share of voting common stock.

F5 · balance_after: On March 24, 2025, the issuer effected a 25-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "2025 Reverse Stock Split"). Upon effectiveness of the 2025 Reverse Stock Split, every 25 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0000950170-25-090448 · ownership.xml · derivative · entry 3

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 27,002

Underlying: Common Stock · 54,786 shares

Expires 2026-12-24

F2 · price: As an inducement to enter into the issuer exchange offer, the reporting person received a warrant (the "Warrant") to purchase up to 54,786 shares of Common Stock with an exercise price of $2.70 per share. The Warrant is exercisable immediately upon receipt of stockholder approval and will expire on the earlier of (i) 18 months from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

F2 · derivative.exercise_date: As an inducement to enter into the issuer exchange offer, the reporting person received a warrant (the "Warrant") to purchase up to 54,786 shares of Common Stock with an exercise price of $2.70 per share. The Warrant is exercisable immediately upon receipt of stockholder approval and will expire on the earlier of (i) 18 months from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16

SEC source: 0000950170-25-090448 · ownership.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 28,388

Underlying: Common Stock · 28,388 shares

Expires not disclosed

F1 · price: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 28,388 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.exercise_date: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 28,388 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 28,388 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16

SEC source: 0000950170-25-090448 · ownership.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 27,002 shares

Expires not disclosed

F1 · price: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 28,388 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.exercise_date: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 28,388 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The reporting person disposed of a 6% convertible promissory note maturing on 6/30/2025 (the "Original Note") that was originally issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 in exchange for a new 6% convertible promissory note that matures on 1/30/2026 (the "New Note") in an issuer exchange offer. The New Note is convertible, at the reporting person's option, in part or in full, into an aggregate of 28,388 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16

SEC source: 0000950170-25-049804 · ownership.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 27,002

Underlying: Common Stock · 27,002 shares

Expires 2030-03-31

F2 · price: As an inducement to enter into the Purchase Agreement, the reporting person received a warrant (the "Warrant") to purchase up to 27,002 shares of Common Stock with an exercise price of $5.43 per share. The Warrant is exercisable immediately upon issuance and will expire on the earlier of (i) five years from the date of issuance, (ii) the consummation of a fundamental transaction and (iii) the consummation of a liquidation event.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16

SEC source: 0000950170-25-049804 · ownership.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 27,002

Underlying: Common Stock · 27,002 shares

Expires not disclosed

F1 · derivative.exercise_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 27,002 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F1 · derivative.expiration_date: The 6% convertible promissory note (the "Note") was issued to pursuant to a securities purchase agreement between Jaguar Health, Inc. (the "Company") and the reporting person dated March 26, 2025 (the "Purchase Agreement"). The Note will mature three months after issuance, and is convertible, at the reporting person's option, in part or in full, into an aggregate of 27,002 shares of the Company's voting common stock, par value $0.0001 per share (the "Common Stock"), at a conversion price of $5.555 per share.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16

SEC source: 0000950170-24-114184 · ownership.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,200

Underlying: Common Stock · 23,200 shares

Expires 2034-10-08

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on October 8, 2024.

F3 · derivative.exercise_date: The options will vest 100% on the first anniversary of the grant date, so long as the reporting person continues to serve on the board of directors of the issuer.

SEC source: 0001104659-23-091458 · tm2322677-4_4seq1.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,876

SEC source: 0001104659-23-062745 · tm2316214-3_4seq1.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,280 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 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F3 · derivative.exercise_price: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

F4 · date: The restricted stock units were previously reported as covering 96,015 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. Such restricted stock units were granted on March 28, 2022 and vested in full on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F4 · derivative.exercise_date: The restricted stock units were previously reported as covering 96,015 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. Such restricted stock units were granted on March 28, 2022 and vested in full on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F4 · derivative.expiration_date: The restricted stock units were previously reported as covering 96,015 shares, but were adjusted to reflect the January 2023 Reverse Stock Split. Such restricted stock units were granted on March 28, 2022 and vested in full on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-23-062745 · tm2316214-3_4seq1.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,263

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: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F3 · balance_after: On January 23, 2023, the issuer effected a 75-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "January 2023 Reverse Stock Split). Upon effectiveness of the January 2023 Reverse Stock Split, every 75 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-22-062470 · tm2215330-2_4seq1.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,133 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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_price: On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · derivative.exercise_date: The restricted stock units were previously reported as covering 39,400 shares, but were adjusted to reflect the Reverse Stock Split. Such restricted stock units were granted on May 18, 2021 and vested in full on May 18, 2022, the first anniversary of the grant date.

