Athyrium Opportunities III Co-Invest 1 LP

SEC source: 0000950170-24-136829 · ownership.xml · derivative · entry 1

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 158,058 shares

Expires 2028-12-19

F1 · kind: Represents $288,970.50 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 ("11.00% / 13.00% Convertible Notes") issued by Biora Therapeutics, Inc. (the "Company"), of which $130,034.19 aggregate principal amount has priority under the applicable indenture with regard to cash payments, on December 12, 2024 effective as of December 1, 2024 to Athyrium Opportunities III Acquisition LP ("Acquisition LP") and $907,023.39 aggregate principal amount of 11.00% / 13.00% Convertible Notes issued by the Company, of which $408,163.08 aggregate principal amount has priority under the applicable indenture with regard to cash payments, on December 12, 2024 effective as of December 1, 2024 to Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") as payment-in-kind interest.

F1 · price: Represents $288,970.50 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 ("11.00% / 13.00% Convertible Notes") issued by Biora Therapeutics, Inc. (the "Company"), of which $130,034.19 aggregate principal amount has priority under the applicable indenture with regard to cash payments, on December 12, 2024 effective as of December 1, 2024 to Athyrium Opportunities III Acquisition LP ("Acquisition LP") and $907,023.39 aggregate principal amount of 11.00% / 13.00% Convertible Notes issued by the Company, of which $408,163.08 aggregate principal amount has priority under the applicable indenture with regard to cash payments, on December 12, 2024 effective as of December 1, 2024 to Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") as payment-in-kind interest.

F1 · ownership.nature: Represents $288,970.50 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 ("11.00% / 13.00% Convertible Notes") issued by Biora Therapeutics, Inc. (the "Company"), of which $130,034.19 aggregate principal amount has priority under the applicable indenture with regard to cash payments, on December 12, 2024 effective as of December 1, 2024 to Athyrium Opportunities III Acquisition LP ("Acquisition LP") and $907,023.39 aggregate principal amount of 11.00% / 13.00% Convertible Notes issued by the Company, of which $408,163.08 aggregate principal amount has priority under the applicable indenture with regard to cash payments, on December 12, 2024 effective as of December 1, 2024 to Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") as payment-in-kind interest.

F2 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F3 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 12

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 457,250

Underlying: Common Stock · 457,250 shares

Expires 2029-07-03

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.exercise_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.exercise_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.expiration_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.expiration_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F10 · ownership.nature: Warrants to purchase 110,479 and 346,771 shares of common stock are held directly by Acquisition 2 LP and Co-Invest 1 LP, respectively.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 11

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 457,250 shares

Expires 2029-07-03

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F10 · ownership.nature: Warrants to purchase 110,479 and 346,771 shares of common stock are held directly by Acquisition 2 LP and Co-Invest 1 LP, respectively.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 10

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 5,039,236

Underlying: Common Stock · 5,039,236 shares

Expires 2028-12-19

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.exercise_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.exercise_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.expiration_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.expiration_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F9 · ownership.nature: Warrants to purchase 1,217,109 and 3,822,127 shares of common stock are held directly by Acquisition 2 LP and Co-Invest 1 LP, respectively.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 9

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 5,039,236 shares

Expires 2028-12-19

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F9 · ownership.nature: Warrants to purchase 1,217,109 and 3,822,127 shares of common stock are held directly by Acquisition 2 LP and Co-Invest 1 LP, respectively.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 8

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 2,085,372

Underlying: Common Stock · 2,085,372 shares

Expires 2028-12-19

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.exercise_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.exercise_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.expiration_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.expiration_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F8 · ownership.nature: Warrants to purchase 503,872 and 1,581,500 shares of common stock are held directly by Acquisition 2 LP and Co-Invest 1 LP, respectively.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 7

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 2,085,372 shares

Expires 2028-12-19

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F8 · ownership.nature: Warrants to purchase 503,872 and 1,581,500 shares of common stock are held directly by Acquisition 2 LP and Co-Invest 1 LP, respectively.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 6

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 500,249

Underlying: Common Stock · 500,249 shares

Expires 2028-05-09

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.exercise_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.exercise_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.expiration_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.expiration_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F7 · ownership.nature: Warrants to purchase 120,833 and 379,416 shares of common stock are held directly by Acquisition LP and Co-Invest 1 LP, respectively.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 5

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 500,249 shares

Expires 2028-05-09

F14 · derivative.exercise_price: Amounts listed reflect the impact of the 25:1 reverse stock split effected by the Company on January 3, 2023.

F14 · shares: Amounts listed reflect the impact of the 25:1 reverse stock split effected by the Company on January 3, 2023.

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F14 · derivative.underlying_shares: Amounts listed reflect the impact of the 25:1 reverse stock split effected by the Company on January 3, 2023.

F14 · balance_after: Amounts listed reflect the impact of the 25:1 reverse stock split effected by the Company on January 3, 2023.

F7 · ownership.nature: Warrants to purchase 120,833 and 379,416 shares of common stock are held directly by Acquisition LP and Co-Invest 1 LP, respectively.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 4

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 323,886

Underlying: Common Stock · 323,886 shares

Expires 2028-05-09

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.exercise_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.exercise_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F4 · derivative.expiration_date: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · derivative.expiration_date: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F6 · ownership.nature: This warrant is held directly by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP").

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 3

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 323,886 shares

Expires 2028-05-09

F14 · derivative.exercise_price: Amounts listed reflect the impact of the 25:1 reverse stock split effected by the Company on January 3, 2023.

F14 · shares: Amounts listed reflect the impact of the 25:1 reverse stock split effected by the Company on January 3, 2023.

F4 · price: Pursuant to the Exchange Agreement, at the closing, this warrant will be amended to, among other changes, (i) reduce the strike price to $0.60, (ii) limit the exercise of this warrant (together with certain of the 11.00% / 13.00% Convertible Notes, as specified in the amended and restated indenture, and all other warrants amended as part of the Exchange Agreement, including those held by third parties) to 20% of the outstanding common stock as of March 8, 2024 unless and until stockholder approval is obtained under applicable stock exchange rules (the "Applicable Stockholder Approval") (iii) provide that 20% of this warrant will be redeemable under certain conditions following the receipt of Applicable Stockholder Approval and (iv) extend the exercise period of this warrant by the number of days between the amendment of this warrant and the receipt of the Applicable Stockholder Approval.

F5 · price: (Continued from footnote 4) This warrant is subject to certain limitations on exercise, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock, would exceed a set percentage of the outstanding common stock.

F14 · derivative.underlying_shares: Amounts listed reflect the impact of the 25:1 reverse stock split effected by the Company on January 3, 2023.

F14 · balance_after: Amounts listed reflect the impact of the 25:1 reverse stock split effected by the Company on January 3, 2023.

F6 · ownership.nature: This warrant is held directly by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP").

