Mohan Pankaj

SEC source: 0001493152-24-048951 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,987

F1 · shares: On December 11, 2023, the Reporting Person was granted 7,554 restricted stock awards, which will be settled in shares of common stock, par value $0.0001. The shares in connection with the restricted stock award become fully vested on January 1, 2025.

F1 · price: On December 11, 2023, the Reporting Person was granted 7,554 restricted stock awards, which will be settled in shares of common stock, par value $0.0001. The shares in connection with the restricted stock award become fully vested on January 1, 2025.

F2 · balance_after: Includes unvested restricted stock awards.

F3 · balance_after: All amounts reflect the Issuer's 1:22 reverse stock split effective as of September 30, 2024.

SEC source: 0001493152-23-038573 · ownership.xml · derivative · entry 4

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,750

Underlying: Common Stock · 68,750 shares

Expires 2028-10-27

F1 · shares: Reporting Person purchased 34,375 shares of common stock and 68,750 warrants to purchase 68,750 shares of common stock pursuant to an underwritten public offering by the Issuer at $1.60 per share and accompanying two warrants. The offering closed on October 27, 2023.

F1 · price: Reporting Person purchased 34,375 shares of common stock and 68,750 warrants to purchase 68,750 shares of common stock pursuant to an underwritten public offering by the Issuer at $1.60 per share and accompanying two warrants. The offering closed on October 27, 2023.

F3 · balance_after: All amounts reflect the 1:22 reverse stock split effective as of August 31, 2023.

SEC source: 0001493152-23-038573 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,526

F1 · shares: Reporting Person purchased 34,375 shares of common stock and 68,750 warrants to purchase 68,750 shares of common stock pursuant to an underwritten public offering by the Issuer at $1.60 per share and accompanying two warrants. The offering closed on October 27, 2023.

F1 · price: Reporting Person purchased 34,375 shares of common stock and 68,750 warrants to purchase 68,750 shares of common stock pursuant to an underwritten public offering by the Issuer at $1.60 per share and accompanying two warrants. The offering closed on October 27, 2023.

F2 · balance_after: Includes unvested restricted stock units.

F3 · balance_after: All amounts reflect the 1:22 reverse stock split effective as of August 31, 2023.

SEC source: 0001493152-23-017528 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 553,331

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.22 to $0.2274 per share, inclusive. The Reporting Person undertakes to provide to Issuer any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F2 · balance_after: Includes unvested restricted stock units.

SEC source: 0001493152-23-007915 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,731

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.56 to $0.59 per share, inclusive. The Reporting Person undertakes to provide to Issuer any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F2 · balance_after: Includes unvested restricted stock units.

SEC source: 0001493152-23-005473 · ownership.xml · nonDerivative · entry 2

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,731

F1 · shares: On December 14, 2022, the Reporting Person was granted 73,561 restricted stock units to be settled in shares of common stock, par value $0.0001. On January 7, 2023, the 73,561 restricted stock units granted to the Reporting Person were rescinded and canceled. On the same day, the Reporting Person was granted a restricted stock award of 73,561 shares of common stock. The shares in connection with the restricted stock award become fully vested on January 1, 2024, provided the Reporting Person remains in continuous service through such date.

F1 · price: On December 14, 2022, the Reporting Person was granted 73,561 restricted stock units to be settled in shares of common stock, par value $0.0001. On January 7, 2023, the 73,561 restricted stock units granted to the Reporting Person were rescinded and canceled. On the same day, the Reporting Person was granted a restricted stock award of 73,561 shares of common stock. The shares in connection with the restricted stock award become fully vested on January 1, 2024, provided the Reporting Person remains in continuous service through such date.

F3 · balance_after: Includes unvested restricted stock units.

SEC source: 0001493152-23-005473 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,170

F1 · shares: On December 14, 2022, the Reporting Person was granted 73,561 restricted stock units to be settled in shares of common stock, par value $0.0001. On January 7, 2023, the 73,561 restricted stock units granted to the Reporting Person were rescinded and canceled. On the same day, the Reporting Person was granted a restricted stock award of 73,561 shares of common stock. The shares in connection with the restricted stock award become fully vested on January 1, 2024, provided the Reporting Person remains in continuous service through such date.

