Bazemore Todd

SEC source: 0001605767-25-000004 · form4-10242025_081006.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,932

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.82 to $0.85, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · balance_after: Includes 35,732 unvested RSUs.

SEC source: 0001104659-25-086367 · tm2524823-1_4seq1.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2035-08-28

F1 · derivative.exercise_date: This option was granted on August 29, 2025 and vests over four years beginning on the vesting commencement date of August 29, 2025, with 1/48th of the shares underlying the option vesting at the end of each successive one-month period thereafter until August 29, 2029, subject to the Reporting Person's continued service.

SEC source: 0001415889-25-018319 · form4-06262025_080605.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,699

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 10, 2020 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units ("RSUs") granted on June 22, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.87 to $4.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 35,732 unvested RSUs.

SEC source: 0001415889-25-015679 · form4-06042025_080606.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,757

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 10, 2020 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units ("RSUs") granted on May 31, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.52 to $4.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 51,963 unvested RSUs.

SEC source: 0001415889-25-007598 · form4-03102025_080302.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,200

Underlying: Common Stock · 45,200 shares

Expires 2035-03-06

F1 · derivative.exercise_date: This option was granted on March 7, 2025 and vests as to 1/12th of the shares underlying the option at the end of each successive one-month period over a one-year period following February 11, 2025, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001415889-25-001062 · form4-01082025_010100.xml · derivative · entry 4

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,200

Underlying: Common Stock · 45,200 shares

Expires 2035-01-05

F5 · derivative.exercise_date: This option was granted on January 6, 2025 and vests over four years beginning on the vesting commencement date of January 6, 2025, with 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter until January 6, 2029, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001415889-25-001062 · form4-01082025_010100.xml · nonDerivative · entry 2

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

F3 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs granted on January 4, 2023 and January 4, 2024.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.48 to $7.63, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · valueOwnedAfter: Includes 64,324 unvested RSUs.

SEC source: 0001415889-25-001062 · form4-01082025_010100.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued employment with the Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 6, 2026, as to 1/3 of the shares underlying the RSUs on January 6, 2027 and as to the final 1/3 of shares underlying the RSUs on January 6, 2028.

F2 · valueOwnedAfter: Includes 64,324 unvested RSUs.

SEC source: 0001415889-24-018377 · form4-06272024_080611.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,040

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 10, 2020 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units ("RSUs") granted on June 22, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.50 to $5.09, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 60,656 unvested RSUs.

SEC source: 0001415889-24-015226 · form4-06032024_080613.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,693

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 10, 2020 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units ("RSUs") granted on May 31, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.07 to $6.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 76,887 unvested RSUs.

SEC source: 0001415889-24-000766 · form4-01052024_090104.xml · derivative · entry 4

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,300

Underlying: Common Stock · 29,300 shares

Expires 2034-01-03

F6 · derivative.exercise_date: This option was granted on January 4, 2024 and vests over four years beginning on the vesting commencement date of January 4, 2024, with 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter until January 4, 2028, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001415889-24-000766 · form4-01052024_090104.xml · nonDerivative · entry 2

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

F3 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs granted on January 4, 2023 and January 4, 2021.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.73 to $6.98, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F5 · valueOwnedAfter: Includes 84,890 unvested RSUs.

SEC source: 0001415889-24-000766 · form4-01052024_090104.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued employment with the Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2025, as to 1/3 of the shares underlying the RSUs on January 4, 2026 and as to the final 1/3 of shares underlying the RSUs on January 4, 2027.

F2 · valueOwnedAfter: Includes 89,340 unvested RSUs.

SEC source: 0001415889-23-010283 · form4-06232023_080606.xml · derivative · entry 3

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,931

Underlying: Common Stock · 64,931 shares

Expires 2033-06-21

F3 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010283 · form4-06232023_080606.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,691

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 82,840 unvested RSUs.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · derivative · entry 10

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 864 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F11 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for the purchase of up to 2,160 shares of common stock of the issuer based on the level of achievement of specified performance metrics relating to financial, operational and scientific matters, of which, prior to the option exchange program, options to purchase 576 shares had vested, options to purchase 1,152 shares had been forfeited and options to purchase up to 432 shares were unvested assuming maximum level of achievement (options to purchase 288 shares were unvested assuming target level of achievement). The vested portion of the option and the unvested portion of the option assuming target level of achievement were eligible for the issuer's option exchange program.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · derivative · entry 9

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,759 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F10 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · derivative · entry 8

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,199 shares

Expires 2031-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F9 · derivative.exercise_date: The canceled option was granted on January 4, 2021 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · derivative · entry 7

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,400 shares

Expires 2030-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F8 · derivative.exercise_date: The canceled option was granted on January 2, 2020 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · derivative · entry 6

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,499 shares

Expires 2029-10-10

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F7 · derivative.exercise_date: The canceled option was granted on October 11, 2019 and provided for vesting with respect to 1/48th of the shares underlying the option on November 15, 2019 and 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · derivative · entry 5

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,499 shares

Expires 2029-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F6 · derivative.exercise_date: The canceled option was granted on January 2, 2019 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · derivative · entry 4

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 499 shares

Expires 2028-02-06

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F5 · derivative.exercise_date: The canceled option was granted on February 7, 2018 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · derivative · entry 3

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,439 shares

Expires 2027-11-19

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The canceled option was granted on November 20, 2017 and provided for vesting over four years with 25% of the shares underlying the option vested on November 20, 2018 and an additional 1/48th of the shares underlying the option vested at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009134 · form4-06022023_080605.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,993

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 16,011 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 5,147 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 34,142 unvested RSUs.