F3 · derivative.expiration_date: The restricted stock units were previously reported as covering 39,400 shares, but were adjusted to reflect the Reverse Stock Split. Such restricted stock units were granted on May 18, 2021 and vested in full on May 18, 2022, the first anniversary of the grant date.

SEC source: 0001104659-22-062470 · tm2215330-2_4seq1.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,765

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: Restricted stock units convert into common stock on a one-for-one basis.

F2 · balance_after: On September 8, 2021, the issuer effected a 3-for-1 reverse stock split of the issued and outstanding shares of its voting common stock (the "Reverse Stock Split). Upon effectiveness of the Reverse Stock Split, every 3 shares of voting common stock was automatically converted into one share of voting common stock.

SEC source: 0001104659-22-040401 · tm2210715-3_4seq1.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,015

Underlying: Common Stock · 96,015 shares

Expires not disclosed

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F3 · date: The restricted stock unit grants were approved by the issuer's board of directors on March 28, 2022.

F4 · derivative.exercise_date: The restricted stock units vest in full on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F4 · derivative.expiration_date: The restricted stock units vest in full on May 17, 2023. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-21-077721 · a4.xml · nonDerivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 954,390

SEC source: 0001104659-21-077721 · a4.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 954,542

SEC source: 0001104659-21-069965 · a4.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,400

Underlying: Common Stock · 39,400 shares

Expires not disclosed

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on May 18, 2021.

F5 · derivative.exercise_date: The restricted stock units vest in full on May 18, 2022, the first anniversary of the grant date. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

F5 · derivative.expiration_date: The restricted stock units vest in full on May 18, 2022, the first anniversary of the grant date. Vested shares will be delivered to the reporting person on the vesting date provided in the grant notice.

SEC source: 0001104659-21-069965 · a4.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,750

Underlying: Common Stock · 78,750 shares

Expires 2031-05-18

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option and restricted stock unit grants were approved by the issuer's board of directors on May 18, 2021.

F3 · derivative.exercise_date: The options will vest in full on May 18, 2022, the first anniversary of the grant date, so long as the director continues to serve on the board of directors of the issuer.

SEC source: 0001104659-20-038337 · a4.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,486

Underlying: Common Stock · 45,486 shares

Expires 2030-03-20

F1 · security: Granted pursuant to the issuer's 2014 Stock Incentive Plan.

F2 · date: The option grant was approved by the issuer's board of directors on March 20, 2020.

F3 · derivative.exercise_date: The option will vest ratably on a monthly basis over 36 months from the grant date, so long as the director remains employed by the issuer.

SEC source: 0001104659-19-041840 · a4.xml · derivative · entry 5

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,410

Underlying: Common Stock · 208,410 shares

Expires 2022-07-24

F6 · security: Granted pursuant to the issuer's 2014 Equity Incentive Plan.

F7 · date: The option grant was approved by the issuer's board of directors on July 19, 2019, subject to the reporting person, in his capacity as the chairman of the board of directors, and Karen S. Wright, the Chief Financial Officer of the issuer, determining the exact number of option shares to be granted per option based on the issuer's fully diluted shares outstanding following the issuer's underwritten public offering described in note 1 above. The reporting person and Ms. Wright certified the exact number of option shares to be granted on 7/24/19, such that the effective date of the option grant was 7/24/19.

F8 · derivative.exercise_date: Vests in equal monthly installments beginning on July 24, 2019, with five months of options, or 28,945 options, vested as of the grant date based on the reporting person's number of years of service on the issuer's board of directors, such that the grant is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-19-041840 · a4.xml · derivative · entry 4

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 180,582

Underlying: Common Stock · 180,582 shares

Expires 2024-07-23

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F4 · derivative.expiration_date: The bridge warrant was issued pursuant to a purchase agreement dated April 11, 2019. The actual issuance of the bridge warrant was subject to shareholder approval, which was obtained on May 24, 2019, and is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of the purchase agreement unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16.

SEC source: 0001104659-19-041840 · a4.xml · derivative · entry 3

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 180,582

Underlying: Common Stock · 180,582 shares

Expires 2024-07-23

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F4 · derivative.expiration_date: The bridge warrant was issued pursuant to a purchase agreement dated April 11, 2019. The actual issuance of the bridge warrant was subject to shareholder approval, which was obtained on May 24, 2019, and is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of the purchase agreement unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16.

