Hauser Bradley

SEC source: 0001437749-26-029830 · rdgdoc.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,000

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

SEC source: 0001437749-25-026641 · rdgdoc.xml · derivative · entry 1

Hauser Bradley · CIK 0001662139 · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,000 shares

Expires 2034-06-17

F1 · derivative.exercise_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 three months severance as consideration for the cancellation.

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 three months severance as 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 three months severance as consideration for the cancellation.

SEC source: 0001437749-24-020871 · rdgdoc.xml · derivative · entry 1

Hauser Bradley · CIK 0001662139 · CEO and President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 900,000

Underlying: Common Stock · 900,000 shares

Expires 2034-06-17

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: 0001628280-23-040451 · wk-form4_1701465338.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390,632

F1 · kind: Represents a retention award of restricted stock units (the "RSUs"). Fifty percent (50%) of the RSUs will vest on December 1, 2024, and the remaining fifty percent (50%) of the RSUs will vest on June 1, 2025, in each case subject to continued service through the applicable vesting date and certain acceleration rights.

F1 · price: Represents a retention award of restricted stock units (the "RSUs"). Fifty percent (50%) of the RSUs will vest on December 1, 2024, and the remaining fifty percent (50%) of the RSUs will vest on June 1, 2025, in each case subject to continued service through the applicable vesting date and certain acceleration rights.

SEC source: 0001662139-23-000005 · wf-form4_168195492750750.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,921

F1 · kind: Represents a grant of restricted stock units that vest in one-third increments on each of the first three anniversaries of the grant date of April 19, 2023, in each case subject to continued service through the vesting date and certain acceleration rights

F1 · price: Represents a grant of restricted stock units that vest in one-third increments on each of the first three anniversaries of the grant date of April 19, 2023, in each case subject to continued service through the vesting date and certain acceleration rights

SEC source: 0001548187-21-000076 · wf-form4_163977887874998.xml · derivative · entry 5

Hauser Bradley · CIK 0001662139 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding restricted stock unit, 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.

F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding restricted stock unit, 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.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding restricted stock unit, 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.

F2 · derivative.expiration_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding restricted stock unit, 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.

SEC source: 0001548187-21-000076 · wf-form4_163977887874998.xml · derivative · entry 4

Hauser Bradley · CIK 0001662139 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 350,000 shares

Expires 2030-10-30

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"), immediately prior to the effective time of the merger of Merger Sub with and into the Company (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 $22.60 (the "Merger Consideration") minus the exercise price that would be due in cash upon exercise of such option.

F1 · derivative.exercise_date: 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"), immediately prior to the effective time of the merger of Merger Sub with and into the Company (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 $22.60 (the "Merger Consideration") minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-21-000076 · wf-form4_163977887874998.xml · derivative · entry 3

Hauser Bradley · CIK 0001662139 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2030-06-19

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"), immediately prior to the effective time of the merger of Merger Sub with and into the Company (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 $22.60 (the "Merger Consideration") minus the exercise price that would be due in cash upon exercise of such option.

F1 · derivative.exercise_date: 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"), immediately prior to the effective time of the merger of Merger Sub with and into the Company (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 $22.60 (the "Merger Consideration") minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-21-000076 · wf-form4_163977887874998.xml · derivative · entry 2

Hauser Bradley · CIK 0001662139 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2029-06-27

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"), immediately prior to the effective time of the merger of Merger Sub with and into the Company (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 $22.60 (the "Merger Consideration") minus the exercise price that would be due in cash upon exercise of such option.

F1 · derivative.exercise_date: 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"), immediately prior to the effective time of the merger of Merger Sub with and into the Company (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 $22.60 (the "Merger Consideration") minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-21-000076 · wf-form4_163977887874998.xml · derivative · entry 1

Hauser Bradley · CIK 0001662139 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2028-06-19

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"), immediately prior to the effective time of the merger of Merger Sub with and into the Company (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 $22.60 (the "Merger Consideration") minus the exercise price that would be due in cash upon exercise of such option.