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 2

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 24,316,788 shares

Expires 2028-12-19

F1 · price: On August 12, 2024, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP"), Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") and the other noteholders party thereto entered into a Convertible Notes Exchange Agreement (the "Exchange Agreement") whereby the Company and the holders of all outstanding 11.00% / 13.00% Convertible Senior Secured Notes due 2028 (the "11.00% / 13.00% Convertible Notes") agreed to amend and restate the terms of the indenture governing the 11.00% / 13.00% Convertible Notes to, among other changes, (i) reset the conversion price of the 11.00% / 13.00% Convertible Notes to 1,321.571348 shares per $1000 aggregate principal amount of 11.00% / 13.00% Convertible Notes converted and (ii) create two different tranches of 11.00% / 13.00% Convertible Notes with one tranche (the "Payment Priority Notes") having cash payment priority over the other tranche (the "Payment Junior Notes").

F2 · price: (Continued from footnote 1) Pursuant to the Exchange Agreement, Acquisition LP agreed to exchange $666,842 aggregate principal amount of 11.00% / 13.00% Convertible Notes for an equal aggregate principal amount of 11.00% / 13.00% Convertible Notes constituting Payment Priority Notes and Co-Invest LP agreed to exchange $2,093,144 aggregate principal amount of 11.00% / 13.00% Convertible Notes for an equal aggregate principal amount of 11.00% / 13.00% Convertible Notes constituting Payment Priority Notes. The remaining $3,778,858 and $11,861,062 aggregate principal amount of 11.00% / 13.00% Convertible Notes held by Acquisition LP and Co-Invest LP, respectively, will constitute Payment Junior Notes under the amended and restated indenture. The transactions contemplated by the Exchange Agreement are scheduled to close on or about August 15, 2024 (the "closing").

F3 · price: (Continued from footnote 2) The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of the Company's common stock, par value $0.01 per share ("common stock") (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F1 · ownership.nature: On August 12, 2024, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP"), Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") and the other noteholders party thereto entered into a Convertible Notes Exchange Agreement (the "Exchange Agreement") whereby the Company and the holders of all outstanding 11.00% / 13.00% Convertible Senior Secured Notes due 2028 (the "11.00% / 13.00% Convertible Notes") agreed to amend and restate the terms of the indenture governing the 11.00% / 13.00% Convertible Notes to, among other changes, (i) reset the conversion price of the 11.00% / 13.00% Convertible Notes to 1,321.571348 shares per $1000 aggregate principal amount of 11.00% / 13.00% Convertible Notes converted and (ii) create two different tranches of 11.00% / 13.00% Convertible Notes with one tranche (the "Payment Priority Notes") having cash payment priority over the other tranche (the "Payment Junior Notes").

F2 · ownership.nature: (Continued from footnote 1) Pursuant to the Exchange Agreement, Acquisition LP agreed to exchange $666,842 aggregate principal amount of 11.00% / 13.00% Convertible Notes for an equal aggregate principal amount of 11.00% / 13.00% Convertible Notes constituting Payment Priority Notes and Co-Invest LP agreed to exchange $2,093,144 aggregate principal amount of 11.00% / 13.00% Convertible Notes for an equal aggregate principal amount of 11.00% / 13.00% Convertible Notes constituting Payment Priority Notes. The remaining $3,778,858 and $11,861,062 aggregate principal amount of 11.00% / 13.00% Convertible Notes held by Acquisition LP and Co-Invest LP, respectively, will constitute Payment Junior Notes under the amended and restated indenture. The transactions contemplated by the Exchange Agreement are scheduled to close on or about August 15, 2024 (the "closing").

F3 · ownership.nature: (Continued from footnote 2) The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of the Company's common stock, par value $0.01 per share ("common stock") (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-097355 · ownership.xml · derivative · entry 1

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 11,794,810 shares

Expires 2028-12-19

F1 · price: On August 12, 2024, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP"), Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") and the other noteholders party thereto entered into a Convertible Notes Exchange Agreement (the "Exchange Agreement") whereby the Company and the holders of all outstanding 11.00% / 13.00% Convertible Senior Secured Notes due 2028 (the "11.00% / 13.00% Convertible Notes") agreed to amend and restate the terms of the indenture governing the 11.00% / 13.00% Convertible Notes to, among other changes, (i) reset the conversion price of the 11.00% / 13.00% Convertible Notes to 1,321.571348 shares per $1000 aggregate principal amount of 11.00% / 13.00% Convertible Notes converted and (ii) create two different tranches of 11.00% / 13.00% Convertible Notes with one tranche (the "Payment Priority Notes") having cash payment priority over the other tranche (the "Payment Junior Notes").

F2 · price: (Continued from footnote 1) Pursuant to the Exchange Agreement, Acquisition LP agreed to exchange $666,842 aggregate principal amount of 11.00% / 13.00% Convertible Notes for an equal aggregate principal amount of 11.00% / 13.00% Convertible Notes constituting Payment Priority Notes and Co-Invest LP agreed to exchange $2,093,144 aggregate principal amount of 11.00% / 13.00% Convertible Notes for an equal aggregate principal amount of 11.00% / 13.00% Convertible Notes constituting Payment Priority Notes. The remaining $3,778,858 and $11,861,062 aggregate principal amount of 11.00% / 13.00% Convertible Notes held by Acquisition LP and Co-Invest LP, respectively, will constitute Payment Junior Notes under the amended and restated indenture. The transactions contemplated by the Exchange Agreement are scheduled to close on or about August 15, 2024 (the "closing").

F3 · price: (Continued from footnote 2) The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of the Company's common stock, par value $0.01 per share ("common stock") (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F1 · ownership.nature: On August 12, 2024, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP"), Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") and the other noteholders party thereto entered into a Convertible Notes Exchange Agreement (the "Exchange Agreement") whereby the Company and the holders of all outstanding 11.00% / 13.00% Convertible Senior Secured Notes due 2028 (the "11.00% / 13.00% Convertible Notes") agreed to amend and restate the terms of the indenture governing the 11.00% / 13.00% Convertible Notes to, among other changes, (i) reset the conversion price of the 11.00% / 13.00% Convertible Notes to 1,321.571348 shares per $1000 aggregate principal amount of 11.00% / 13.00% Convertible Notes converted and (ii) create two different tranches of 11.00% / 13.00% Convertible Notes with one tranche (the "Payment Priority Notes") having cash payment priority over the other tranche (the "Payment Junior Notes").

F2 · ownership.nature: (Continued from footnote 1) Pursuant to the Exchange Agreement, Acquisition LP agreed to exchange $666,842 aggregate principal amount of 11.00% / 13.00% Convertible Notes for an equal aggregate principal amount of 11.00% / 13.00% Convertible Notes constituting Payment Priority Notes and Co-Invest LP agreed to exchange $2,093,144 aggregate principal amount of 11.00% / 13.00% Convertible Notes for an equal aggregate principal amount of 11.00% / 13.00% Convertible Notes constituting Payment Priority Notes. The remaining $3,778,858 and $11,861,062 aggregate principal amount of 11.00% / 13.00% Convertible Notes held by Acquisition LP and Co-Invest LP, respectively, will constitute Payment Junior Notes under the amended and restated indenture. The transactions contemplated by the Exchange Agreement are scheduled to close on or about August 15, 2024 (the "closing").

