Gullans Steven R. Ph.D.

SEC source: 0001104659-24-063356 · tm2414962-2_4seq1.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · 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: 0001104659-23-003747 · tm233286-5_4seq1.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · 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: 0001104659-23-061736 · tm2315065-1_4seq1.xml · nonDerivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,250

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: 0001104659-23-018755 · tm236233-2_5seq1.xml · nonDerivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,125

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: 0001104659-22-022568 · tm226491-6_5seq1.xml · derivative · entry 2

Gullans Steven R. Ph.D. · CIK 0001571997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,525

Underlying: Common Stock · 13,525 shares

Expires not disclosed

F3 · security: Each non-qualified stock option ("NSO") represents a contingent right to receive one share of common stock upon exercise 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.

F4 · price: The NSOs were awarded as compensation to the Reporting Person for his service as a director of the Company.

F3 · derivative.exercise_date: Each non-qualified stock option ("NSO") represents a contingent right to receive one share of common stock upon exercise 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 · derivative.expiration_date: Each non-qualified stock option ("NSO") represents a contingent right to receive one share of common stock upon exercise 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: 0001104659-22-022568 · tm226491-6_5seq1.xml · nonDerivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

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 Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal 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. 625 RSUs and 625 RSUs were settled for shares of common stock on September 30, 2021 and December 31, 2021, respectively, and the Reporting Person was issued 1,250 shares of common stock.

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 Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal 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. 625 RSUs and 625 RSUs were settled for shares of common stock on September 30, 2021 and December 31, 2021, respectively, and the Reporting Person was issued 1,250 shares of common stock.

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

F1 · balance_after: 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 Company to the Reporting Person pursuant to a Restricted Stock Unit Award Agreement (the "RSU Agreement"). The RSUs vest in four equal 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. 625 RSUs and 625 RSUs were settled for shares of common stock on September 30, 2021 and December 31, 2021, respectively, and the Reporting Person was issued 1,250 shares of common stock.

SEC source: 0001683168-20-000157 · ownership.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-01-12

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 2/13/2020, such that the option will be fully vested on the third anniversary of the date of grant.

SEC source: 0001596771-19-000080 · primary_doc.xml · nonDerivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

SEC source: 0001596771-18-000061 · primary_doc.xml · derivative · entry 2

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-04-30

F1 · date: The option was approved by the board of directors of the issuer on May 1, 2018, subject to stockholder approval of an amendment to the equity incentive plan under which the option was granted. The issuer's stockholders approved such amendment on May 22, 2018.

F3 · derivative.exercise_date: 50,000 shares underlying the option will vest if and when the issuer's common stock achieves a specified volume weighted average closing price for 30 consecutive days on or before December 31, 2019. 50,000 remaining shares underlying the option award are subject to a performance condition and will vest on the date that the first patient in the first Phase 3 clinical trial in a non-orphan indication receives the first dose of gemcabene if such event occurs on or before December 31, 2019. The option includes an early exercise provision, subject to the issuer's right of repurchase with respect to any unvested shares of common stock.

SEC source: 0001596771-18-000061 · primary_doc.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-04-30

F1 · date: The option was approved by the board of directors of the issuer on May 1, 2018, subject to stockholder approval of an amendment to the equity incentive plan under which the option was granted. The issuer's stockholders approved such amendment on May 22, 2018.

F2 · derivative.exercise_date: The option vests in a series of 48 successive equal monthly installments on the last day of each month, commencing on the grant date. The option includes an early exercise provision, subject to the issuer's right of repurchase with respect to any unvested shares of common stock.

SEC source: 0001596771-18-000053 · primary_doc.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-04-30

F1 · derivative.exercise_date: The option vests in a series of 48 successive equal monthly installments on the last day of each month, commencing on the grant date. The option includes an early exercise provision, subject to the issuer's right of repurchase with respect to any unvested shares of common stock.

F2 · balance_after: The reporting person ceased to be a manager of Excel Venture Fund II, L.P. on May 1, 2018 and will no longer report beneficial ownership of the issuer's securities owned by such entity.