F1 · derivative.exercise_date: 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"), immediately prior to the effective time of the merger of Merger Sub with and into the Company (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 $22.60 (the "Merger Consideration") minus the exercise price that would be due in cash upon exercise of such option.

SEC source: 0001548187-20-000120 · wf-form4_160436002626841.xml · derivative · entry 2

Hauser Bradley · CIK 0001662139 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 610,000

Underlying: Common Stock · 200,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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

F4 · derivative.exercise_date: The restricted stock unit set forth in this table vests in four equal installments beginning on the anniversary of the issuance date, or October 30, 2020, subject to the grantee's continued service with the Company on each vesting date.

F4 · derivative.expiration_date: The restricted stock unit set forth in this table vests in four equal installments beginning on the anniversary of the issuance date, or October 30, 2020, subject to the grantee's continued service with the Company on each vesting date.

SEC source: 0001548187-20-000120 · wf-form4_160436002626841.xml · derivative · entry 1

Hauser Bradley · CIK 0001662139 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,000

Underlying: Common Stock · 350,000 shares

Expires 2030-10-30

F2 · price: 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 installments beginning on the anniversary of the issuance date, or October 30, 2020, subject to the grantee's continued employment with the Company on each vesting date.

SEC source: 0001548187-20-000068 · wf-form4_159291858889689.xml · derivative · entry 1

Hauser Bradley · CIK 0001662139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-19

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest one year after issuance, subject to the grantee's continued service on the Company's Board of Directors.

SEC source: 0001437749-19-013230 · rdgdoc.xml · derivative · entry 1

Hauser Bradley · CIK 0001662139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 15,000 shares

Expires 2029-06-27

F2 · price: The options were issued in connection with the reporting person's Board of Director service to the Company.

F1 · derivative.exercise_date: The options set forth in this table vest one year after issuance, subject to the grantee's continued service on the Company's Board of Directors.

SEC source: 0001209191-17-028618 · doc4.xml · derivative · entry 4

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires 2023-12-18

F5 · derivative.exercise_date: Out of the total of 35,000 shares underlying this option, (a) 6,667 shares, representing the unvested portion of this option, were converted in the Merger into a corresponding option to purchase ordinary shares of Allergan, on the same terms and conditions as were applicable under such option, as adjusted based on an exchange ratio, and (b) 28,333 shares, representing the vested portion of this option, were canceled and converted in the Merger into the right to receive cash equal to the number of shares subject to such option multiplied by the excess, if any, of the Merger Consideration over the exercise price of such option.

SEC source: 0001209191-17-028618 · doc4.xml · derivative · entry 3

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,702 shares

Expires 2026-02-27

F4 · derivative.exercise_date: Out of the total of 26,702 shares underlying this option, (a) 18,914 shares, representing the unvested portion of this option, were converted in the Merger into a corresponding option to purchase ordinary shares of Allergan, on the same terms and conditions as were applicable under such option, as adjusted based on an exchange ratio, and (b) 7,788 shares, representing the vested portion of this option, were canceled and converted in the Merger into the right to receive cash equal to the number of shares subject to such option multiplied by the excess, if any, of the Merger Consideration over the exercise price of such option.

SEC source: 0001209191-17-028618 · doc4.xml · derivative · entry 2

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,229 shares

Expires 2027-01-17

F3 · derivative.exercise_date: This unvested option was converted in the Merger into a corresponding option to purchase ordinary shares of Allergan, on the same terms and conditions as were applicable under such option, as adjusted based on an exchange ratio.

SEC source: 0001209191-17-028618 · doc4.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Disposed of pursuant to the Agreement and Plan of Merger, dated as of February 13, 2017, by and among Allergan Holdco US, Inc., a wholly owned subsidiary of Allergan plc ("Allergan"), Blizzard Merger Sub, Inc. ("Merger Sub"), and the Issuer (the "Merger Agreement"), as approved by the board of directors of the Issuer, whereby Merger Sub merged with and into the Issuer, with the Issuer continuing on as the surviving corporation (the "Merger").