F3 · ownership.nature: (Continued from footnote 2) The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of the Company's common stock, par value $0.01 per share ("common stock") (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F11 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F12 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F13 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-081928 · ownership.xml · derivative · entry 1

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 651,862 shares

Expires 2028-12-19

F1 · kind: Represents $245,700 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 ("11.00% / 13.00% Convertible Notes") issued by Biora Therapeutics, Inc. (the "Company") on July 2, 2024 to Athyrium Opportunities III Acquisition LP ("Acquisition LP") and $771,206 aggregate principal amount of 11.00% / 13.00% Convertible Notes issued by the Company on July 2, 2024 to Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") as payment-in-kind interest.

F1 · price: Represents $245,700 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 ("11.00% / 13.00% Convertible Notes") issued by Biora Therapeutics, Inc. (the "Company") on July 2, 2024 to Athyrium Opportunities III Acquisition LP ("Acquisition LP") and $771,206 aggregate principal amount of 11.00% / 13.00% Convertible Notes issued by the Company on July 2, 2024 to Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") as payment-in-kind interest.

F1 · ownership.nature: Represents $245,700 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 ("11.00% / 13.00% Convertible Notes") issued by Biora Therapeutics, Inc. (the "Company") on July 2, 2024 to Athyrium Opportunities III Acquisition LP ("Acquisition LP") and $771,206 aggregate principal amount of 11.00% / 13.00% Convertible Notes issued by the Company on July 2, 2024 to Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") as payment-in-kind interest.

F2 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F3 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-020668 · doc4.xml · derivative · entry 5

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 5,039,236

Underlying: Common Stock · 5,039,236 shares

Expires 2028-12-19

F11 · security: The December 2023 Exchange Warrants have an exercise price of $5.50 per share and are exercisable at any time on or after December 19, 2023 until December 19, 2028. The December 2023 Exchange Warrants are subject to certain exercise limitations, including a limitation on the ability to exercise if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would exceed 49.9% of the outstanding common stock.

F3 · price: On December 18, 2023, the Company, Acquisition LP and Co-Invest LP entered into a Convertible Notes Exchange Agreement for New Notes and Common Stock or Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged (1) $3,360,000 aggregate principal amount of 7.25% Convertible Notes directly held by Acquisition LP for $2,520,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $9,563,000 aggregate principal amount of 7.25% Convertible Notes for warrants to purchase 1,217,109 shares of common stock

F4 · price: (Continued from footnote 3) ("December 2023 Exchange Warrants"), which warrants were issued to and are directly held by Acquisition 2 LP pursuant to the terms of the Exchange Agreement, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (ii) Co-Invest LP exchanged (1) $10,546,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for $7,910,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $30,031,000 aggregate principal amount of 7.25% Convertible Notes for December 2023 Exchange Warrants to purchase 3,822,127 shares of common stock, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged.

F5 · price: (Continued from footnote 4) All accrued and unpaid interest on 7.25% Convertible Notes exchanged pursuant to the Exchange Agreement was used to pay, in part, the purchase price owing pursuant to the Purchase Agreement. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F3 · ownership.nature: On December 18, 2023, the Company, Acquisition LP and Co-Invest LP entered into a Convertible Notes Exchange Agreement for New Notes and Common Stock or Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged (1) $3,360,000 aggregate principal amount of 7.25% Convertible Notes directly held by Acquisition LP for $2,520,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $9,563,000 aggregate principal amount of 7.25% Convertible Notes for warrants to purchase 1,217,109 shares of common stock

F4 · ownership.nature: (Continued from footnote 3) ("December 2023 Exchange Warrants"), which warrants were issued to and are directly held by Acquisition 2 LP pursuant to the terms of the Exchange Agreement, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (ii) Co-Invest LP exchanged (1) $10,546,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for $7,910,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $30,031,000 aggregate principal amount of 7.25% Convertible Notes for December 2023 Exchange Warrants to purchase 3,822,127 shares of common stock, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged.

F5 · ownership.nature: (Continued from footnote 4) All accrued and unpaid interest on 7.25% Convertible Notes exchanged pursuant to the Exchange Agreement was used to pay, in part, the purchase price owing pursuant to the Purchase Agreement. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F6 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F7 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F8 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F9 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-020668 · doc4.xml · derivative · entry 4

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 17,383,000

Underlying: Common Stock · 6,685,897 shares

Expires 2028-12-19

F3 · price: On December 18, 2023, the Company, Acquisition LP and Co-Invest LP entered into a Convertible Notes Exchange Agreement for New Notes and Common Stock or Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged (1) $3,360,000 aggregate principal amount of 7.25% Convertible Notes directly held by Acquisition LP for $2,520,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $9,563,000 aggregate principal amount of 7.25% Convertible Notes for warrants to purchase 1,217,109 shares of common stock

F4 · price: (Continued from footnote 3) ("December 2023 Exchange Warrants"), which warrants were issued to and are directly held by Acquisition 2 LP pursuant to the terms of the Exchange Agreement, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (ii) Co-Invest LP exchanged (1) $10,546,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for $7,910,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $30,031,000 aggregate principal amount of 7.25% Convertible Notes for December 2023 Exchange Warrants to purchase 3,822,127 shares of common stock, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged.

F5 · price: (Continued from footnote 4) All accrued and unpaid interest on 7.25% Convertible Notes exchanged pursuant to the Exchange Agreement was used to pay, in part, the purchase price owing pursuant to the Purchase Agreement. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F3 · ownership.nature: On December 18, 2023, the Company, Acquisition LP and Co-Invest LP entered into a Convertible Notes Exchange Agreement for New Notes and Common Stock or Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged (1) $3,360,000 aggregate principal amount of 7.25% Convertible Notes directly held by Acquisition LP for $2,520,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $9,563,000 aggregate principal amount of 7.25% Convertible Notes for warrants to purchase 1,217,109 shares of common stock

F4 · ownership.nature: (Continued from footnote 3) ("December 2023 Exchange Warrants"), which warrants were issued to and are directly held by Acquisition 2 LP pursuant to the terms of the Exchange Agreement, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (ii) Co-Invest LP exchanged (1) $10,546,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for $7,910,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $30,031,000 aggregate principal amount of 7.25% Convertible Notes for December 2023 Exchange Warrants to purchase 3,822,127 shares of common stock, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged.

F5 · ownership.nature: (Continued from footnote 4) All accrued and unpaid interest on 7.25% Convertible Notes exchanged pursuant to the Exchange Agreement was used to pay, in part, the purchase price owing pursuant to the Purchase Agreement. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F6 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F7 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F8 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F9 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-020668 · doc4.xml · derivative · entry 3

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 594,941 shares

Expires 2025-12-01

F3 · price: On December 18, 2023, the Company, Acquisition LP and Co-Invest LP entered into a Convertible Notes Exchange Agreement for New Notes and Common Stock or Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged (1) $3,360,000 aggregate principal amount of 7.25% Convertible Notes directly held by Acquisition LP for $2,520,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $9,563,000 aggregate principal amount of 7.25% Convertible Notes for warrants to purchase 1,217,109 shares of common stock

F4 · price: (Continued from footnote 3) ("December 2023 Exchange Warrants"), which warrants were issued to and are directly held by Acquisition 2 LP pursuant to the terms of the Exchange Agreement, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (ii) Co-Invest LP exchanged (1) $10,546,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for $7,910,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $30,031,000 aggregate principal amount of 7.25% Convertible Notes for December 2023 Exchange Warrants to purchase 3,822,127 shares of common stock, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged.

