person · Reporting owner

Eisenstadt Richard I

Disclosed activity across 3 companies

Tapewire entity: 94716
SEC CIK: 0001515806

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
AYTU BIOPHARMA, INCAYTU · Entity 7560	Chief Financial Officer	March 31, 2021	April 05, 2021
Altimmune, Inc.ALT · Entity 5349	Chief Financial Officer	January 30, 2024	February 01, 2024

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

AYTU BIOPHARMA, INC

Report date March 31, 2021 · Filed April 05, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common SharesSEC Table I · non-derivative	Direct	68,734	Reported balance After 2021-03-31 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2021-03-31 · Grant · Acquired 55,000 · Balance 68,734 F1: Grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of AYTU common stock. The RSUs vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 1, 2022, and 1/12 on the first day of each quarter thereafter, such that the RSUs will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of AYTU common stock. The RSUs vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 1, 2022, and 1/12 on the first day of each quarter thereafter, such that the RSUs will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer.

Altimmune, Inc.

Report date January 30, 2024 · Filed February 01, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001SEC Table I · non-derivative	Direct	45,012	Ending reported balance After 2024-01-31 transaction · row 3 3 source rows · reconciled sequence Row 1 · 2024-01-30 · Exercise / conversion · Acquired 9,275 · Balance 42,566 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. Row 2 · 2024-01-30 · Tax withholding · Disposed 2,175 · Balance 40,391 F2: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs. Row 3 · 2024-01-31 · Grant · Acquired 4,621 · Balance 45,012 F3: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2023 through January 31, 2024. F4: In accordance with the ESPP, these shares were purchased based on 85% of the opening price of the issuer's common stock on August 1, 2023.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	27,825	Reported balance After 2024-01-30 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-01-30 · Exercise / conversion · Disposed 9,275 · Balance 27,825 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. F5: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F2: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs.

F3: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2023 through January 31, 2024.

F4: In accordance with the ESPP, these shares were purchased based on 85% of the opening price of the issuer's common stock on August 1, 2023.

F5: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Neos Therapeutics, Inc.

Report date March 19, 2021 · Filed March 19, 2021

Section 16 reporting ended · disclosed 2021-03-19. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2021-03-19 transaction · row 1 1 source row Row 1 · 2021-03-19 · Disposition to issuer · Disposed 126,245 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time"). F2: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement). F3: This number includes 58,438 restricted stock units (each, an "RSU") held by the Reporting Person. At the Effective Time, each RSU that was outstanding prior to the Effective Time immediately and automatically ceased to represent a right to acquire shares of Company Common Stock and was assumed by Parent and converted automatically into a restricted stock unit denominated in Parent Common Stock equal to the number of Shares subject to the RSU prior to the Effective Time multiplied by the Exchange Ratio, and any cash in lieu of fractional shares of Parent Common Stock.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.91	Direct	Reported balance After 2021-03-19 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2021-03-19 · Disposition to issuer · Disposed 86,167 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.32	Direct	Reported balance After 2021-03-19 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2021-03-19 · Disposition to issuer · Disposed 12,500 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.50	Direct	Reported balance After 2021-03-19 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2021-03-19 · Disposition to issuer · Disposed 60,230 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.74	Direct	Reported balance After 2021-03-19 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2021-03-19 · Disposition to issuer · Disposed 50,000 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.00	Direct	Reported balance After 2021-03-19 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2021-03-19 · Disposition to issuer · Disposed 45,000 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.30	Direct	Reported balance After 2021-03-19 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2021-03-19 · Disposition to issuer · Disposed 56,250 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.31	Direct	Reported balance After 2021-03-19 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2021-03-19 · Disposition to issuer · Disposed 230,276 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.49	Direct	Reported balance After 2021-03-19 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2021-03-19 · Disposition to issuer · Disposed 115,000 · Balance 0 F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time").

F2: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement).

F3: This number includes 58,438 restricted stock units (each, an "RSU") held by the Reporting Person. At the Effective Time, each RSU that was outstanding prior to the Effective Time immediately and automatically ceased to represent a right to acquire shares of Company Common Stock and was assumed by Parent and converted automatically into a restricted stock unit denominated in Parent Common Stock equal to the number of Shares subject to the RSU prior to the Effective Time multiplied by the Exchange Ratio, and any cash in lieu of fractional shares of Parent Common Stock.