SEC source: 0001596771-18-000019 · primary_doc.xml · nonDerivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · Interim President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Excel Venture Fund II, L.P.

Disclosed balance after: 930,252

F1 · shares: The shares were purchased in a confidentially marketed public offering pursuant to an Underwriting Agreement. The offering closed on February 12, 2018.

F2 · ownership.nature: The reporting person, as the Manager of Excel Venture Fund II, L.P., beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.

SEC source: 0001596771-18-000009 · primary_doc.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · Interim President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2028-01-28

F1 · derivative.exercise_date: The option vests in 12 equal consecutive monthly installments on the last day of each month, commencing on the grant date, subject to acceleration upon the appointment of a permanent President and Chief Executive Officer.

SEC source: 0000899243-17-018010 · doc4.xml · derivative · entry 6

EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner

Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner

Blume Frederick R. · CIK 0001572066 · 10% owner

Enriquez Juan · CIK 0001572090 · 10% owner

Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 108,998 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

SEC source: 0000899243-17-018010 · doc4.xml · derivative · entry 5

EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner

Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner

Blume Frederick R. · CIK 0001572066 · 10% owner

Enriquez Juan · CIK 0001572090 · 10% owner

Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 116,091 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

SEC source: 0000899243-17-018010 · doc4.xml · derivative · entry 4

EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner

Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner

Blume Frederick R. · CIK 0001572066 · 10% owner

Enriquez Juan · CIK 0001572090 · 10% owner

Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 133,842 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

SEC source: 0000899243-17-018010 · doc4.xml · derivative · entry 3

EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner

Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner

Blume Frederick R. · CIK 0001572066 · 10% owner

Enriquez Juan · CIK 0001572090 · 10% owner

Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 597,167 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

SEC source: 0000899243-17-018010 · doc4.xml · nonDerivative · entry 2

EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner

Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner

Blume Frederick R. · CIK 0001572066 · 10% owner

Enriquez Juan · CIK 0001572090 · 10% owner

Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,016,100

F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

SEC source: 0000899243-17-018010 · doc4.xml · nonDerivative · entry 1

EXCEL MEDICAL FUND LP · CIK 0001428044 · 10% owner

Gullans Steven R. Ph.D. · CIK 0001571997 · 10% owner

Blume Frederick R. · CIK 0001572066 · 10% owner

Enriquez Juan · CIK 0001572090 · 10% owner

Excel Medical Ventures, LLC · CIK 0001571999 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 956,100

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: The Series D, Series E-2, Series E-3 and Series F Preferred Stock converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial pubic offering. The shares had no expiration date.

F2 · ownership.direct: Excel Medical Ventures, LLC is the general partner of Excel Medical Fund, L.P. Steven R. Gullans, Frederick R. Blume and Juan Enriquez are the Managing Directors of Excel Medical Ventures, LLC. Excel Medical Ventures, LLC and each of these individuals may be deemed to share voting and dispositive power with respect to all shares held by Excel Medical Fund, L.P. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of any pecuniary interest therein.

SEC source: 0001596771-17-000041 · primary_doc.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · Interim President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2027-05-29

F1 · derivative.exercise_date: The option vests in 12 equal consecutive monthly increments, so that all of the shares will be vested on the one year anniversary of the date of grant, subject to acceleration upon the appointment of a permanent President and Chief Executive Officer.

SEC source: 0001596771-17-000020 · primary_doc.xml · derivative · entry 2

Gullans Steven R. Ph.D. · CIK 0001571997 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Excel Venture Fund II, L.P.

Disclosed balance after: 39,599

Underlying: Common Stock · 39,599 shares

Expires 2022-03-15

F1 · shares: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F2 · ownership.nature: The reporting person, as the Manager of Excel Venture Fund II, L.P., beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.

SEC source: 0001596771-17-000020 · primary_doc.xml · nonDerivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Excel Venture Fund II, L.P.

Disclosed balance after: 858,823

F1 · shares: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F2 · ownership.nature: The reporting person, as the Manager of Excel Venture Fund II, L.P., beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.