F5 · price: (Continued from footnote 4) All accrued and unpaid interest on 7.25% Convertible Notes exchanged pursuant to the Exchange Agreement was used to pay, in part, the purchase price owing pursuant to the Purchase Agreement. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F3 · ownership.nature: On December 18, 2023, the Company, Acquisition LP and Co-Invest LP entered into a Convertible Notes Exchange Agreement for New Notes and Common Stock or Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged (1) $3,360,000 aggregate principal amount of 7.25% Convertible Notes directly held by Acquisition LP for $2,520,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $9,563,000 aggregate principal amount of 7.25% Convertible Notes for warrants to purchase 1,217,109 shares of common stock

F4 · ownership.nature: (Continued from footnote 3) ("December 2023 Exchange Warrants"), which warrants were issued to and are directly held by Acquisition 2 LP pursuant to the terms of the Exchange Agreement, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (ii) Co-Invest LP exchanged (1) $10,546,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for $7,910,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged, and (2) $30,031,000 aggregate principal amount of 7.25% Convertible Notes for December 2023 Exchange Warrants to purchase 3,822,127 shares of common stock, together with accrued and unpaid interest on the 7.25% Convertible Notes exchanged.

F5 · ownership.nature: (Continued from footnote 4) All accrued and unpaid interest on 7.25% Convertible Notes exchanged pursuant to the Exchange Agreement was used to pay, in part, the purchase price owing pursuant to the Purchase Agreement. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F6 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F7 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F8 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F9 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-020668 · doc4.xml · derivative · entry 2

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 2,085,372

Underlying: Common Stock · 2,085,372 shares

Expires 2028-12-19

F10 · security: The December 2023 Additional Warrants have an exercise price of $5.00 per share and are exercisable at any time on or after December 19, 2023 until December 19, 2028. The December 2023 Additional Warrants are subject to certain exercise limitations, including a limitation on the ability to exercise if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would exceed 49.9% of the outstanding common stock.

F1 · price: On December 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Purchase Agreement (the "Purchase Agreement") whereby (i) Acquisition LP purchased $1,680,000 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 (the "11.00% / 13.00% Convertible Notes") and warrants to purchase 503,872 shares of the Company's common stock, par value $0.01 per share (such common stock, "common stock", and such warrants, "December 2023 Additional Warrants"), which warrants were issued to and are directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Purchase Agreement, from the Company in exchange for $1,680,000 in,

F2 · price: (Continued from footnote 1) interest that had accrued but not yet been paid to Acquisition LP under the 7.25% Convertible Notes due 2025 ( the "7.25% Convertible Notes") and (2) Co-Invest LP purchased $5,273,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes and December 2023 Additional Warrants to purchase 1,581,500 shares of common stock from the Company in exchange for $5,273,000 in interest that had accrued but not yet been paid to Co-Invest LP under the 7.25% Convertible Notes. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F1 · ownership.nature: On December 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Purchase Agreement (the "Purchase Agreement") whereby (i) Acquisition LP purchased $1,680,000 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 (the "11.00% / 13.00% Convertible Notes") and warrants to purchase 503,872 shares of the Company's common stock, par value $0.01 per share (such common stock, "common stock", and such warrants, "December 2023 Additional Warrants"), which warrants were issued to and are directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Purchase Agreement, from the Company in exchange for $1,680,000 in,

F2 · ownership.nature: (Continued from footnote 1) interest that had accrued but not yet been paid to Acquisition LP under the 7.25% Convertible Notes due 2025 ( the "7.25% Convertible Notes") and (2) Co-Invest LP purchased $5,273,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes and December 2023 Additional Warrants to purchase 1,581,500 shares of common stock from the Company in exchange for $5,273,000 in interest that had accrued but not yet been paid to Co-Invest LP under the 7.25% Convertible Notes. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F6 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F7 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F8 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F9 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-020668 · doc4.xml · derivative · entry 1

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 6,953,000

Underlying: Common Stock · 4,457,051 shares

Expires 2028-12-19

F1 · price: On December 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Purchase Agreement (the "Purchase Agreement") whereby (i) Acquisition LP purchased $1,680,000 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 (the "11.00% / 13.00% Convertible Notes") and warrants to purchase 503,872 shares of the Company's common stock, par value $0.01 per share (such common stock, "common stock", and such warrants, "December 2023 Additional Warrants"), which warrants were issued to and are directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Purchase Agreement, from the Company in exchange for $1,680,000 in,

F2 · price: (Continued from footnote 1) interest that had accrued but not yet been paid to Acquisition LP under the 7.25% Convertible Notes due 2025 ( the "7.25% Convertible Notes") and (2) Co-Invest LP purchased $5,273,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes and December 2023 Additional Warrants to purchase 1,581,500 shares of common stock from the Company in exchange for $5,273,000 in interest that had accrued but not yet been paid to Co-Invest LP under the 7.25% Convertible Notes. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F1 · ownership.nature: On December 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Purchase Agreement (the "Purchase Agreement") whereby (i) Acquisition LP purchased $1,680,000 aggregate principal amount of 11.00% / 13.00% Convertible Senior Secured Notes due 2028 (the "11.00% / 13.00% Convertible Notes") and warrants to purchase 503,872 shares of the Company's common stock, par value $0.01 per share (such common stock, "common stock", and such warrants, "December 2023 Additional Warrants"), which warrants were issued to and are directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Purchase Agreement, from the Company in exchange for $1,680,000 in,

F2 · ownership.nature: (Continued from footnote 1) interest that had accrued but not yet been paid to Acquisition LP under the 7.25% Convertible Notes due 2025 ( the "7.25% Convertible Notes") and (2) Co-Invest LP purchased $5,273,000 aggregate principal amount of 11.00% / 13.00% Convertible Notes and December 2023 Additional Warrants to purchase 1,581,500 shares of common stock from the Company in exchange for $5,273,000 in interest that had accrued but not yet been paid to Co-Invest LP under the 7.25% Convertible Notes. The 11.00% / 13.00% Convertible Notes are subject to certain limitations on conversion, including a limitation on the ability of the holder to convert if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would, in the case of Acquisition LP and Co-Invest LP, exceed 49.9% of the outstanding common stock.

F6 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F7 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F8 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F9 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-019263 · doc4.xml · derivative · entry 4

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 16,634,507

Underlying: Common Stock · 16,634,507 shares

Expires 2026-09-18

F8 · security: The Warrants have an exercise price of $3.01 per share and are exercisable at any time on or after September 18, 2023 until September 18, 2026. The Warrants are subject to certain exercise limitations, including a limitation on the ability to exercise if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would exceed 49.9% of the outstanding common stock.