F2 · shares: A Form 4 that was filed by the Reporting Person on December 22, 2022, reported a transaction on December 14, 2022, that incorrectly referred to the amount of restricted stock units granted as 74,205. The correct number was 73,561 restricted stock units. In addition, the Form 4 incorrectly included amounts in Column 5 of Table I that did not reflect a 14:1 reverse stock split of the Issuer's common stock, effective September 16, 2022.

F1 · price: On December 14, 2022, the Reporting Person was granted 73,561 restricted stock units to be settled in shares of common stock, par value $0.0001. On January 7, 2023, the 73,561 restricted stock units granted to the Reporting Person were rescinded and canceled. On the same day, the Reporting Person was granted a restricted stock award of 73,561 shares of common stock. The shares in connection with the restricted stock award become fully vested on January 1, 2024, provided the Reporting Person remains in continuous service through such date.

F2 · balance_after: A Form 4 that was filed by the Reporting Person on December 22, 2022, reported a transaction on December 14, 2022, that incorrectly referred to the amount of restricted stock units granted as 74,205. The correct number was 73,561 restricted stock units. In addition, the Form 4 incorrectly included amounts in Column 5 of Table I that did not reflect a 14:1 reverse stock split of the Issuer's common stock, effective September 16, 2022.

F3 · balance_after: Includes unvested restricted stock units.

SEC source: 0001493152-22-036319 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 748,606

F1 · shares: On December 14, 2022, the Reporting Person was granted 74,205 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest as to 100% of the restricted stock units on January 1, 2024.

F1 · price: On December 14, 2022, the Reporting Person was granted 74,205 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest as to 100% of the restricted stock units on January 1, 2024.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001493152-22-009482 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 674,401

F1 · shares: On December 15, 2021, the Reporting Person was granted 320,135 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest as to 100% of the restricted stock units on January 1, 2023.

F1 · price: On December 15, 2021, the Reporting Person was granted 320,135 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest as to 100% of the restricted stock units on January 1, 2023.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001493152-21-013938 · ownership.xml · nonDerivative · entry 2

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,266

F1 · balance_after: Includes unvested RSUs.

SEC source: 0001493152-21-013938 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,266

F1 · balance_after: Includes unvested RSUs.

SEC source: 0001493152-20-012575 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,266

F1 · shares: On July 2, 2020, the Reporting Person was granted 319,866 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest as to 50% of the restricted stock units on April 2, 2021 and 50% of the restricted stock units on April 2, 2022.

SEC source: 0001493152-20-011086 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,400

SEC source: 0001493152-20-005846 · ownership.xml · derivative · entry 3

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mohan Family Office

Disclosed balance after: 4,263

Underlying: Common Stock · 4,263 shares

Expires 2022-10-14

F3 · price: Prior to the merger, Reporting Person held warrants to purchase 40,000 shares of the common stock of Sonnet Sub at an exercise price of $3.125 per share. Pursuant to the Merger Agreement, these warrants were converted into warrants to purchase 4,263 shares of Issuer common stock (as adjusted for the stock split) at a per share exercise price of $29.32 per share (as adjusted for the stock split).

F2 · ownership.nature: Reporting Person jointly exercises dispositive and voting power over the securities owned by the Mohan Family Office.

SEC source: 0001493152-20-005846 · ownership.xml · nonDerivative · entry 2

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mohan Family Office

Disclosed balance after: 1,591,116

F1 · price: Shares of common stock of the corporation known as Sonnet BioTherapeutics, Inc. ("Sonnet Sub") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger, dated as of October 10, 2019, as amended, by and among the Issuer, Sonnet Sub and Biosub Inc., a Delaware corporation (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of Sonnet Sub common stock was exchanged for approximately 0.106572 shares of the Issuer's common stock, subject to adjustment for any reverse stock split. Prior to the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 26 shares of Issuer common stock outstanding and the Issuer changed its name to Sonnet BioTherapeutics Holdings, Inc. All share numbers reflect the reverse stock split.

