Palmer Pamela P

SEC source: 0001209191-24-004245 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,149

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Balance includes non-reportable acquisition of 6,255 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-24-004045 · doc4.xml · derivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,000

Underlying: Common Stock · 108,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: On February 14, 2024, the reporting person was granted an option to purchase 108,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-24-004045 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,344

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 14, 2025, February 14, 2026 and February 14, 2027.

SEC source: 0001209191-24-003307 · doc4.xml · nonDerivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,344

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Balance includes non-reportable acquisition of 6,193 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-24-003307 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,145

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Balance includes non-reportable acquisition of 6,193 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-23-047348 · doc4.xml · nonDerivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,753

F2 · balance_after: Balance includes non-reportable acquisition of 4,394 shares of Common Stock through the Company's Employee Stock Purchase Plan on February 28, 2023.

SEC source: 0001209191-23-047348 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,195

F1 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $1.17 to $1.19 on August 24, 2023. The reporting person will provide upon request to the SEC, the issuer or security holder of Issuer, full information regarding the number of shares sold at each separate price.

F2 · balance_after: Balance includes non-reportable acquisition of 4,394 shares of Common Stock through the Company's Employee Stock Purchase Plan on February 28, 2023.

SEC source: 0001209191-23-016324 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,315

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009131 · doc4.xml · nonDerivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,885

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009131 · doc4.xml · derivative · entry 3

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,750

Underlying: Common Stock · 36,750 shares

Expires 2033-02-09

F4 · derivative.exercise_date: On February 10, 2023, the reporting person was granted an option to purchase 36,750 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-23-009131 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,902

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 10, 2024, February 10, 2025 and February 10, 2026.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-23-007816 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,777

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes non-reportable acquisition of 500 shares of Common Stock through the Company's Employee Stock Purchase Plan.

F4 · balance_after: Reflects a 1-20 reverse stock split which became effective on October 25, 2022.

SEC source: 0001209191-22-016251 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 779,261

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes non-reportable acquisition of 10,000 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-22-009353 · doc4.xml · derivative · entry 3

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,000

Underlying: Common Stock · 245,000 shares

Expires 2032-02-11

F4 · derivative.exercise_date: On February 11, 2022, the reporting person was granted an option to purchase 245,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-22-009353 · doc4.xml · nonDerivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 777,184

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-22-009353 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 785,111

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 11, 2023, February 11, 2024 and February 11, 2025.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-22-007635 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,611

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes non-reportable acquisition of 5,381 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-21-018155 · doc4.xml · derivative · entry 3

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,750

Underlying: Common Stock · 68,750 shares

Expires 2031-03-03

F5 · derivative.exercise_date: On March 3, 2021, the Reporting Person was granted performance options subject to the satisfaction of share price targets over a performance period from March 3, 2021 to December 31, 2024 (the "Performance Period"), as determined by the Compensation Committee (the "Committee") of the Company's Board of Directors.

F6 · derivative.exercise_date: The performance options shall be earned as follows: (i) 33% of the performance options if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $4.00, (ii) an additional 33% of the performance option if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $5.00, and (iii) 34% of the performance options if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $6.00. Once earned, the performance options will vest on the one-year anniversary of the date on which the Committee certified achievement of an applicable price target, so long as the reporting person remains in continuous service through such applicable vesting date.

SEC source: 0001209191-21-018155 · doc4.xml · derivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2031-03-03

F4 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the date of grant and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-21-018155 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,621

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on March 3, 2022, March 3, 2023 and March 3, 2024.

F3 · balance_after: Balance includes acquisition of 4,773 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-21-010350 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 593,098

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-21-008811 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 602,013

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes acquisitions of 4,323 and 4,681 shares of Common Stock through the Company's Employee Stock Purchase Plan and reflects the correction of the overreporting of 2,560 ESPP shares purchased on February 29, 2016.

SEC source: 0001209191-20-009163 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 604,983

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-20-007742 · doc4.xml · derivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2030-02-06

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the grant date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-20-007742 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 612,907

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 6, 2021, February 6, 2022 and February 6, 2023.

SEC source: 0000899243-19-026515 · doc4.xml · derivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,150

Underlying: Common Stock · 47,575 shares

Expires 2028-11-02

F2 · derivative.exercise_date: On April 7, 2018, the reporting person was granted a performance-based option to purchase 95,150 shares of common stock, subject to the Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019. Once the performance criteria is achieved, the option vests in two equal installments with 50% of the option vesting upon the Company's achievement of the performance criteria and the remaining 50% of the option vesting on the one-year anniversary of the date of such achievement, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 47,575 shares on that date. On November 2, 2019, the remaining balance of the option vested.

SEC source: 0001209191-19-015612 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 541,724

F1 · balance_after: Balance includes non-reportable acquisition of 840 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-19-009812 · doc4.xml · derivative · entry 2

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2029-02-11

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-19-009812 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 540,884

F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 11, 2020, February 11, 2021 and February 11, 2022.

SEC source: 0001209191-18-059292 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 472,134

SEC source: 0001209191-18-057250 · doc4.xml · derivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,575

Underlying: Common Stock · 47,575 shares

Expires 2028-11-02

F1 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 95,150 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 47,575 shares.

SEC source: 0001209191-18-045581 · doc4.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,134

F1 · balance_after: Balance includes non-reportable acquisition of 3,333 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001437749-18-001228 · rdgdoc.xml · derivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,000

Underlying: Common Stock · 173,000 shares

Expires 2028-01-21

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date (August 16, 2018) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001437749-17-015179 · rdgdoc.xml · nonDerivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 415,801

F1 · price: This is a weighted average purchase price. Shares were purchased in the range of $2.9250 and $2.95.

F2 · balance_after: Balance includes non-reportable acquisition of 6,786 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001437749-17-002062 · rdgdoc.xml · derivative · entry 1

Palmer Pamela P · CIK 0001511365 · Director · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,500

Underlying: Common Stock · 132,500 shares

Expires 2028-02-06

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date (February 7, 2017) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.