Ross Andrew L.

SEC source: 0001104659-24-063361 · tm2414962-5_4seq1.xml · derivative · entry 1

Ross Andrew L. · CIK 0001857013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,525

Underlying: Common Stock · 10,000 shares

Expires 2034-01-01

F1 · derivative.exercise_date: Represents stock options granted to the reporting person on January 2, 2024, pursuant to the Issuer's Amended and Restated Stock Incentive Plan. The stock options vest respect to 2,500 shares on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024.

SEC source: 0001104659-23-003742 · tm233286-1_4seq1.xml · derivative · entry 1

Ross Andrew L. · CIK 0001857013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,525

Underlying: Common Stock · 10,000 shares

Expires 2033-01-03

F1 · derivative.exercise_date: Represents stock options granted to the reporting person on January 3, 2023, pursuant to the Issuer's Amended and Restated Stock Incentive Plan. The stock options vest respect to 2,500 shares on each of March 31, 2023, June 30, 2023, September 30, 2023 and December 31, 2023.

SEC source: 0001104659-23-061737 · tm2315065-2_4seq1.xml · nonDerivative · entry 1

Ross Andrew L. · CIK 0001857013 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,326,340

F1 · security: Reflects shares of common stock issued to the Reporting Person upon vesting and settlement of restricted stock units ("RSUs") on March 31, 2023, which RSUs were awarded to the Reporting Person as of January 1, 2023, subject to the terms and conditions set forth in the award of such RSUs by the Issuer to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement.

F1 · shares: Reflects shares of common stock issued to the Reporting Person upon vesting and settlement of restricted stock units ("RSUs") on March 31, 2023, which RSUs were awarded to the Reporting Person as of January 1, 2023, subject to the terms and conditions set forth in the award of such RSUs by the Issuer to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement.

F2 · price: The RSUs were awarded as compensation to the Reporting Person for his service as a director of the Company.

SEC source: 0001104659-23-018756 · tm236233-3_5seq1.xml · nonDerivative · entry 1

Ross Andrew L. · CIK 0001857013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,326,215

F1 · security: Represents shares underlying certain restricted stock units ("RSUs"), each of which is a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Issuer to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). 625 RSUs vested in one installment on December 31, 2022 and were settled on January 3, 2023, subject to the terms and conditions set forth in the RSU Agreement and as a result, 625 shares of common stock were issued to the Reporting Person.

F1 · shares: Represents shares underlying certain restricted stock units ("RSUs"), each of which is a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Issuer to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). 625 RSUs vested in one installment on December 31, 2022 and were settled on January 3, 2023, subject to the terms and conditions set forth in the RSU Agreement and as a result, 625 shares of common stock were issued to the Reporting Person.

F2 · price: The RSUs were awarded as compensation to the Reporting Person for his service as a director of the Company.

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · nonDerivative · entry 7

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wingood Capital LLC

Disclosed balance after: 1,314,524

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · nonDerivative · entry 6

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,313,524

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · nonDerivative · entry 5

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,313,024

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · nonDerivative · entry 4

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,312,524

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · nonDerivative · entry 3

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wingood Capital LLC

Disclosed balance after: 1,312,024

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · derivative · entry 9

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires not disclosed

F2 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal quarterly installments on September 21, 2021, December 21, 2021, March 21, 2022 and June 21, 2022, subject to the terms and conditions set forth in the RSU Agreement.

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal quarterly installments on September 21, 2021, December 21, 2021, March 21, 2022 and June 21, 2022, subject to the terms and conditions set forth in the RSU Agreement.

F3 · price: The derivative securities were awarded as compensation to the Reporting Person for his service as the director of the Company.

F2 · derivative.exercise_date: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal quarterly installments on September 21, 2021, December 21, 2021, March 21, 2022 and June 21, 2022, subject to the terms and conditions set forth in the RSU Agreement.

F2 · derivative.expiration_date: Each restricted stock unit ("RSU") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such RSUs by the Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal quarterly installments on September 21, 2021, December 21, 2021, March 21, 2022 and June 21, 2022, subject to the terms and conditions set forth in the RSU Agreement.

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · derivative · entry 8

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,525

Underlying: Common Stock · 13,525 shares

Expires not disclosed

F1 · security: Each non-qualified stock option ("NSO") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such NSOs by iSpecimen Inc. (the "Company") to the Reporting Person pursuant to a Nonqualified Stock Option Award Agreement (the "NSO Agreement") under the iSpecimen Inc. 2021 Amended and Restated Stock Incentive Plan, as amended. The NSOs has a vesting term of three years with a one-year cliff (i.e. 33.33% of the NSOs vest on June 21, 2022, and the rest of the NSOs vest in equal quarterly installments on September 21, 2022 and each December 21, March 21, June 21 and September 21 until June 21, 2024), subject to the terms and conditions set forth in the NSO Agreement.