F2 · ownership.nature: Reporting Person jointly exercises dispositive and voting power over the securities owned by the Mohan Family Office.

SEC source: 0001493152-20-005846 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By child

Disclosed balance after: 7,992

F1 · price: Shares of common stock of the corporation known as Sonnet BioTherapeutics, Inc. ("Sonnet Sub") were converted into shares of the Issuer pursuant to that certain Agreement and Plan of Merger, dated as of October 10, 2019, as amended, by and among the Issuer, Sonnet Sub and Biosub Inc., a Delaware corporation (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of Sonnet Sub common stock was exchanged for approximately 0.106572 shares of the Issuer's common stock, subject to adjustment for any reverse stock split. Prior to the merger, the Issuer effected a reverse stock split at a ratio of one new share for every 26 shares of Issuer common stock outstanding and the Issuer changed its name to Sonnet BioTherapeutics Holdings, Inc. All share numbers reflect the reverse stock split.

SEC source: 0001493152-20-010670 · ownership.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · Chairman, President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Mohan Family Office

Disclosed balance after: 930,705

F1 · price: As reported on a Form 4 filed on April 3, 2020 (the "Original Form"), shares of common stock of Sonnet BioTherapeutics, Inc. ("Sonnet Sub") were converted into shares of the Issuer's common stock pursuant to the Agreement and Plan of Merger, dated as of October 10, 2019, as amended, by and among the Issuer, Sonnet Sub and Biosub Inc. (the "Merger Agreement"). Pursuant to the terms of the Merger Agreement, each share of Sonnet Sub common stock was exchanged for approximately 0.106572 shares of the Issuer's common stock. This amendment is being filed in order to correct (1) that the Original Form did not have the box for "10% Owner" in Box 5 checked, although the Reporting Person is required to check that box, and (2) the number of shares of the Issuer's common stock that were issued pursuant to the Merger Agreement in exchange for the shares of Sonnet Sub common stock previously held by the Mohan Family Office.

F2 · ownership.nature: Reporting Person jointly exercises dispositive and voting power over the securities owned by the Mohan Family Office.

SEC source: 0001209191-19-004233 · doc4.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,064,553

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6649 - $0.72, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-18-058307 · doc4.xml · derivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,157

Underlying: Common Stock · 114,157 shares

Expires 2028-11-09

F2 · price: This option was issued to the Reporting Person pursuant to the Issuer's 2015 Equity Incentive Plan in lieu of two years of cash retainer and meeting fees of $70,000.

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001209191-18-052155 · doc4.xml · derivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-09-21

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on September 21, 2019, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-18-002466 · doc4.xml · nonDerivative · entry 2

Mohan Pankaj · CIK 0001664386 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,056,553

F1 · shares: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.13 - $1.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4.

F3 · balance_after: Includes 202,898 shares of the Issuer's common stock that vested on 12/31/2017.

SEC source: 0001209191-18-002466 · doc4.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,119,122

F1 · shares: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.16 - $1.29, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) to this Form 4.

F3 · balance_after: Includes 202,898 shares of the Issuer's common stock that vested on 12/31/2017.

SEC source: 0001209191-17-066693 · doc4.xml · nonDerivative · entry 2

Mohan Pankaj · CIK 0001664386 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,171,230

F1 · shares: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.11 - $1.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4.

F3 · balance_after: Includes 202,898 shares of the Issuer's common stock subject to RSUs that will vest on 12/31/2017, subject to continued service through such date.

SEC source: 0001209191-17-066693 · doc4.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,254,838

F1 · shares: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.12 - $1.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F3 · balance_after: Includes 202,898 shares of the Issuer's common stock subject to RSUs that will vest on 12/31/2017, subject to continued service through such date.