F1 · price: On September 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co- Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Exchange Agreement for Common Stock and Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged $12,077,000 aggregate principal amount of 7.25% Convertible Notes due 2025 (the "7.25% Convertible Notes") directly held by Acquisition LP for (1) 2,230,690 shares of the Company's common stock, par value $0.001 per share ("common stock"), pre-funded warrants to purchase 1,787,209 shares of common stock ("Pre-Funded Warrants") and warrants to purchase 4,017,899 shares of common stock ("Warrants"), all issued to and directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Exchange Agreement,

F2 · price: (Continued from footnote 1) and (2) accrued and unpaid interest paid to Acquisition LP on the 7.25% Convertible Notes exchanged by Acquisition LP to, but excluding, September 18, 2023, and (ii) Co-Invest LP exchanged $37,923,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for (1) 7,004,591 shares of common stock, Pre-Funded Warrants to purchase 5,612,017 shares of common stock, Warrants to purchase 12,616,608 shares of common stock, all issued to and directly held by Co-Invest LP pursuant to the terms of the Exchange Agreement, and (2) accrued and unpaid interest paid to Co-Invest LP on the 7.25% Convertible Notes exchanged by Co-Invest LP to, but excluding, September 18, 2023.

F1 · ownership.nature: On September 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co- Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Exchange Agreement for Common Stock and Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged $12,077,000 aggregate principal amount of 7.25% Convertible Notes due 2025 (the "7.25% Convertible Notes") directly held by Acquisition LP for (1) 2,230,690 shares of the Company's common stock, par value $0.001 per share ("common stock"), pre-funded warrants to purchase 1,787,209 shares of common stock ("Pre-Funded Warrants") and warrants to purchase 4,017,899 shares of common stock ("Warrants"), all issued to and directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Exchange Agreement,

F2 · ownership.nature: (Continued from footnote 1) and (2) accrued and unpaid interest paid to Acquisition LP on the 7.25% Convertible Notes exchanged by Acquisition LP to, but excluding, September 18, 2023, and (ii) Co-Invest LP exchanged $37,923,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for (1) 7,004,591 shares of common stock, Pre-Funded Warrants to purchase 5,612,017 shares of common stock, Warrants to purchase 12,616,608 shares of common stock, all issued to and directly held by Co-Invest LP pursuant to the terms of the Exchange Agreement, and (2) accrued and unpaid interest paid to Co-Invest LP on the 7.25% Convertible Notes exchanged by Co-Invest LP to, but excluding, September 18, 2023.

F3 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F4 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co- Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-019263 · doc4.xml · derivative · entry 3

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 7,399,226

Underlying: Common Stock · 7,399,226 shares

Expires not disclosed

F7 · security: The Pre-Funded Warrants have an exercise price of $0.001 per share and are exercisable at any time on or after September 18, 2023 until such Pre-Funded Warrants have been fully exercised in accordance with their terms. The Pre-Funded Warrants are subject to certain exercise limitations, including a limitation on the ability to exercise if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would exceed 49.9% of the outstanding common stock.

F1 · price: On September 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co- Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Exchange Agreement for Common Stock and Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged $12,077,000 aggregate principal amount of 7.25% Convertible Notes due 2025 (the "7.25% Convertible Notes") directly held by Acquisition LP for (1) 2,230,690 shares of the Company's common stock, par value $0.001 per share ("common stock"), pre-funded warrants to purchase 1,787,209 shares of common stock ("Pre-Funded Warrants") and warrants to purchase 4,017,899 shares of common stock ("Warrants"), all issued to and directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Exchange Agreement,

F2 · price: (Continued from footnote 1) and (2) accrued and unpaid interest paid to Acquisition LP on the 7.25% Convertible Notes exchanged by Acquisition LP to, but excluding, September 18, 2023, and (ii) Co-Invest LP exchanged $37,923,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for (1) 7,004,591 shares of common stock, Pre-Funded Warrants to purchase 5,612,017 shares of common stock, Warrants to purchase 12,616,608 shares of common stock, all issued to and directly held by Co-Invest LP pursuant to the terms of the Exchange Agreement, and (2) accrued and unpaid interest paid to Co-Invest LP on the 7.25% Convertible Notes exchanged by Co-Invest LP to, but excluding, September 18, 2023.

F7 · derivative.expiration_date: The Pre-Funded Warrants have an exercise price of $0.001 per share and are exercisable at any time on or after September 18, 2023 until such Pre-Funded Warrants have been fully exercised in accordance with their terms. The Pre-Funded Warrants are subject to certain exercise limitations, including a limitation on the ability to exercise if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would exceed 49.9% of the outstanding common stock.

F1 · ownership.nature: On September 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co- Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Exchange Agreement for Common Stock and Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged $12,077,000 aggregate principal amount of 7.25% Convertible Notes due 2025 (the "7.25% Convertible Notes") directly held by Acquisition LP for (1) 2,230,690 shares of the Company's common stock, par value $0.001 per share ("common stock"), pre-funded warrants to purchase 1,787,209 shares of common stock ("Pre-Funded Warrants") and warrants to purchase 4,017,899 shares of common stock ("Warrants"), all issued to and directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Exchange Agreement,

F2 · ownership.nature: (Continued from footnote 1) and (2) accrued and unpaid interest paid to Acquisition LP on the 7.25% Convertible Notes exchanged by Acquisition LP to, but excluding, September 18, 2023, and (ii) Co-Invest LP exchanged $37,923,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for (1) 7,004,591 shares of common stock, Pre-Funded Warrants to purchase 5,612,017 shares of common stock, Warrants to purchase 12,616,608 shares of common stock, all issued to and directly held by Co-Invest LP pursuant to the terms of the Exchange Agreement, and (2) accrued and unpaid interest paid to Co-Invest LP on the 7.25% Convertible Notes exchanged by Co-Invest LP to, but excluding, September 18, 2023.

F3 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F4 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co- Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-019263 · doc4.xml · derivative · entry 2

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 53,500,000

Underlying: Common Stock · 556,020 shares

Expires 2025-12-01

F1 · price: On September 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co- Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Exchange Agreement for Common Stock and Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged $12,077,000 aggregate principal amount of 7.25% Convertible Notes due 2025 (the "7.25% Convertible Notes") directly held by Acquisition LP for (1) 2,230,690 shares of the Company's common stock, par value $0.001 per share ("common stock"), pre-funded warrants to purchase 1,787,209 shares of common stock ("Pre-Funded Warrants") and warrants to purchase 4,017,899 shares of common stock ("Warrants"), all issued to and directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Exchange Agreement,

F2 · price: (Continued from footnote 1) and (2) accrued and unpaid interest paid to Acquisition LP on the 7.25% Convertible Notes exchanged by Acquisition LP to, but excluding, September 18, 2023, and (ii) Co-Invest LP exchanged $37,923,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for (1) 7,004,591 shares of common stock, Pre-Funded Warrants to purchase 5,612,017 shares of common stock, Warrants to purchase 12,616,608 shares of common stock, all issued to and directly held by Co-Invest LP pursuant to the terms of the Exchange Agreement, and (2) accrued and unpaid interest paid to Co-Invest LP on the 7.25% Convertible Notes exchanged by Co-Invest LP to, but excluding, September 18, 2023.