F2 · kind: Pursuant to the terms of the Merger Agreement, out of the total of 46,016 shares held by the Reporting Person, (i) 5,164 shares were canceled and converted into the right to receive $56.50 per share in cash, without interest and subject to any applicable withholding of taxes (the "Merger Consideration"), and (ii) 40,852 shares, representing unvested restricted stock units, were converted into a corresponding award of restricted stock units with respect to ordinary shares of Allergan, on the same terms and conditions as were applicable under such restricted stock units, as adjusted based on an exchange ratio.

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated as of February 13, 2017, by and among Allergan Holdco US, Inc., a wholly owned subsidiary of Allergan plc ("Allergan"), Blizzard Merger Sub, Inc. ("Merger Sub"), and the Issuer (the "Merger Agreement"), as approved by the board of directors of the Issuer, whereby Merger Sub merged with and into the Issuer, with the Issuer continuing on as the surviving corporation (the "Merger").

F2 · price: Pursuant to the terms of the Merger Agreement, out of the total of 46,016 shares held by the Reporting Person, (i) 5,164 shares were canceled and converted into the right to receive $56.50 per share in cash, without interest and subject to any applicable withholding of taxes (the "Merger Consideration"), and (ii) 40,852 shares, representing unvested restricted stock units, were converted into a corresponding award of restricted stock units with respect to ordinary shares of Allergan, on the same terms and conditions as were applicable under such restricted stock units, as adjusted based on an exchange ratio.

SEC source: 0001209191-17-020676 · doc4.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,016

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on March 14, 2017, to satisfy tax withholding obligations that arose in connection with the vesting of the Restricted Stock Units ("RSUs"). The RSUs vest in four equal annual installments beginning on the first anniversary of March 14, 2015.

SEC source: 0001209191-17-013117 · doc4.xml · nonDerivative · entry 2

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,301

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.61 to $55.67, 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 range.

SEC source: 0001209191-17-013117 · doc4.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,301

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on February 19, 2017, to satisfy tax withholding obligations that arose in connection with the vesting of the Restricted Stock Units (the "RSUs") granted on February 29, 2016 for 14,019 shares. The RSUs vest annually at a rate of 25% per year beginning from February 19, 2016, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001209191-17-004995 · doc4.xml · derivative · entry 2

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,229

Underlying: Common Stock · 17,229 shares

Expires 2027-01-17

F2 · derivative.exercise_date: 25% of the total number of shares subject to the option vest on January 18, 2018, and the remainder vest in equal monthly installments over a 36-month period thereafter, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001209191-17-004995 · doc4.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · SVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,700

F1 · security: Represents grant of restricted stock units payable solely in common stock that vest in four equal annual installments, with the vesting commencement date of January 18, 2017.

SEC source: 0001209191-16-153739 · doc4.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · VP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,672

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on December 5, 2016, to satisfy tax withholding obligations that arose in connection with the vesting of the Restricted Stock Units ("RSUs"). The RSUs vest in four equal annual installments beginning on the first anniversary of December 13, 2013.

SEC source: 0001209191-16-147799 · doc4.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · VP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,053

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on November 1, 2016, to satisfy tax withholding obligations that arose in connection with the vesting of the Restricted Stock Units ("RSUs"). The RSUs vest in four equal annual installments beginning on the first anniversary of November 1, 2014.

SEC source: 0001209191-16-141072 · doc4.xml · nonDerivative · entry 2

Hauser Bradley · CIK 0001662139 · VP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,240

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.18 to $37.45, 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 range.

SEC source: 0001209191-16-141072 · doc4.xml · nonDerivative · entry 1

Hauser Bradley · CIK 0001662139 · VP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,240

F1 · shares: Represents the number of shares withheld by and surrendered to the Issuer on September 11, 2016, to satisfy tax withholding obligations that arose in connection with the vesting of the Restricted Stock Units ("RSUs"). The RSUs vest in four equal annual installments beginning on the first anniversary of September 11, 2015.