F1 · derivative.exercise_price: Each non-qualified stock option ("NSO") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such NSOs by iSpecimen Inc. (the "Company") to the Reporting Person pursuant to a Nonqualified Stock Option Award Agreement (the "NSO Agreement") under the iSpecimen Inc. 2021 Amended and Restated Stock Incentive Plan, as amended. The NSOs has a vesting term of three years with a one-year cliff (i.e. 33.33% of the NSOs vest on June 21, 2022, and the rest of the NSOs vest in equal quarterly installments on September 21, 2022 and each December 21, March 21, June 21 and September 21 until June 21, 2024), subject to the terms and conditions set forth in the NSO Agreement.

F3 · price: The derivative securities were awarded as compensation to the Reporting Person for his service as the director of the Company.

F1 · derivative.exercise_date: Each non-qualified stock option ("NSO") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such NSOs by iSpecimen Inc. (the "Company") to the Reporting Person pursuant to a Nonqualified Stock Option Award Agreement (the "NSO Agreement") under the iSpecimen Inc. 2021 Amended and Restated Stock Incentive Plan, as amended. The NSOs has a vesting term of three years with a one-year cliff (i.e. 33.33% of the NSOs vest on June 21, 2022, and the rest of the NSOs vest in equal quarterly installments on September 21, 2022 and each December 21, March 21, June 21 and September 21 until June 21, 2024), subject to the terms and conditions set forth in the NSO Agreement.

F1 · derivative.expiration_date: Each non-qualified stock option ("NSO") represents a contingent right to receive one share of common stock at settlement subject to the terms and conditions set forth in the award of such NSOs by iSpecimen Inc. (the "Company") to the Reporting Person pursuant to a Nonqualified Stock Option Award Agreement (the "NSO Agreement") under the iSpecimen Inc. 2021 Amended and Restated Stock Incentive Plan, as amended. The NSOs has a vesting term of three years with a one-year cliff (i.e. 33.33% of the NSOs vest on June 21, 2022, and the rest of the NSOs vest in equal quarterly installments on September 21, 2022 and each December 21, March 21, June 21 and September 21 until June 21, 2024), subject to the terms and conditions set forth in the NSO Agreement.

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · nonDerivative · entry 2

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,311,024

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · derivative · entry 13

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Andrew L. Ross 2013 Irrevocable Trust

Disclosed balance after: 0

Underlying: Common Stock · 13,985 shares

Expires 2021-06-30

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.

F9 · price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 13,985 shares of common stock at $5.60 upon the closing of the IPO.

F9 · derivative.exercise_date: The bridge note has a maturity date of June 30, 2021 and automatically converted into 13,985 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · derivative · entry 12

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86.438 shares

Expires 2021-06-30

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.

F8 · price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 100,423 shares of common stock at $5.60 upon the closing of the IPO.

F8 · derivative.exercise_date: The bridge note has a maturity date of June 30, 2021 and automatically converted into 100,423 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · derivative · entry 11

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Andrew L. Ross 2013 Irrevocable Trust

Disclosed balance after: 13,985

Underlying: Common Stock · 39 shares

Expires 2021-06-30

F9 · derivative.exercise_price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 13,985 shares of common stock at $5.60 upon the closing of the IPO.

F11 · shares: Represents accrued interest from June 17, 2021 to June 21, 2021 under the bridge note.

F9 · price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 13,985 shares of common stock at $5.60 upon the closing of the IPO.

F9 · derivative.exercise_date: The bridge note has a maturity date of June 30, 2021 and automatically converted into 13,985 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · derivative · entry 10

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,438

Underlying: Common Stock · 2,420 shares

Expires 2021-06-30

F8 · derivative.exercise_price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 100,423 shares of common stock at $5.60 upon the closing of the IPO.

F11 · shares: Represents accrued interest from June 17, 2021 to June 21, 2021 under the bridge note.

F8 · price: The bridge note has a maturity date of June 30, 2021 and automatically converted into 100,423 shares of common stock at $5.60 upon the closing of the IPO.

F8 · derivative.exercise_date: The bridge note has a maturity date of June 30, 2021 and automatically converted into 100,423 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · derivative · entry 9

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 360,674 shares

Expires 2021-06-30

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.