F1 · ownership.nature: On September 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co- Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Exchange Agreement for Common Stock and Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged $12,077,000 aggregate principal amount of 7.25% Convertible Notes due 2025 (the "7.25% Convertible Notes") directly held by Acquisition LP for (1) 2,230,690 shares of the Company's common stock, par value $0.001 per share ("common stock"), pre-funded warrants to purchase 1,787,209 shares of common stock ("Pre-Funded Warrants") and warrants to purchase 4,017,899 shares of common stock ("Warrants"), all issued to and directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Exchange Agreement,

F2 · ownership.nature: (Continued from footnote 1) and (2) accrued and unpaid interest paid to Acquisition LP on the 7.25% Convertible Notes exchanged by Acquisition LP to, but excluding, September 18, 2023, and (ii) Co-Invest LP exchanged $37,923,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for (1) 7,004,591 shares of common stock, Pre-Funded Warrants to purchase 5,612,017 shares of common stock, Warrants to purchase 12,616,608 shares of common stock, all issued to and directly held by Co-Invest LP pursuant to the terms of the Exchange Agreement, and (2) accrued and unpaid interest paid to Co-Invest LP on the 7.25% Convertible Notes exchanged by Co-Invest LP to, but excluding, September 18, 2023.

F4 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co- Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F5 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-019263 · doc4.xml · nonDerivative · entry 1

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 10,929,763

F1 · price: On September 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co- Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Exchange Agreement for Common Stock and Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged $12,077,000 aggregate principal amount of 7.25% Convertible Notes due 2025 (the "7.25% Convertible Notes") directly held by Acquisition LP for (1) 2,230,690 shares of the Company's common stock, par value $0.001 per share ("common stock"), pre-funded warrants to purchase 1,787,209 shares of common stock ("Pre-Funded Warrants") and warrants to purchase 4,017,899 shares of common stock ("Warrants"), all issued to and directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Exchange Agreement,

F2 · price: (Continued from footnote 1) and (2) accrued and unpaid interest paid to Acquisition LP on the 7.25% Convertible Notes exchanged by Acquisition LP to, but excluding, September 18, 2023, and (ii) Co-Invest LP exchanged $37,923,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for (1) 7,004,591 shares of common stock, Pre-Funded Warrants to purchase 5,612,017 shares of common stock, Warrants to purchase 12,616,608 shares of common stock, all issued to and directly held by Co-Invest LP pursuant to the terms of the Exchange Agreement, and (2) accrued and unpaid interest paid to Co-Invest LP on the 7.25% Convertible Notes exchanged by Co-Invest LP to, but excluding, September 18, 2023.

F1 · ownership.nature: On September 18, 2023, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co- Invest 1 LP ("Co-Invest LP") entered into a Convertible Notes Exchange Agreement for Common Stock and Warrants (the "Exchange Agreement") whereby (i) Acquisition LP exchanged $12,077,000 aggregate principal amount of 7.25% Convertible Notes due 2025 (the "7.25% Convertible Notes") directly held by Acquisition LP for (1) 2,230,690 shares of the Company's common stock, par value $0.001 per share ("common stock"), pre-funded warrants to purchase 1,787,209 shares of common stock ("Pre-Funded Warrants") and warrants to purchase 4,017,899 shares of common stock ("Warrants"), all issued to and directly held by Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") pursuant to the terms of the Exchange Agreement,

F2 · ownership.nature: (Continued from footnote 1) and (2) accrued and unpaid interest paid to Acquisition LP on the 7.25% Convertible Notes exchanged by Acquisition LP to, but excluding, September 18, 2023, and (ii) Co-Invest LP exchanged $37,923,000 aggregate principal amount of 7.25% Convertible Notes directly held by Co-Invest LP for (1) 7,004,591 shares of common stock, Pre-Funded Warrants to purchase 5,612,017 shares of common stock, Warrants to purchase 12,616,608 shares of common stock, all issued to and directly held by Co-Invest LP pursuant to the terms of the Exchange Agreement, and (2) accrued and unpaid interest paid to Co-Invest LP on the 7.25% Convertible Notes exchanged by Co-Invest LP to, but excluding, September 18, 2023.

F3 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F4 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co- Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F6 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000950170-24-082273 · ownership.xml · derivative · entry 1

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · Director · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · Director · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · Director · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · Director · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · Director · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · Director · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · Director · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 457,250

Underlying: Common Stock · 457,250 shares

Expires 2023-07-03

F1 · security: On July 3, 2024, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") entered into a letter agreement pursuant to which, in exchange for Acquisition LP and Co-Invest LP agreeing to forbear from exercising or enforcing certain rights and remedies against the Company under the terms of the Company's 11.00% / 13.00% Convertible Senior Secured Notes due 2028, the Company issued to Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") and Co-Invest LP warrants to purchase 110,479 and 346,771 shares of the Company's common stock, par value $0.01 per share ("common stock"), respectively.

F2 · security: (Continued from footnote 1) The warrants have an exercise price of $0.63 per share and are exercisable at any time or on after July 3, 2024 and on or prior to 5:00 p.m. on July 3, 2028. The warrants are subject to certain exercise limitations, including a limitation on the ability to exercise if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would exceed 49.9% of the outstanding common stock.

F1 · price: On July 3, 2024, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") entered into a letter agreement pursuant to which, in exchange for Acquisition LP and Co-Invest LP agreeing to forbear from exercising or enforcing certain rights and remedies against the Company under the terms of the Company's 11.00% / 13.00% Convertible Senior Secured Notes due 2028, the Company issued to Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") and Co-Invest LP warrants to purchase 110,479 and 346,771 shares of the Company's common stock, par value $0.01 per share ("common stock"), respectively.

F2 · price: (Continued from footnote 1) The warrants have an exercise price of $0.63 per share and are exercisable at any time or on after July 3, 2024 and on or prior to 5:00 p.m. on July 3, 2028. The warrants are subject to certain exercise limitations, including a limitation on the ability to exercise if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would exceed 49.9% of the outstanding common stock.

F1 · ownership.nature: On July 3, 2024, Biora Therapeutics, Inc. (the "Company"), Athyrium Opportunities III Acquisition LP ("Acquisition LP") and Athyrium Opportunities III Co-Invest 1 LP ("Co-Invest LP") entered into a letter agreement pursuant to which, in exchange for Acquisition LP and Co-Invest LP agreeing to forbear from exercising or enforcing certain rights and remedies against the Company under the terms of the Company's 11.00% / 13.00% Convertible Senior Secured Notes due 2028, the Company issued to Athyrium Opportunities III Acquisition 2 LP ("Acquisition 2 LP") and Co-Invest LP warrants to purchase 110,479 and 346,771 shares of the Company's common stock, par value $0.01 per share ("common stock"), respectively.

F2 · ownership.nature: (Continued from footnote 1) The warrants have an exercise price of $0.63 per share and are exercisable at any time or on after July 3, 2024 and on or prior to 5:00 p.m. on July 3, 2028. The warrants are subject to certain exercise limitations, including a limitation on the ability to exercise if the holder's beneficial ownership of common stock (together with its affiliates and certain attribution parties) would exceed 49.9% of the outstanding common stock.

