ERB JOHN L

SEC source: 0001213867-25-000004 · primary_doc.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,329

Underlying: Common Stock · 115,329 shares

Expires 2035-06-26

F1 · derivative.exercise_date: The options will vest in 12 equal consecutive monthly increments, so all will be vested on the one-year anniversary of the date of grant.

SEC source: 0001213867-25-000003 · primary_doc.xml · nonDerivative · entry 2

ERB JOHN L · CIK 0001213867 · Director · CEO and President · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,100,022

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.

SEC source: 0001213867-25-000003 · primary_doc.xml · derivative · entry 5

ERB JOHN L · CIK 0001213867 · Director · CEO and President · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34

Underlying: Common Stock · 1,100,022 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.

F3 · price: The Reporting Person's shares of Series F-1 Convertible Preferred Stock are convertible into shares of common stock, par value $0.0001 per share, subject to a 19.99% beneficial ownership limitation.

F2 · derivative.expiration_date: The preferred stock has no expiration date.

SEC source: 0001213867-25-000003 · primary_doc.xml · derivative · entry 4

ERB JOHN L · CIK 0001213867 · Director · CEO and President · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 1,666,667 shares

Expires not disclosed

F1 · kind: On June 9, 2025, the Issuer entered into a Securities Exchange Agreement with the Reporting Person, pursuant to which the Issuer agreed to issue 100 shares of its newly designated Series F-1 Convertible Preferred Stock ("F-1 Stock") in exchange for 100 shares of its outstanding Series F Convertible Preferred Stock ("F Stock"). Each share of F-1 Stock and F Stock has a stated value of $1,000.

F1 · price: On June 9, 2025, the Issuer entered into a Securities Exchange Agreement with the Reporting Person, pursuant to which the Issuer agreed to issue 100 shares of its newly designated Series F-1 Convertible Preferred Stock ("F-1 Stock") in exchange for 100 shares of its outstanding Series F Convertible Preferred Stock ("F Stock"). Each share of F-1 Stock and F Stock has a stated value of $1,000.

F2 · derivative.expiration_date: The preferred stock has no expiration date.

F3 · derivative.underlying_shares: The Reporting Person's shares of Series F-1 Convertible Preferred Stock are convertible into shares of common stock, par value $0.0001 per share, subject to a 19.99% beneficial ownership limitation.

SEC source: 0001213867-25-000003 · primary_doc.xml · derivative · entry 3

ERB JOHN L · CIK 0001213867 · Director · CEO and President · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,666,667 shares

Expires not disclosed

F1 · kind: On June 9, 2025, the Issuer entered into a Securities Exchange Agreement with the Reporting Person, pursuant to which the Issuer agreed to issue 100 shares of its newly designated Series F-1 Convertible Preferred Stock ("F-1 Stock") in exchange for 100 shares of its outstanding Series F Convertible Preferred Stock ("F Stock"). Each share of F-1 Stock and F Stock has a stated value of $1,000.

F1 · price: On June 9, 2025, the Issuer entered into a Securities Exchange Agreement with the Reporting Person, pursuant to which the Issuer agreed to issue 100 shares of its newly designated Series F-1 Convertible Preferred Stock ("F-1 Stock") in exchange for 100 shares of its outstanding Series F Convertible Preferred Stock ("F Stock"). Each share of F-1 Stock and F Stock has a stated value of $1,000.

F2 · derivative.expiration_date: The preferred stock has no expiration date.

SEC source: 0001213867-25-000003 · primary_doc.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,092,500

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.

