Feldmann Marc

SEC source: 0001213900-23-099335 · ownership.xml · nonDerivative · entry 1

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,874

F1 · kind: Granted to the Reporting Person pursuant to the Issuer's equity compensation plans in consideration for services rendered. Exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3.

SEC source: 0001213900-23-096503 · ownership.xml · nonDerivative · entry 1

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,497

F1 · kind: Effective on December 15, 2023, Prof. Sir Marc Feldmann, the Co-Executive Chairman of the Issuer, sold 25,000 shares of common stock of the Issuer to Dr. James N. Woody, the Chief Executive Officer of the Issuer, in a private transaction, for $4,720 or $0.188 per share, the closing sales price of the Issuer's common stock on such effective date.

SEC source: 0001213900-23-075380 · ownership.xml · derivative · entry 2

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-09-04

F1 · kind: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors for the quarter ended June 30, 2023. Granted under the registrant's First Amended and Restated 2022 Omnibus Incentive Plan. Exempt pursuant to Rule 16b-3.

F1 · price: Granted in consideration for services rendered and to be rendered as a member of the Board of Directors for the quarter ended June 30, 2023. Granted under the registrant's First Amended and Restated 2022 Omnibus Incentive Plan. Exempt pursuant to Rule 16b-3.

F2 · derivative.exercise_date: The options vest at the rate of 1/12th of such options ratably on a monthly basis over the following 12 months on the last day of each calendar month (beginning September 30, 2023), subject to the Reporting Person's continued service to the Company on such vesting dates.

SEC source: 0001213900-21-064981 · ownership.xml · nonDerivative · entry 2

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,809,930

F3 · price: This transaction was executed in multiple trades at prices ranging from $4.05 to $4.10. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001213900-21-064981 · ownership.xml · derivative · entry 3

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-12-08

F1 · kind: Granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan in consideration for services to be rendered. Exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3.

SEC source: 0001213900-21-064981 · ownership.xml · nonDerivative · entry 1

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,759,930

F1 · kind: Granted to the Reporting Person pursuant to the Issuer's 2020 Omnibus Incentive Plan in consideration for services to be rendered. Exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rule 16b-3.

F2 · price: Represents shares of common stock issued in consideration for a net of $21,870 of compensation owed to the Reporting Person after the deduction for taxes for services rendered to the Company as a member of the Board of Directors.

SEC source: 0001013762-21-000206 · ownership.xml · nonDerivative · entry 1

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,754,394

F1 · kind: On September 30, 2021, the Issuer entered into a Debt Conversion Agreement with the Reporting Person, pursuant to which the parties agreed to convert an aggregate of $819,818 owed by the Registrant to the Reporting Person, for advances previously made to the Registrant's subsidiaries, into an aggregate of 136,636 shares of common stock of the Issuer. Exempt from Section 16(b) pursuant to Rule 16b-3.

F2 · price: The agreed upon conversion price of the conversion of the debt described in Footnote (1) above was the greater of the closing consolidated bid price or the market price on the date the conversion agreement was entered into, and $6.00 per share, provided that because $6.00 was above the closing consolidated bid price and the market price, the conversion price was fixed at $6.00 per share.

SEC source: 0001213900-21-021026 · ownership.xml · nonDerivative · entry 1

Feldmann Marc · CIK 0001832327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,617,758

F1 · kind: Issued in consideration for accrued compensation due for services rendered as Co-Executive Chairman of the Issuer. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.

F1 · price: Issued in consideration for accrued compensation due for services rendered as Co-Executive Chairman of the Issuer. Granted under the registrant's 2020 Omnibus Incentive Plan. Exempt from Section 16(b) pursuant to Rule 16b-3.