Bisson Lori

SEC source: 0001437749-26-029833 · rdgdoc.xml · nonDerivative · entry 1

Bisson Lori · CIK 0001768578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,119

F1 · price: Represents restricted stock award vesting one-year from the date of issuance of September 3, 2026.

SEC source: 0001437749-25-026637 · rdgdoc.xml · derivative · entry 2

Bisson Lori · CIK 0001768578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,250

Underlying: Common Stock · 46,680 shares

Expires 2033-06-30

F1 · shares: Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received no consideration for the cancellation.

F1 · price: Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received no consideration for the cancellation.

F1 · derivative.exercise_date: Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received no consideration for the cancellation.

F2 · balance_after: Amount represents a revised share amount based on a 1-for-20 reverse stock split from October 25,2024.

SEC source: 0001437749-25-026637 · rdgdoc.xml · derivative · entry 1

Bisson Lori · CIK 0001768578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,930

Underlying: Common Stock · 18,862 shares

Expires 2034-06-21

F1 · shares: Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received no consideration for the cancellation.

F1 · price: Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received no consideration for the cancellation.

F1 · derivative.exercise_date: Option represents a revised share amount and exercise price based on a 1-for-20 reverse stock split from October 25, 2024. The option was cancelled by mutual agreement of the reporting person and the Company. The reporting person received no consideration for the cancellation.

SEC source: 0001437749-24-021106 · rdgdoc.xml · derivative · entry 1

Bisson Lori · CIK 0001768578 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,335,821

Underlying: Common Stock · 377,221 shares

Expires 2034-06-21

F2 · price: Issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The option set forth in this table vests in four equal annual installments beginning on the first anniversary of the Transaction Date, subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · derivative · entry 9

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,175 shares

Expires 2023-11-15

F3 · price: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding and unexercised warrant, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the excess of (i) the number of shares of common stock subject to the warrant, multiplied by the Merger Consideration over (ii) the number of shares of common stock subject to the warrant, multiplied by the per share exercise price of such warrant.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding and unexercised warrant, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the excess of (i) the number of shares of common stock subject to the warrant, multiplied by the Merger Consideration over (ii) the number of shares of common stock subject to the warrant, multiplied by the per share exercise price of such warrant.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · derivative · entry 8

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,639 shares

Expires 2023-10-30

F3 · price: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding and unexercised warrant, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the excess of (i) the number of shares of common stock subject to the warrant, multiplied by the Merger Consideration over (ii) the number of shares of common stock subject to the warrant, multiplied by the per share exercise price of such warrant.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding and unexercised warrant, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the excess of (i) the number of shares of common stock subject to the warrant, multiplied by the Merger Consideration over (ii) the number of shares of common stock subject to the warrant, multiplied by the per share exercise price of such warrant.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · derivative · entry 7

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,186 shares

Expires 2023-10-19

F3 · price: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding and unexercised warrant, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the excess of (i) the number of shares of common stock subject to the warrant, multiplied by the Merger Consideration over (ii) the number of shares of common stock subject to the warrant, multiplied by the per share exercise price of such warrant.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the effective time of the Merger, each outstanding and unexercised warrant, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the excess of (i) the number of shares of common stock subject to the warrant, multiplied by the Merger Consideration over (ii) the number of shares of common stock subject to the warrant, multiplied by the per share exercise price of such warrant.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · derivative · entry 6

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,000 shares

Expires 2031-01-21

F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · derivative · entry 5

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,600 shares

Expires 2030-02-04

F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · derivative · entry 4

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,100 shares

Expires 2029-06-27

F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · derivative · entry 3

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 83,500 shares

Expires 2029-02-04

F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · derivative · entry 2

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 180,000 shares

Expires 2028-06-08

F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding and unexercised option, whether vested or unvested, was converted into the right to receive a cash payment, without interest and subject to deduction for any required withholding under applicable law, in an amount equal to the Merger Consideration minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-21-000072 · wf-form4_163977878653996.xml · nonDerivative · entry 1

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of May 8, 2021 (the "Merger Agreement"), by and among Soliton, Inc. (the "Company"), AbbVie Inc. ("AbbVie") and Scout Merger Sub, Inc., a wholly owned subsidiary of AbbVie ("Merger Sub"), at the effective time of the merger of Merger Sub with and into the Company (the "Merger"), these shares of Company common stock were converted into the right to receive $22.60 in cash (the "Merger Consideration"), without interest.

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of May 8, 2021 (the "Merger Agreement"), by and among Soliton, Inc. (the "Company"), AbbVie Inc. ("AbbVie") and Scout Merger Sub, Inc., a wholly owned subsidiary of AbbVie ("Merger Sub"), at the effective time of the merger of Merger Sub with and into the Company (the "Merger"), these shares of Company common stock were converted into the right to receive $22.60 in cash (the "Merger Consideration"), without interest.

SEC source: 0001548187-21-000025 · wf-form4_161860799399280.xml · derivative · entry 1

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 418,200

Underlying: Common Stock · 65,000 shares

Expires 2031-01-21

F1 · date: The stock option was approved by the compensation committee of Soliton Inc.'s board of directors on January 21, 2021, subject to shareholder approval of the 2018 Stock Plan under which the option was granted. The shareholders of Soliton, Inc. approved the plan at the company's annual meeting on April 15, 2021.

F3 · price: The stock options were issued in connection with the reporting person's employment with the Company.

F2 · derivative.exercise_date: The stock options set forth in this table vest in four equal annual installments and are subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001548187-20-000014 · wf-form4_158154513752238.xml · derivative · entry 1

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,200

Underlying: Common Stock · 53,600 shares

Expires 2030-02-04

F2 · price: The stock options were issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest in four equal annual installments beginning on the first anniversary of the Transaction Date and are subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001437749-19-013235 · rdgdoc.xml · derivative · entry 1

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,600

Underlying: Common Stock · 21,100 shares

Expires 2029-06-27

F2 · price: The stock options were issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest in four equal annual installments beginning on the first anniversary of the Transaction Date and are subject to the grantee's continued service to the Company on each vesting date.

SEC source: 0001548187-20-000007 · wf-form4a_158154370131094.xml · derivative · entry 1

Bisson Lori · CIK 0001768578 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,600

Underlying: Common Stock · 21,100 shares

Expires 2029-06-27

F2 · price: The stock options were issued in connection with the reporting person's employment with the Company.

F1 · derivative.exercise_date: The stock options set forth in this table vest in four equal annual installments beginning on the first anniversary of the Transaction Date and are subject to the grantee'scontinued service to the Company on each vesting date.