F4: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
January 31, 2024 Filed Feb 1, 2024 23:00 UTC	Altimmune, Inc. ALT · Entity 5349	GrantCommon Stock, par value $0.0001	4,621	$2.69	$12,430.49	Disclosure SEC source: 0001104659-24-009538 · tm244961-1_4seq1.xml · nonDerivative · entry 3 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,012 F3 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2023 through January 31, 2024. F4 · price: In accordance with the ESPP, these shares were purchased based on 85% of the opening price of the issuer's common stock on August 1, 2023. Read SEC document
January 30, 2024 Filed Feb 1, 2024 23:00 UTC	Altimmune, Inc. ALT · Entity 5349	Exercise / conversionRestricted Stock Units · Derivative	9,275	$0.00	$0.00	Disclosure SEC source: 0001104659-24-009538 · tm244961-1_4seq1.xml · derivative · entry 4 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,825 Underlying: Common Stock, par value $0.0001 · 9,275 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: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. F5 · derivative.exercise_date: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. F5 · derivative.expiration_date: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. Read SEC document
January 30, 2024 Filed Feb 1, 2024 23:00 UTC	Altimmune, Inc. ALT · Entity 5349	Tax withholdingCommon Stock, par value $0.0001	2,175	$9.80	$21,315.00	Disclosure SEC source: 0001104659-24-009538 · tm244961-1_4seq1.xml · nonDerivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 40,391 F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs. Read SEC document
January 30, 2024 Filed Feb 1, 2024 23:00 UTC	Altimmune, Inc. ALT · Entity 5349	Exercise / conversionCommon Stock, par value $0.0001	9,275	$0.00	$0.00	Disclosure SEC source: 0001104659-24-009538 · tm244961-1_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 42,566 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: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. Read SEC document
January 25, 2024 Filed Jan 29, 2024 23:30 UTC	Altimmune, Inc. ALT · Entity 5349	GrantRestricted Stock Units · Derivative	58,400	$0.00	$0.00	Disclosure SEC source: 0001104659-24-007859 · tm244341-1_4seq1.xml · derivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,400 Underlying: Common Stock, par value $0.0001 · 58,400 shares Expires not disclosed F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. F3 · derivative.exercise_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. F3 · derivative.expiration_date: The RSUs vest in substantially equal annual installments over the 4 years following January 25, 2024, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. Read SEC document
January 25, 2024 Filed Jan 29, 2024 23:30 UTC	Altimmune, Inc. ALT · Entity 5349	GrantStock Options (option to buy) · Derivative	163,200	$0.00 Strike: $9.28	$0.00	Disclosure SEC source: 0001104659-24-007859 · tm244341-1_4seq1.xml · derivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 163,200 Underlying: Common Stock, par value $0.0001 · 163,200 shares Expires 2034-01-25 F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 25, 2025 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 25, 2025, subject to the reporting person's continued service through the applicable vesting date. Read SEC document
December 29, 2023 Filed Jan 2, 2024 23:00 UTC	Altimmune, Inc. ALT · Entity 5349	Exercise / conversionRestricted Stock Units · Derivative	12,500	$0.00	$0.00	Disclosure SEC source: 0001104659-24-000424 · tm241507-1_4seq1.xml · derivative · entry 3 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock, par value $0.0001 · 12,500 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: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. F3 · derivative.exercise_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. F3 · derivative.expiration_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. Read SEC document
December 29, 2023 Filed Jan 2, 2024 23:00 UTC	Altimmune, Inc. ALT · Entity 5349	Tax withholdingCommon Stock, par value $0.0001	3,044	$11.25	$34,245.00	Disclosure SEC source: 0001104659-24-000424 · tm241507-1_4seq1.xml · nonDerivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,291 F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs. Read SEC document
December 29, 2023 Filed Jan 2, 2024 23:00 UTC	Altimmune, Inc. ALT · Entity 5349	Exercise / conversionCommon Stock, par value $0.0001	12,500	$0.00	$0.00	Disclosure SEC source: 0001104659-24-000424 · tm241507-1_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,335 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: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. Read SEC document
July 31, 2023 Filed Aug 2, 2023 21:51 UTC	Altimmune, Inc. ALT · Entity 5349	GrantCommon Stock, par value $0.0001	1,825	$2.81	$5,128.25	Disclosure SEC source: 0001104659-23-086907 · tm2322669-4_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,835 F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2023 through July 31, 2023. F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2023. Read SEC document