F3 · ownership.nature: Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Acquisition LP and Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F4 · ownership.nature: Athyrium Opportunities Associates Co-Invest LLC is the general partner of Co-Invest LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F5 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-23-001011 · doc4.xml · nonDerivative · entry 1

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

F1 · shares: On November 10, 2022, the Issuer's board of directors (the "Board") declared a dividend of one one-thousandth of a share of Series X Preferred Stock, par value $0.001 per share (the "Preferred Stock"), for each outstanding share of common stock to common stockholders of record at 5:00 p.m. Eastern Time on November 21, 2022, in a transaction exempt from Section 16 under Rule 16a-9. The shares of Preferred Stock were distributed on November 21, 2022. As a result, the Reporting Persons received the shares of Preferred Stock set forth above. The Preferred Stock was not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Issuer.

F2 · shares: On January 3, 2023, in connection with the Issuer's reverse stock split for the common stock, the shares of Preferred Stock were redeemed automatically in accordance with the certificate of designation of the Preferred Stock. Each share of Preferred Stock was redeemed in consideration for the right to receive an amount equal to $0.001 in cash (rounded to the nearest cent) for each whole share of Preferred Stock.

F2 · price: On January 3, 2023, in connection with the Issuer's reverse stock split for the common stock, the shares of Preferred Stock were redeemed automatically in accordance with the certificate of designation of the Preferred Stock. Each share of Preferred Stock was redeemed in consideration for the right to receive an amount equal to $0.001 in cash (rounded to the nearest cent) for each whole share of Preferred Stock.

F3 · ownership.nature: 3,327 shares of Preferred Stock are directly owned by Athyrium Opportunities III Acquisition LP. 19,829 shares of Preferred Stock are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings LLC and the President of Athyrium Opportunities Associates III GP LLC. 14,623 shares of Preferred Stock are directly held by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP.

F4 · ownership.nature: (Continued from Footnote 3) Athyrium Funds GP Holdings LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC. 4,583 shares of Preferred Stock are directly owned by Athyrium Opportunities 2020 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP.

F5 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-22-035696 · doc4.xml · derivative · entry 4

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 8,097,166

Underlying: Common Stock · 8,097,166 shares

Expires 2028-05-09

F6 · kind: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the grant of a replacement warrant. The warrant was originally granted on June 14, 2021 and allowed for the purchase of up to 8,097,166 shares of the Issuer's common stock. The replacement warrant has a lower exercise price and is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F6 · shares: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the grant of a replacement warrant. The warrant was originally granted on June 14, 2021 and allowed for the purchase of up to 8,097,166 shares of the Issuer's common stock. The replacement warrant has a lower exercise price and is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F6 · price: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the grant of a replacement warrant. The warrant was originally granted on June 14, 2021 and allowed for the purchase of up to 8,097,166 shares of the Issuer's common stock. The replacement warrant has a lower exercise price and is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F6 · balance_after: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the grant of a replacement warrant. The warrant was originally granted on June 14, 2021 and allowed for the purchase of up to 8,097,166 shares of the Issuer's common stock. The replacement warrant has a lower exercise price and is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

F7 · ownership.nature: The Warrant is directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

SEC source: 0000899243-22-035696 · doc4.xml · derivative · entry 3

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 8,097,166 shares

Expires 2026-06-14

F6 · kind: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the grant of a replacement warrant. The warrant was originally granted on June 14, 2021 and allowed for the purchase of up to 8,097,166 shares of the Issuer's common stock. The replacement warrant has a lower exercise price and is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F6 · shares: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the grant of a replacement warrant. The warrant was originally granted on June 14, 2021 and allowed for the purchase of up to 8,097,166 shares of the Issuer's common stock. The replacement warrant has a lower exercise price and is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F6 · price: The two reported transactions involved an amendment of an outstanding warrant, resulting in the cancellation of the "old" warrant and the grant of a replacement warrant. The warrant was originally granted on June 14, 2021 and allowed for the purchase of up to 8,097,166 shares of the Issuer's common stock. The replacement warrant has a lower exercise price and is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

F7 · ownership.nature: The Warrant is directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

SEC source: 0000899243-22-035696 · doc4.xml · derivative · entry 2

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 12,506,250

Underlying: Common Stock · 12,506,250 shares

Expires 2028-05-09

F5 · security: The Warrant represents a right to buy 12,506,250 shares of the Issuer's common stock at an exercise price of $0.3288 per share. The Warrant is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F5 · shares: The Warrant represents a right to buy 12,506,250 shares of the Issuer's common stock at an exercise price of $0.3288 per share. The Warrant is exercisable at any time between on or after May 9, 2023 and until May 9, 2028, but not thereafter.

F1 · price: The shares of the Issuer's common stock and the Warrant were purchased for an aggregate purchase price of $3,751,875, or $0.30 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant.

F2 · ownership.nature: 3,020,833 shares of the Issuer's common stock and the Warrant which represents a right to buy 3,020,833 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. 9,485,417 shares of the Issuer's common stock and the Warrant which represents a right to buy 9,485,417 shares of the Issuer's common stock are directly held by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP.

F3 · ownership.nature: (Continued from Footnote 2) Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-22-035696 · doc4.xml · nonDerivative · entry 1

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities III Acquisition LP · CIK 0001835266 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Ferrell Jeffrey · CIK 0001394967 · Director · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Funds GP Holdings LLC · CIK 0001815225 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 42,362,097

F1 · price: The shares of the Issuer's common stock and the Warrant were purchased for an aggregate purchase price of $3,751,875, or $0.30 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant.

F2 · ownership.nature: 3,020,833 shares of the Issuer's common stock and the Warrant which represents a right to buy 3,020,833 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC. 9,485,417 shares of the Issuer's common stock and the Warrant which represents a right to buy 9,485,417 shares of the Issuer's common stock are directly held by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP.

F3 · ownership.nature: (Continued from Footnote 2) Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

F4 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-21-023620 · doc4.xml · derivative · entry 2

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 8,097,166

Underlying: Common Stock · 8,097,166 shares

Expires 2026-06-14

F4 · security: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026.

F1 · price: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant.

F4 · derivative.underlying: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026.

F4 · balance_after: The Warrant represents a right to buy 8,097,166 shares of the Issuer's common stock at an exercise price of $2.84 per share. The Warrant is exercisable at any time and from time to time prior to June 14, 2026.

F2 · ownership.nature: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-21-023620 · doc4.xml · nonDerivative · entry 1

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 36,396,907

F1 · price: The shares of the Issuer's common stock and the Warrant were purchased for $2.47 per unit, with each unit consisting of one share of the Issuer's common stock and the right to buy an additional share of the Issuer's common stock for the exercise price specified in the Warrant.

F2 · ownership.nature: The 8,097,166 shares of the Issuer's common stock and the Warrant are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F3 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-21-021813 · doc4.xml · nonDerivative · entry 2

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 28,299,741

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

F3 · ownership.nature: The 961,807 shares of the Issuer's common stock are held directly by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

SEC source: 0000899243-21-021813 · doc4.xml · nonDerivative · entry 1

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 28,299,741

F1 · ownership.nature: The 306,308 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-20-033185 · doc4.xml · derivative · entry 3

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 78,500,000

Underlying: Common Stock · 21,823,737 shares

Expires 2025-12-01

F3 · derivative.exercise_price: The 7.25% Convertible Senior Notes due 2025 (the "Convertible Notes") are convertible into shares of the Issuer's common stock at an initial conversion rate of 278.0094 shares per $1,000 principal amount of Convertible Notes, which represents an initial conversion price of approximately $3.60 per share.