SEC source: 0001104659-19-041840 · a4.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 181,618

F1 · price: The reporting person purchased Class A Units, which consisted of one share of voting common stock, a Series 1 warrant to purchase one share of voting common stock and a Series 2 warrant to purchase one share of voting common stock, in an underwritten public offering by the issuer at a price of $2.00 per unit. The offering closed on July 23, 2019.

F2 · balance_after: On June 7, 2019, the issuer effected a 70-to-1 reverse stock split of the issued and outstanding shares of its voting common stock. Upon effectiveness of the reverse stock split, every 70 shares of voting common stock was automatically converted into one share of voting common stock.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16.

SEC source: 0001104659-19-041840 · a4.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 218,750

Underlying: Common Stock · 218,750 shares

Expires 2024-04-11

F4 · date: The bridge warrant was issued pursuant to a purchase agreement dated April 11, 2019. The actual issuance of the bridge warrant was subject to shareholder approval, which was obtained on May 24, 2019, and is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of the purchase agreement unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F5 · price: The reporting person purchased a 12% promissory note and received a bridge warrant in connection therewith, which was exercisable for a number of shares of voting common stock equal to 125% of the principal amount of the promissory note divided by the exercise price of $2.00.

F4 · derivative.expiration_date: The bridge warrant was issued pursuant to a purchase agreement dated April 11, 2019. The actual issuance of the bridge warrant was subject to shareholder approval, which was obtained on May 24, 2019, and is exercisable upon the consummation of the underwritten public offering described in note 1 above for a period of five years from the date of the purchase agreement unless earlier terminated upon occurrence of certain events as set forth in the terms of the warrant. The Series 1 and Series 2 warrants are immediately exercisable upon issuance for a period of five years unless earlier terminated upon occurrence of certain events as set forth in the terms of the respective warrants. The exercise price for the bridge warrant and the Series 1 and Series 2 warrants is $2.00, calculated as the per share price at which the issuer issued securities in the underwritten public offering described in note 1 above.

F3 · ownership.nature: Securities held directly by the Bochnowski Family Trust. Mr. Bochnowski, by virtue of his position as a co-trustee and beneficiary of such trust and his sharing of voting and investment control over the securities held by the trust with his spouse, may be deemed to beneficially own the securities held by the Bochnowski Family Trust for purposes of Section 16.

SEC source: 0001104659-18-038712 · a4.xml · derivative · entry 2

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,665

Underlying: Common Stock · 251,665 shares

Expires 2028-05-14

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F5 · date: The option grant was approved by the Issuer's board of directors on May 14, 2018, subject to the stockholders approving and effecting a reverse stock split. The Issuer's shareholders approved the reverse stock split on May 18, 2018 and effected such stock split on June 1, 2018.

F6 · derivative.exercise_date: Vests in equal monthly installments, beginning on May 14, 2018, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-18-038712 · a4.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,709

Underlying: Common Stock · 71,709 shares

Expires 2027-08-02

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · security: All share numbers and the exercise price reflect the 1-for-15 reverse stock split effected on June 1, 2018.

F3 · date: The option grant was approved by the Issuer's board of directors on August 2, 2017, subject to shareholder approval of the amendment to the 2014 Stock Incentive Plan. The Issuer's shareholders approved the amendment on March 12, 2018.

F4 · derivative.exercise_date: Vests in equal monthly installments, beginning August 2, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-17-048563 · a4.xml · nonDerivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bochnowski Family Trust

Disclosed balance after: 797,935

F1 · ownership.nature: The Reporting Person is a co-trustee and beneficiary of such trust, and shares voting and investment control over such shares with his spouse.

SEC source: 0001104659-16-163173 · a4.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,378

Underlying: Common Stock · 16,378 shares

Expires 2026-12-19

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in equal monthly installments, beginning on January 19, 2017, such that it is vested in full on the 3-year anniversary of the grant date.

SEC source: 0001104659-16-146289 · a4.xml · derivative · entry 1

BOCHNOWSKI JAMES J · CIK 0001255743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2026-09-22

F1 · security: Granted pursuant to the Issuer's 2014 Equity Incentive Plan

F2 · derivative.exercise_date: Vests in equal monthly installments, beginning on October 22, 2016, such that it is vested in full on the 3-year anniversary of the grant date.