March 24, 2023 Filed Mar 25, 2023 00:54 UTC	Altimmune, Inc. ALT · Entity 5349	PurchaseCommon Stock, par value $0.0001	10,000	$4.31	$43,140.00	Disclosure SEC source: 0001104659-23-036758 · tm2310588d1_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,010 Read SEC document
January 31, 2023 Filed Feb 2, 2023 22:09 UTC	Altimmune, Inc. ALT · Entity 5349	GrantCommon Stock, par value $0.0001	1,172	$10.21	$11,964.36	Disclosure SEC source: 0001104659-23-009972 · tm235311-1_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,010 F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2022 through January 31, 2023. F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the opening price of the issuer's common stock on August 1, 2022. Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:31 UTC	Altimmune, Inc. ALT · Entity 5349	GrantRestricted Stock Units · Derivative	37,100	$0.00	$0.00	Disclosure SEC source: 0001104659-23-009353 · tm235142-2_4seq1.xml · derivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,100 Underlying: Common Stock, par value $0.0001 · 37,100 shares Expires not disclosed F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. F3 · derivative.exercise_date: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. F3 · derivative.expiration_date: The RSUs become vested in substantially equal annual installments over the 4 years following January 30, 2023, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. Read SEC document
January 30, 2023 Filed Feb 1, 2023 22:31 UTC	Altimmune, Inc. ALT · Entity 5349	GrantStock Options (option to buy) · Derivative	105,000	$0.00 Strike: $12.88	$0.00	Disclosure SEC source: 0001104659-23-009353 · tm235142-2_4seq1.xml · derivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common Stock, par value $0.0001 · 105,000 shares Expires 2033-01-30 F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 30, 2024 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 30, 2024, subject to the reporting person's continued service through the applicable vesting date. Read SEC document
December 31, 2022 Filed Jan 3, 2023 22:59 UTC	Altimmune, Inc. ALT · Entity 5349	Exercise / conversionRestricted Stock Units · Derivative	12,500	$0.00	$0.00	Disclosure SEC source: 0001104659-23-000469 · tm231429-3_4seq1.xml · derivative · entry 3 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock, par value $0.0001 · 12,500 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: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. F3 · derivative.exercise_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. F3 · derivative.expiration_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. Read SEC document
December 31, 2022 Filed Jan 3, 2023 22:59 UTC	Altimmune, Inc. ALT · Entity 5349	Tax withholdingCommon Stock, par value $0.0001	3,028	$16.45	$49,810.60	Disclosure SEC source: 0001104659-23-000469 · tm231429-3_4seq1.xml · nonDerivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,838 F2 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of RSUs. Read SEC document
December 31, 2022 Filed Jan 3, 2023 22:59 UTC	Altimmune, Inc. ALT · Entity 5349	Exercise / conversionCommon Stock, par value $0.0001	12,500	$0.00	$0.00	Disclosure SEC source: 0001104659-23-000469 · tm231429-3_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,866 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: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. Read SEC document
July 31, 2022 Filed Aug 3, 2022 20:05 UTC	Altimmune, Inc. ALT · Entity 5349	GrantCommon Stock, par value $0.0001	1,366	$6.86	$9,370.76	Disclosure SEC source: 0001104659-22-085617 · tm2222488-1_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,366 F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2022 through July 31, 2022. Read SEC document
December 31, 2021 Filed Jan 4, 2022 11:11 UTC	Altimmune, Inc. ALT · Entity 5349	GrantRestricted Stock Units · Derivative	50,000	$0.00	$0.00	Disclosure SEC source: 0001104659-22-000629 · tm2136680-3_4seq1.xml · derivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, par value $0.0001 · 50,000 shares Expires not disclosed F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested. F3 · derivative.exercise_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. F3 · derivative.expiration_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. Read SEC document
December 31, 2021 Filed Jan 4, 2022 11:11 UTC	Altimmune, Inc. ALT · Entity 5349	GrantStock Options (option to buy) · Derivative	150,000	$0.00 Strike: $9.16	$0.00	Disclosure SEC source: 0001104659-22-000629 · tm2136680-3_4seq1.xml · derivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock, par value $0.0001 · 150,000 shares Expires 2031-12-31 F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal monthly installments for the following thirty-six (36) months, subject to the reporting person's continued service on each applicable vesting date. Read SEC document
