Geffken Daniel E.

SEC source: 0001415889-24-013834 · form4-05202024_110554.xml · derivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Indirect · By SG Dan Equity Holdings, LLC

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-05-16

F1 · derivative.exercise_date: Beginning on May 17, 2024, the shares subject to the warrant shall vest and be exercisable in a series of twelve (12) successive equal monthly installments.

SEC source: 0001213900-24-015030 · ownership.xml · nonDerivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,002

F1 · kind: Represents shares of Class A Common Stock distributed in-kind by Phoenix Biotech Sponsor, LLC (the "Sponsor") to its members, pro rata and without consideration.

F1 · price: Represents shares of Class A Common Stock distributed in-kind by Phoenix Biotech Sponsor, LLC (the "Sponsor") to its members, pro rata and without consideration.

SEC source: 0000950170-23-056495 · ownership.xml · derivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Shares · 2,500 shares

Expires 2033-10-26

F1 · derivative.exercise_date: 25% of the shares subject to this option shall vest on October 26, 2024, and the balance shall vest ratably over 36 months.

SEC source: 0001437749-23-024844 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,050

Underlying: Common Stock · 3,050 shares

Expires 2033-08-23

F3 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-23-024844 · rdgdoc.xml · nonDerivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,175

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

F2 · balance_after: Adjusted to reflect 1-for-50 reverse stock split effective February 24, 2023.

SEC source: 0001209191-23-027199 · doc4.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Indirect · By SG Dan Equity Holdings, LLC

Disclosed balance after: 5,760

Underlying: Common Stock · 5,760 shares

Expires 2030-10-30

F3 · price: Received in exchange for a warrant to purchase 200,000 shares of common stock of CalciMedica pursuant to the Merger Agreement. Upon the closing of the Merger, each outstanding warrant to purchase shares of CalciMedica common stock was assumed by the Issuer and converted into a warrant to purchase the Issuer's common stock

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001209191-23-027199 · doc4.xml · derivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Interim CFO

10b5-1 filing: No plan indicated

Ownership: Indirect · By SG Dan Equity Holdings, LLC

Disclosed balance after: 11,520

Underlying: Common Stock · 11,520 shares

Expires 2030-11-09

F2 · price: Received in exchange for a warrant to acquire 400,000 shares of common stock of CalciMedica, Inc. ("CalciMedica") pursuant to an Agreement and Plan of Merger and Reorganization (the "Merger Agreement") by and among CalciMedica, the Issuer and Camaro Merger Sub, Inc., a wholly-owned subsidiary of the Issuer ("Merger Sub"). Under the terms of the Merger Agreement, on March 20, 2023, Merger Sub merged with and into CalciMedica (the "Merger"), with CalciMedica surviving the Merger as a wholly-owned subsidiary of the Issuer. Upon the closing of the Merger, each outstanding warrant to purchase shares of CalciMedica common stock was assumed by the Issuer and converted into a warrant to purchase the Issuer's common stock. Subsequent to the Merger, the name of the Issuer was changed from Graybug Vision, Inc. to CalciMedica, Inc.

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001437749-22-014714 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2032-06-07

F2 · derivative.exercise_date: The stock option shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001437749-22-014714 · rdgdoc.xml · nonDerivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,069

F1 · shares: These shares represent restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. These RSUs shall vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) Windtree's subsequent annual meeting of stockholders, provided that the reporting person remains in continuous service through the vesting date.

SEC source: 0001415889-21-005600 · form4-12012021_081251.xml · nonDerivative · entry 1

Geffken Daniel E. · CIK 0001314756 · INTERIM CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: Price represents the average purchase price per share.

SEC source: 0000899243-21-039940 · doc4.xml · derivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Phoenix Biotech Sponsor, LLC

Disclosed balance after: 30,000

Underlying: Class A Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F2 · kind: Allocated to the reporting person as a member of Phoenix Biotech Sponsor, LLC.

F3 · shares: The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

F2 · price: Allocated to the reporting person as a member of Phoenix Biotech Sponsor, LLC.

F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

SEC source: 0001437749-21-015118 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-06-15

F1 · derivative.exercise_date: The stock option shall vest in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0001415889-21-002054 · form4-04222021_110401.xml · derivative · entry 1

Geffken Daniel E. · CIK 0001314756 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2026-04-20

F1 · derivative.exercise_date: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vests as follows: ratably on a monthly basis on the last calendar day of each month during the first twelve (12) months following the grant date; provided, however, that if the Issuer terminates the Consulting Agreement for the reporting person's services or if the reporting person is no longer servicing the Issuer at any time following the grant date, no further options shall vest following such termination. If the Consulting Agreement or if the services of the reporting person are terminated for cause by the Issuer, then the options shall be forfeited in their entirety.

F2 · ownership.direct: The reporting person will assign the economic interest of this grant to Danforth Advisors, LLC, where he serves as Managing Director.

SEC source: 0001437749-21-002147 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2031-02-03

F1 · derivative.exercise_date: The stock option shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant date.

SEC source: 0000899243-21-002109 · doc4.xml · derivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By LWAC D&O LLC

Disclosed balance after: 20,000

Underlying: Class A Common Stock · 20,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F2 · kind: Allocated to the reporting person as a member of LWAC D&O LLC, a member of Locust Walk Sponsor, LLC, for service on the issuer's board of directors.

F3 · shares: The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

F2 · price: Allocated to the reporting person as a member of LWAC D&O LLC, a member of Locust Walk Sponsor, LLC, for service on the issuer's board of directors.

F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

SEC source: 0001437749-20-011866 · rdgdoc.xml · derivative · entry 2

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,069

Underlying: Common Stock · 2,069 shares

Expires 2025-05-22

F1 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above.

SEC source: 0001437749-20-011866 · rdgdoc.xml · nonDerivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,069

SEC source: 0001437749-19-008083 · rdgdoc.xml · derivative · entry 1

Geffken Daniel E. · CIK 0001314756 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2029-04-24

F1 · derivative.exercise_date: This stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date.