SEC source: 0001415889-23-016380 · form4-12132023_091222.xml · derivative · entry 7

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2030-07-14

F5 · price: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

F5 · derivative.exercise_date: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

SEC source: 0001415889-23-016380 · form4-12132023_091222.xml · derivative · entry 6

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2029-07-25

F5 · price: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

F5 · derivative.exercise_date: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

SEC source: 0001415889-23-016380 · form4-12132023_091222.xml · derivative · entry 5

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2028-05-30

F5 · price: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

F5 · derivative.exercise_date: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

SEC source: 0001415889-23-016380 · form4-12132023_091222.xml · derivative · entry 4

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,750 shares

Expires 2028-05-30

F5 · price: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

F5 · derivative.exercise_date: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

SEC source: 0001415889-23-016380 · form4-12132023_091222.xml · derivative · entry 3

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2027-04-14

F5 · price: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

F5 · derivative.exercise_date: In connection with the closing under the Merger Agreement, each employee stock option (right to buy) was canceled in exchange for (i) an amount in cash, without interest and less any required withholding tax, equal to the product of (A) the excess of the amount of the Cash Consideration over the exercise price per share of such stock option and (B) the number of shares that were subject to such stock option, without regard to vesting, and (ii) a number of CVRs equal to the same number of shares that were subject to such stock option, provided, that the payment, if any, under each CVR shall be reduced by the amount by which the exercise price per share exceeds the amount of the Cash Consideration.

SEC source: 0001415889-23-016380 · form4-12132023_091222.xml · nonDerivative · entry 2

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F3 · security: Previously unvested restricted stock units ("RSUs"), each of which represented a contingent right to receive one share of the Issuer's common stock.

F4 · price: In connection with the closing under the Merger Agreement, each outstanding RSU award was cancelled and exchanged for the right to receive (i) a cash payment equal to (x) the total numbers of shares subject to the RSU award multiplied by (y) the Cash Consideration and (ii) one CVR with respect to each share subject to such RSU award.

SEC source: 0001415889-23-016380 · form4-12132023_091222.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,201

F1 · shares: Shares tendered and accepted pursuant to the terms of an offer conducted pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, United Therapeutics Corporation ("Parent") and Morpheus Subsidiary Inc., dated as of October 29, 2023, for consideration consisting of (i) $3.25 per share, payable in cash, without interest and less any required withholding taxes (the "Cash Consideration"), plus (ii) one contractual, non-tradeable contingent value right per share (each, a "CVR").

F1 · price: Shares tendered and accepted pursuant to the terms of an offer conducted pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, United Therapeutics Corporation ("Parent") and Morpheus Subsidiary Inc., dated as of October 29, 2023, for consideration consisting of (i) $3.25 per share, payable in cash, without interest and less any required withholding taxes (the "Cash Consideration"), plus (ii) one contractual, non-tradeable contingent value right per share (each, a "CVR").

F2 · price: Each CVR entitles the reporting person to potentially receive contingent payments of up to an aggregate of $1.75 per CVR, without interest and less any required withholding taxes, upon the achievement of a specified milestone in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement"), dated as of December 12, 2023, by and between Parent and Continental Stock Transfer & Trust Company.

SEC source: 0001415889-23-009212 · form4-06052023_080613.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,461

F1 · shares: The RSUs shall vest upon the earlier of (i) the next annual meeting of the stockholders of the Company or (ii) June 1, 2024.

SEC source: 0001140361-23-026242 · form4.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,146

Underlying: Common Stock · 2,146 shares

Expires 2033-05-18

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001415889-23-005632 · form4-03302023_080342.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,260

SEC source: 0001415889-22-008655 · form4-08162022_060828.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,010

F1 · shares: Restricted Stock Units ("RSUs") that will fully vest on the earlier of the next annual meeting or one year from the date of the grant.

SEC source: 0001596771-22-000013 · primary_doc.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,806

Underlying: Common Stock · 15,806 shares

Expires 2032-05-24

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001596771-21-000048 · primary_doc.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,752

Underlying: Common Stock · 8,752 shares

Expires 2031-08-17

F1 · derivative.exercise_date: Vests in 12 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the one-year anniversary of the date of grant.

SEC source: 0001179110-21-007130 · edgar.xml · derivative · entry 2

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,667 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: Each share of Series B-2 Preferred Stock had no expiration date and automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering.

F1 · price: Each share of Series B-2 Preferred Stock had no expiration date and automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: Each share of Series B-2 Preferred Stock had no expiration date and automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering.