March 31, 2021 Filed Apr 5, 2021 23:15 UTC	AYTU BIOPHARMA, INC AYTU · Entity 7560	GrantCommon Shares	55,000	$0.00	$0.00	Disclosure SEC source: 0001567619-21-007654 · doc1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,734 F1 · security: Grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of AYTU common stock. The RSUs vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 1, 2022, and 1/12 on the first day of each quarter thereafter, such that the RSUs will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. F1 · shares: Grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of AYTU common stock. The RSUs vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 1, 2022, and 1/12 on the first day of each quarter thereafter, such that the RSUs will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. F1 · price: Grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of AYTU common stock. The RSUs vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 1, 2022, and 1/12 on the first day of each quarter thereafter, such that the RSUs will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerStock Option (Right to Buy) · Derivative	115,000	$0.00 Strike: $1.49	$0.00	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · derivative · entry 9 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 115,000 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerStock Option (Right to Buy) · Derivative	230,276	$0.00 Strike: $2.31	$0.00	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · derivative · entry 8 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 230,276 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerStock Option (Right to Buy) · Derivative	56,250	$0.00 Strike: $8.30	$0.00	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · derivative · entry 7 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 56,250 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerStock Option (Right to Buy) · Derivative	45,000	$0.00 Strike: $7.00	$0.00	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · derivative · entry 6 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,000 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerStock Option (Right to Buy) · Derivative	50,000	$0.00 Strike: $10.74	$0.00	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · derivative · entry 5 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerStock Option (Right to Buy) · Derivative	60,230	$0.00 Strike: $25.50	$0.00	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · derivative · entry 4 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,230 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerStock Option (Right to Buy) · Derivative	12,500	$0.00 Strike: $9.32	$0.00	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · derivative · entry 3 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerStock Option (Right to Buy) · Derivative	86,167	$0.00 Strike: $2.91	$0.00	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · derivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 86,167 shares Expires not disclosed F4 · kind: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.exercise_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. F4 · derivative.expiration_date: At the Effective Time, each option to purchase Shares of the Company that was outstanding immediately prior to the Effective Time that had an exercise price per share equal to or less than $0.95 (any such option, an "Assumed Company Option") ceased to represent a right to acquire Shares, was assumed by Parent and automatically converted into the option to purchase shares of Parent Common Stock equal to the number of Shares underlying each such Assumed Company Option multiplied by the Exchange Ratio. All outstanding stock options of the Company that were not Assumed Company Options were cancelled at the Effective Time without payment of any consideration. Read SEC document
March 19, 2021 Filed Mar 19, 2021 17:04 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Disposition to issuerCommon Stock	126,245	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-21-039174 · tm219870-4_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time"). F2 · kind: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement). F3 · shares: This number includes 58,438 restricted stock units (each, an "RSU") held by the Reporting Person. At the Effective Time, each RSU that was outstanding prior to the Effective Time immediately and automatically ceased to represent a right to acquire shares of Company Common Stock and was assumed by Parent and converted automatically into a restricted stock unit denominated in Parent Common Stock equal to the number of Shares subject to the RSU prior to the Effective Time multiplied by the Exchange Ratio, and any cash in lieu of fractional shares of Parent Common Stock. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement") dated as of December 10, 2020, by and among the Company, Aytu BioScience, Inc. ("Parent"), and Neutron Acquisition Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Company (the "Merger") effective as of March 19, 2021 (the "Effective Time"). F2 · price: At the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") (excluding any Shares held in the treasury of the Company or owned, directly or indirectly, by Parent or Merger Sub immediately prior to the Effective Time) was cancelled and converted into the right to receive 0.1088 (the "Exchange Ratio") shares of Common Stock of Parent (the "Parent Common Stock"), plus the right, if any, to receive cash in lieu of fractional shares of Parent Common Stock into which such Shares would have been converted (as described in the Merger Agreement). Read SEC document