F5 · price: Athyrium Opportunities III Co-Invest 1 LP acquired such Convertible Notes in exchange for the discharge of amounts outstanding under the Issuer's credit and security agreement.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

F6 · ownership.nature: The $78,500,000 aggregate principal amount of Convertible Notes is held directly by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC and the managing member of Athyrium Funds GP Holdings, LLC.

SEC source: 0000899243-20-033185 · doc4.xml · derivative · entry 2

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 25,000,000

Underlying: Common Stock · 6,950,235 shares

Expires 2025-12-01

F3 · derivative.exercise_price: The 7.25% Convertible Senior Notes due 2025 (the "Convertible Notes") are convertible into shares of the Issuer's common stock at an initial conversion rate of 278.0094 shares per $1,000 principal amount of Convertible Notes, which represents an initial conversion price of approximately $3.60 per share.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

F4 · ownership.nature: The $25,000,000 aggregate principal amount of Convertible Notes is held directly by Athyrium Opportunities III Acquisition LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

SEC source: 0000899243-20-033185 · doc4.xml · nonDerivative · entry 1

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 26,991,626

F1 · ownership.nature: The 4,128,440 shares of the Issuer's common stock are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and the President of Athyrium Opportunities Associates III GP LLC.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-20-017651 · doc4.xml · derivative · entry 5

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 18,319,853 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.

F4 · derivative.exercise_price: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date.

F4 · shares: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date.

F4 · price: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date.

F4 · derivative.exercise_date: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date.

F4 · derivative.expiration_date: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

F5 · ownership.nature: The 4,211,977, 2,329,083, 7,603,040 and 4,175,753 shares of the Issuer's common stock issued on the conversion of the Series B Preferred Stock upon the closing of the initial public offering of the Issuer's common stock are held by Athyrium Opportunities Fund (A) LP, Athyrium Opportunities Fund (B) LP, Athyrium Opportunities III Acquisition 2 LP and Athyrium Opportunities III Co-Invest 1 LP, respectively. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP.

F6 · ownership.nature: (continued from footnote 5) Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates GP LLC is the general partner of Athyrium Opportunities Associates LP, which is the general partner of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Opportunities Advisers LLC is the investment adviser of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Capital Management, LP is a member of Athyrium Opportunities Associates GP LLC and an investment sub-adviser of Athyrium Opportunities Advisers LLC. NB Alternatives GP Holdings LLC is also a member of Athyrium Opportunities Associates GP LLC. NB Alternatives Holdings LLC is the sole member of NB Alternatives GP Holdings LLC and is a member of NB Alternatives Advisers LLC.

F7 · ownership.nature: (continued from footnote 6) NB Alternatives Advisers LLC is the sole member of Athyrium Opportunities Advisers LLC. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC and Athyrium Opportunities Associates III GP LLC. Athyrium Capital Holdings, LLC is the general partner of Athyrium Capital Management, LP. Jeffrey A. Ferrell is the managing member of Athyrium Capital Holdings, LLC and Athyrium Funds GP Holdings, LLC and the President of Athyrium Capital Management, LP, Athyrium Opportunities Associates Co-Invest LLC, Athyrium Opportunities Associates III GP LLC, and Athyrium Opportunities Associates GP LLC.

SEC source: 0000899243-20-017651 · doc4.xml · derivative · entry 4

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 1,250,000 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 · derivative.exercise_price: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022.

F3 · reported_value: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022.

F3 · price: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022.

F3 · derivative.exercise_date: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022.

F3 · derivative.expiration_date: The Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022.

F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-20-017651 · doc4.xml · nonDerivative · entry 3

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 23,303,346

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.

F4 · price: The Series B Preferred Stock converted into shares of the Issuer's common stock on a 0.162-for-one basis automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The Series B Preferred Stock has no expiration date.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

F5 · ownership.nature: The 4,211,977, 2,329,083, 7,603,040 and 4,175,753 shares of the Issuer's common stock issued on the conversion of the Series B Preferred Stock upon the closing of the initial public offering of the Issuer's common stock are held by Athyrium Opportunities Fund (A) LP, Athyrium Opportunities Fund (B) LP, Athyrium Opportunities III Acquisition 2 LP and Athyrium Opportunities III Co-Invest 1 LP, respectively. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition 2 LP.

F6 · ownership.nature: (continued from footnote 5) Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates GP LLC is the general partner of Athyrium Opportunities Associates LP, which is the general partner of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Opportunities Advisers LLC is the investment adviser of each of Athyrium Opportunities Fund (A) LP and Athyrium Opportunities Fund (B) LP. Athyrium Capital Management, LP is a member of Athyrium Opportunities Associates GP LLC and an investment sub-adviser of Athyrium Opportunities Advisers LLC. NB Alternatives GP Holdings LLC is also a member of Athyrium Opportunities Associates GP LLC. NB Alternatives Holdings LLC is the sole member of NB Alternatives GP Holdings LLC and is a member of NB Alternatives Advisers LLC.

F7 · ownership.nature: (continued from footnote 6) NB Alternatives Advisers LLC is the sole member of Athyrium Opportunities Advisers LLC. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC and Athyrium Opportunities Associates III GP LLC. Athyrium Capital Holdings, LLC is the general partner of Athyrium Capital Management, LP. Jeffrey A. Ferrell is the managing member of Athyrium Capital Holdings, LLC and Athyrium Funds GP Holdings, LLC and the President of Athyrium Capital Management, LP, Athyrium Opportunities Associates Co-Invest LLC, Athyrium Opportunities Associates III GP LLC, and Athyrium Opportunities Associates GP LLC.

SEC source: 0000899243-20-017651 · doc4.xml · nonDerivative · entry 2

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 23,303,346

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 Unsecured Convertible Promissory Note converted into 1,250,000 shares of the Issuer's common stock automatically without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. Prior to conversion, the Unsecured Convertible Promissory Note had a maturity date of May 8, 2022.

F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

SEC source: 0000899243-20-017651 · doc4.xml · nonDerivative · entry 1

Athyrium Opportunities Fund (A) LP · CIK 0001589714 · 10% owner

Athyrium Opportunities 2020 LP · CIK 0001815261 · 10% owner

Athyrium Opportunities Fund (B) LP · CIK 0001540542 · 10% owner

Athyrium Opportunities III Acquisition 2 LP · CIK 0001815268 · 10% owner

Athyrium Opportunities III Co-Invest 1 LP · CIK 0001815260 · 10% owner

Athyrium Opportunities Associates Co-Invest LLC · CIK 0001815259 · 10% owner

Athyrium Opportunities Associates III GP LLC · CIK 0001815211 · 10% owner

Athyrium Opportunities Associates III LP · CIK 0001815262 · 10% owner

Athyrium Opportunities Associates GP LLC · CIK 0001815479 · 10% owner

Athyrium Opportunities Associates LP · CIK 0001815474 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 23,303,346

F1 · ownership.nature: Athyrium Opportunities 2020 LP directly owns 4,583,333 shares of the Issuer's common stock. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP. Athyrium Funds GP Holdings, LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings, LLC and President of Athyrium Opportunities Associates III GP LLC.

F2 · ownership.nature: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.