SEC source: 0001179110-21-007130 · edgar.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,222

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: Each share of Series B-2 Preferred Stock had no expiration date and automatically converted into one share of Common Stock upon the closing of the Issuer's initial public offering.

SEC source: 0001179110-21-007034 · edgar.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,555

F1 · shares: Restricted Stock Units ("RSUs") that will fully vest on the earlier of the next annual meeting or one year from the date of the grant.

SEC source: 0001596771-21-000032 · primary_doc.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,973

Underlying: Common Stock · 75,973 shares

Expires 2031-05-18

F1 · derivative.exercise_date: The options will vest as follows: 25% on the one (1) year anniversary of the date of the grant, with the remainder vesting in 36 equal consecutive monthly increments.

SEC source: 0001567619-21-001561 · doc1.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,125

Underlying: Common Stock · 33,125 shares

Expires 2031-01-21

F1 · derivative.exercise_date: The options will vest as follows: 50% of the options will vest on the one-year anniversary of the date of grant; the remaining options will vest in 12 equal consecutive monthly increments thereafter, so all will be vested on the two-year anniversary of the date of grant.

SEC source: 0001437749-19-023874 · rdgdoc.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

F1 · shares: Restricted Stock scheduled to vest on June 1, 2020, unless earlier accelerated or terminated pursuant to their terms.

SEC source: 0001596771-19-000017 · primary_doc.xml · derivative · entry 3

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,523

Underlying: Common Stock · 9,523 shares

Expires not disclosed

F1 · price: The reporting person purchased Class A Units, which consisted of one share of common stock, a Series 1 warrant to purchase one share of common stock, and a Series 2 warrant to purchase one share of common stock, in an underwritten public offering by the issuer at a price of $5.25 per unit. The offering closed on March 12, 2019.

F3 · derivative.expiration_date: The Series 2 warrant expires on the earlier of the eighteen-month anniversary of the date of issuance and the 30th trading day following public announcement by the issuer of receipt from the U.S. Food and Drug Administration of clearance or approval of a modification to the product label for the Aquadex FlexFlow system to include pediatric patients.

SEC source: 0001596771-19-000017 · primary_doc.xml · derivative · entry 2

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,523

Underlying: Common Stock · 9,523 shares

Expires 2024-03-12

F1 · price: The reporting person purchased Class A Units, which consisted of one share of common stock, a Series 1 warrant to purchase one share of common stock, and a Series 2 warrant to purchase one share of common stock, in an underwritten public offering by the issuer at a price of $5.25 per unit. The offering closed on March 12, 2019.

SEC source: 0001596771-19-000017 · primary_doc.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,615

F1 · shares: The reporting person purchased Class A Units, which consisted of one share of common stock, a Series 1 warrant to purchase one share of common stock, and a Series 2 warrant to purchase one share of common stock, in an underwritten public offering by the issuer at a price of $5.25 per unit. The offering closed on March 12, 2019.

F1 · price: The reporting person purchased Class A Units, which consisted of one share of common stock, a Series 1 warrant to purchase one share of common stock, and a Series 2 warrant to purchase one share of common stock, in an underwritten public offering by the issuer at a price of $5.25 per unit. The offering closed on March 12, 2019.

F2 · balance_after: On January 2, 2019, the issuer effected a 1-for-14 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 14 shares of common stock was automatically converted into one share of common stock.

SEC source: 0001140361-18-031727 · form4.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,355

F1 · shares: The reporting person purchased shares of common stock in an underwritten public offering by the issuer. The offering closed on July 3, 2018.

F2 · balance_after: On October 12, 2017, the Issuer effected a 1-for-20 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 20 shares of common stock was automatically converted into one share of common stock.

SEC source: 0001596771-18-000003 · primary_doc.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 659,193

Underlying: Common Stock · 659,193 shares

Expires 2028-01-16

F1 · derivative.exercise_date: The options will vest as follows: 25% of the options will vest on the one-year anniversary of the date of grant; the remaining options will vest in 36 equal consecutive monthly increments thereafter, so all will be vested on the four-year anniversary of the date of grant.