F7 · price: The convertible note has a maturity date of June 30, 2021 and automatically converted into 360,674 shares of common stock at $5.60 upon the closing of the IPO.

F7 · derivative.exercise_date: The convertible note has a maturity date of June 30, 2021 and automatically converted into 360,674 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · derivative · entry 8

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,674

Underlying: Common Stock · 231 shares

Expires 2021-06-30

F7 · derivative.exercise_price: The convertible note has a maturity date of June 30, 2021 and automatically converted into 360,674 shares of common stock at $5.60 upon the closing of the IPO.

F10 · shares: Represents accrued interest from June 17, 2021 to June 21, 2021 under the convertible note.

F7 · price: The convertible note has a maturity date of June 30, 2021 and automatically converted into 360,674 shares of common stock at $5.60 upon the closing of the IPO.

F7 · derivative.exercise_date: The convertible note has a maturity date of June 30, 2021 and automatically converted into 360,674 shares of common stock at $5.60 upon the closing of the IPO.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · derivative · entry 7

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 130,081 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.

F6 · derivative.exercise_price: Shares of Series B Preferred Stock automatically converted into shares of common stock upon the closing of the IPO and has no expiration date.

F6 · price: Shares of Series B Preferred Stock automatically converted into shares of common stock upon the closing of the IPO and has no expiration date.

F6 · derivative.exercise_date: Shares of Series B Preferred Stock automatically converted into shares of common stock upon the closing of the IPO and has no expiration date.

F6 · derivative.expiration_date: Shares of Series B Preferred Stock automatically converted into shares of common stock upon the closing of the IPO and has no expiration date.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · derivative · entry 6

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 355,005 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.

F5 · derivative.exercise_price: Shares of Series A Preferred Stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering (the "IPO) and has no expiration date.

F5 · price: Shares of Series A Preferred Stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering (the "IPO) and has no expiration date.

F5 · derivative.exercise_date: Shares of Series A Preferred Stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering (the "IPO) and has no expiration date.

F5 · derivative.expiration_date: Shares of Series A Preferred Stock automatically converted into shares of common stock upon the closing of the Issuer's initial public offering (the "IPO) and has no expiration date.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · nonDerivative · entry 5

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Andrew L. Ross 2013 Irrevocable Trust

Disclosed balance after: 1,310,524

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 · kind: Shares were issued to the reporting person upon conversion of an aggregate of $562,375 in principal and accrued interest through June 21, 2021 under a bridge note owed to the reporting person.

F4 · price: Shares were issued to the reporting person upon conversion of an aggregate of $562,375 in principal and accrued interest through June 21, 2021 under a bridge note owed to the reporting person.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · nonDerivative · entry 4

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,296,539

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 · kind: Shares were issued to the reporting person upon conversion of an aggregate of $562,375 in principal and accrued interest through June 21, 2021 under a bridge note owed to the reporting person.

F4 · price: Shares were issued to the reporting person upon conversion of an aggregate of $562,375 in principal and accrued interest through June 21, 2021 under a bridge note owed to the reporting person.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · nonDerivative · entry 3

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,210,101

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 · kind: Shares were issued to the reporting person upon conversion of an aggregate of $2,019,797 in principal and accrued interest through June 21, 2021 under a convertible note owed to the reporting person.

F3 · price: Shares were issued to the reporting person upon conversion of an aggregate of $2,019,797 in principal and accrued interest through June 21, 2021 under a convertible note owed to the reporting person.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · nonDerivative · entry 2

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 849,427

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.

F2 · kind: Shares were issued to the reporting person upon conversion of the Issuer's Series B Preferred Stock owned through the date of conversion.

F2 · price: Shares were issued to the reporting person upon conversion of the Issuer's Series B Preferred Stock owned through the date of conversion.

SEC source: 0001104659-21-084775 · tm2120463-1_4seq1.xml · nonDerivative · entry 1

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 719,346

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.

F1 · kind: Shares were issued to the reporting person upon conversion of the Issuer's Series A Preferred Stock owned through the date of conversion.

F1 · price: Shares were issued to the reporting person upon conversion of the Issuer's Series A Preferred Stock owned through the date of conversion.

SEC source: 0001104659-21-144593 · tm2134159-1_4seq.xml · nonDerivative · entry 1

Ross Andrew L. · CIK 0001857013 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,310,624

F4 · balance_after: Including 1,310,524 shares of common stock acquired by the Reporting Person on June 21, 2021, as reported in the Form 4 filed with the Securities and Exchange Commission on June 23, 2021.