SEC source: 0001415889-23-004974 · form4-03152023_080304.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 576

Underlying: Common Stock · 576 shares

Expires 2032-01-03

F1 · derivative.exercise_date: On January 3, 2022, the Reporting Person was granted an option to purchase up to 2,160 shares of common stock of the Issuer. Specified portions of the options vest based on the level of achievement of specified performance metrics relating to financial, operational and scientific matters.

F2 · derivative.exercise_date: On March 14, 2023, the Compensation Committee of the Issuer's Board of Directors determined that certain of the performance conditions were achieved at specific levels of achievement, resulting in vesting of the option as to 576 shares of common stock. The Compensation Committee has made no determination with respect to certain performance metrics, which could result in the further vesting of up to 432 shares of common stock underlying the option.

SEC source: 0001493152-23-002916 · ownership.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 shares

Expires 2033-01-26

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 26, 2023, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001415889-23-000637 · form4-01062023_080107.xml · nonDerivative · entry 2

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,835

F3 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on January 4, 2021.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.52 to $28.73, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F5 · balance_after: Includes 12,984 unvested RSUs.

SEC source: 0001415889-23-000637 · form4-01062023_080107.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,897

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2024, as to 1/3 of the shares underlying the RSUs on January 4, 2025 and as to the final 1/3 of shares underlying the RSUs on January 4, 2026.

F2 · balance_after: Includes 13,167 unvested RSUs.

SEC source: 0001415889-22-010881 · form4-10282022_041026.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,097

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on June 25, 2020.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.51 to $6.56, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 367 unvested RSUs.

F4 · balance_after: The number of shares of common stock reported on this Form 4 reflects a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-22-007060 · form4-06292022_050608.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,499

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the reporting person's restricted stock units granted on June 25, 2020.

F2 · balance_after: Includes 58,834 unvested RSUs.

SEC source: 0001493152-22-002620 · ownership.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,100

Underlying: Common Stock · 22,100 shares

Expires 2032-01-27

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments with the first tranche vesting on January 27, 2022, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001415889-22-000403 · form4-01052022_080117.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,591

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units granted on January 4, 2021.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.39, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 68,334 unvested RSUs.

SEC source: 0001415889-22-000403 · form4-01052022_080117.xml · derivative · entry 3

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,000

Underlying: Common Stock · 238,000 shares

Expires 2032-01-03

F4 · derivative.exercise_date: This option was granted on January 3, 2022 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001415889-21-005011 · form4-10282021_051035.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,045

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on June 25, 2020.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.79 to $1.89, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 77,500 unvested RSUs.

SEC source: 0001415889-21-003257 · form4-06292021_050608.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the reporting person's restricted stock units granted on June 25, 2020.

F2 · valueOwnedAfter: Includes 118,000 unvested RSUs.

SEC source: 0001493152-21-002323 · ownership.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-01-28

F1 · derivative.exercise_date: The shares underlying this stock option will vest and become exercisable in forty-eight (48) equal monthly installments beginning on the first monthly anniversary of the date of grant, with the first tranche vesting on January 28, 2021, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001179110-21-000169 · edgar.xml · derivative · entry 3

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2031-01-03

F4 · derivative.exercise_date: This option was granted on January 4, 2021 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-21-000169 · edgar.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2022, as to 1/3 of the shares underlying the RSUs on January 4, 2023 and as to the final 1/3 of shares underlying the RSUs on January 4, 2024.

F2 · balance_after: Includes 127,500 unvested RSUs.

SEC source: 0001179110-20-010711 · edgar.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 100,000 unvested RSUs.

SEC source: 0001179110-20-010711 · edgar.xml · nonDerivative · entry 3

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 42

F3 · date: These transactions are being reported late because these shares were acquired by the reporting person's adult son without the reporting person's knowledge.

F4 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-20-018828 · ownership.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-10-01

F1 · derivative.exercise_date: One-fourth (1/4) of the shares underlying this stock option will vest and become exercisable on the first anniversary of the date of grant, and an additional 2.083% of the shares underlying this option will vest on the last day of each of the thirty-six (36) months that follow the first anniversary of the date of grant, provided that the reporting person is providing services to the Issuer on the applicable vesting date and subject to the terms and conditions of the Pulmatrix, Inc. Amended and Restated 2013 Employee, Director and Consultant Equity Incentive Plan.

SEC source: 0001104659-20-078271 · a4.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 19,000 unvested RSUs.

SEC source: 0001179110-20-010711 · edgar.xml · nonDerivative · entry 2

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 2

F3 · date: These transactions are being reported late because these shares were acquired by the reporting person's adult son without the reporting person's knowledge.

F4 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001179110-20-003841 · edgar.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001179110-20-000160 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2030-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2020 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-19-011017 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2029-10-11

F1 · derivative.exercise_date: This option vests as to 2.0833% of the shares underlying the option on November 15, 2019 and as to an additional 2.0833% of the shares underlying the option at the end of each successive one month period thereafter.

SEC source: 0001179110-19-000460 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-18-001894 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-17-014415 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,000

Underlying: Common Stock · 172,000 shares

Expires 2027-11-19

F1 · derivative.exercise_date: This option was granted on November 20, 2017 and vests over four years, with 25% of the shares underlying the option vesting on November 20, 2018, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.