March 02, 2021 Filed Mar 16, 2021 08:49 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Tax withholdingCommon Stock	14,825	$0.84	$12,512.30	Disclosure SEC source: 0001104659-21-036711 · tm219870-1_4seq1.xml · nonDerivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,245 F1 · kind: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of Restricted Stock Units and does not represent a sale by the Reporting Person. Read SEC document
March 01, 2021 Filed Mar 16, 2021 08:49 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	Tax withholdingCommon Stock	1,390	$0.88	$1,227.37	Disclosure SEC source: 0001104659-21-036711 · tm219870-1_4seq1.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,070 F1 · kind: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of Restricted Stock Units and does not represent a sale by the Reporting Person. Read SEC document
March 02, 2020 Filed Mar 4, 2020 17:22 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	GrantStock Option (Right to Buy) · Derivative	115,000	$0.00 Strike: $1.49	$0.00	Disclosure SEC source: 0001104659-20-029264 · a4.xml · derivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,000 Underlying: Common Stock · 115,000 shares Expires 2030-03-02 F2 · derivative.exercise_date: This stock option will vest in four equal, annual installments beginning on March 2, 2021. Read SEC document
March 02, 2020 Filed Mar 4, 2020 17:22 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	GrantCommon Stock	100,000	$0.00	$0.00	Disclosure SEC source: 0001104659-20-029264 · a4.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed F1 · security: Represents shares of common stock underlying restricted stock unit grants awarded to the Reporting Person. The restricted stock units will vest in two equal, annual installments beginning on March 2, 2021. Read SEC document
March 01, 2019 Filed Mar 4, 2019 16:02 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	GrantStock Option (Right to Buy) · Derivative	230,276	$0.00 Strike: $2.31	$0.00	Disclosure SEC source: 0001104659-19-012421 · a4.xml · derivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,276 Underlying: Common Stock · 230,276 shares Expires 2029-03-01 F1 · derivative.exercise_date: This stock option will vest in four equal, annual installments beginning on March 1, 2019. Read SEC document
December 12, 2018 Filed Dec 13, 2018 16:08 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	PurchaseCommon Stock	5,000	$2.16	$10,819.50	Disclosure SEC source: 0001104659-18-072812 · a4.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,460 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $2.1600 to $2.1666, inclusive. The reporting person undertakes to provide Neos Therapeutics, Inc., any security holder of Neos Therapeutics, Inc., 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 in this footnote. Read SEC document
March 01, 2018 Filed Mar 5, 2018 17:14 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	GrantStock Option (Right to Buy) · Derivative	56,250	$0.00 Strike: $8.30	$0.00	Disclosure SEC source: 0001104659-18-014877 · a4.xml · derivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,250 Underlying: Common Stock · 56,250 shares Expires 2028-03-01 F2 · derivative.exercise_date: This stock option will vest in four equal, annual installments beginning on March 1, 2019. Read SEC document
March 01, 2018 Filed Mar 5, 2018 17:14 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	GrantCommon Stock	18,750	$0.00	$0.00	Disclosure SEC source: 0001104659-18-014877 · a4.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,460 F1 · security: Represents shares of common stock underlying restricted stock unit grants awarded to the Reporting Person. The restricted stock units will vest in four equal, annual installments beginning on March 1, 2019. Read SEC document
May 01, 2017 Filed May 2, 2017 21:09 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	GrantStock Option (Right to Buy) · Derivative	45,000	$0.00 Strike: $7.00	$0.00	Disclosure SEC source: 0001104659-17-029073 · a4.xml · derivative · entry 2 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2027-05-01 F2 · derivative.exercise_date: This stock option will vest in four equal, annual installments beginning on May 1, 2018. Read SEC document
May 01, 2017 Filed May 2, 2017 21:09 UTC	Neos Therapeutics, Inc. NEOS · Entity 141061	GrantCommon Stock	15,000	$0.00	$0.00	Disclosure SEC source: 0001104659-17-029073 · a4.xml · nonDerivative · entry 1 Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,710 F1 · security: Represents shares of common stock underlying restricted stock unit grants awarded to the Reporting Person. The restricted stock units will vest in four equal, annual installments beginning on May 1, 2018. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.