SEC source: 0001596771-17-000088 · primary_doc.xml · derivative · entry 3

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 22,300 shares

Expires 2024-11-22

F2 · price: The reporting person purchased the Preferred Stock for $995.54 per share in an underwritten public offering that closed on November 27, 2017. For each share of Preferred Stock purchased, the reporting person also received one warrant to purchase 223 shares of common stock (the Series 1 warrant), and one warrant to purchase 223 shares of common stock (the Series 2 warrant). The Preferred Stock and warrants were issued separately.

SEC source: 0001596771-17-000088 · primary_doc.xml · derivative · entry 2

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 22,300 shares

Expires 2018-11-22

F2 · price: The reporting person purchased the Preferred Stock for $995.54 per share in an underwritten public offering that closed on November 27, 2017. For each share of Preferred Stock purchased, the reporting person also received one warrant to purchase 223 shares of common stock (the Series 1 warrant), and one warrant to purchase 223 shares of common stock (the Series 2 warrant). The Preferred Stock and warrants were issued separately.

SEC source: 0001596771-17-000088 · primary_doc.xml · derivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 22,222 shares

Expires not disclosed

F2 · price: The reporting person purchased the Preferred Stock for $995.54 per share in an underwritten public offering that closed on November 27, 2017. For each share of Preferred Stock purchased, the reporting person also received one warrant to purchase 223 shares of common stock (the Series 1 warrant), and one warrant to purchase 223 shares of common stock (the Series 2 warrant). The Preferred Stock and warrants were issued separately.

F1 · derivative.expiration_date: The Series F Convertible Preferred Stock (the "Preferred Stock") has no expiration date.

SEC source: 0001596771-17-000033 · primary_doc.xml · derivative · entry 2

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2022-04-24

F1 · price: The reporting person purchased Class A Units ("Units") consisting of one share of common stock and one warrant to purchase one share of common stock for $1.00 per Unit in an underwritten public offering by the issuer. The shares of common stock and warrants comprising the Units were issued separately. The offering is expected to close on April 24, 2017.

SEC source: 0001596771-17-000033 · primary_doc.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,468

F1 · price: The reporting person purchased Class A Units ("Units") consisting of one share of common stock and one warrant to purchase one share of common stock for $1.00 per Unit in an underwritten public offering by the issuer. The shares of common stock and warrants comprising the Units were issued separately. The offering is expected to close on April 24, 2017.

F2 · balance_after: On January 12, 2017, the issuer effected a 1-for-30 reverse stock split of the issued and outstanding shares of its common stock. Upon effectiveness of the reverse stock split, every 30 shares of common stock was automatically converted into one share of common stock, resulting in a decrease of the insider's common stock holdings of 448,660 shares.

SEC source: 0001140361-17-008603 · doc1.xml · derivative · entry 3

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2021-04-22

F2 · derivative.exercise_date: This option, which is fully vested, was cancelled pursuant to the Merger in exchange for a cash payment of $885,600, representing the difference between the exercise price of the option and the merger consideration per share ($56.00) multiplied by the total number of shares underlying the option, less any applicable withholding taxes.

SEC source: 0001140361-17-008603 · doc1.xml · nonDerivative · entry 2

ERB JOHN L · CIK 0001213867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: In connection with the merger of Issuer and a subsidiary of Teleflex Incorporated (the "Merger") pursuant to an agreement and plan of merger dated December 1, 2016, all shares of Issuer common stock were cancelled and automatically converted into the right to receive $56.00 per share in cash, without interest and less any applicable withholding taxes.

SEC source: 0001596771-16-000165 · primary_doc.xml · nonDerivative · entry 1

ERB JOHN L · CIK 0001213867 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,128

F1 · price: The price represents the weighted average price of the multiple transactions reported on this line. The shares were purchased at prices ranging from $0.2128 to $0.22 per share. Upon request by the SEC staff, the issuer or any securityholder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.