| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | PSTX | Common Stock | Sale | -$593K | -161K | -100% | $3.69 | 0 | Aug 3, 2022 | See footnote | F1, F2, F3 |
| holding | PSTX | Common Stock | 696K | Aug 3, 2022 | Direct | F4 | |||||
| holding | PSTX | Common Stock | 3.66M | Aug 3, 2022 | See footnote | F5 | |||||
| holding | PSTX | Common Stock | 3.36M | Aug 3, 2022 | See footnote | F6 | |||||
| holding | PSTX | Common Stock | 580K | Aug 3, 2022 | See footnote | F7 | |||||
| holding | PSTX | Common Stock | 961K | Aug 3, 2022 | See footnote | F8 |
| Id | Content |
|---|---|
| F1 | The sales reported in this Form 4 were effected by Transposagen Biopharmaceuticals, Inc. ("Transposagen") pursuant to a Rule 10b5-1 trading plan established independently of Dr. Ostertag and in connection with a planned dissolution of Transposagen. Dr. Ostertag reports beneficial ownership of the shares held by Transposagen as a result of his affiliation with that entity. |
| F2 | The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.50 to $4.11 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
| F3 | The shares are held in the name of Transposagen, of which Dr. Ostertag is a majority stockholder. |
| F4 | Includes 3,000 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan on March 18, 2022. |
| F5 | The shares are held in the name of the Eric Ostertag Living Trust dated March 30, 2016, of which the reporting person is the sole trustee. |
| F6 | The shares are held in the name of Titan, LLC, which is owned by the Ostertag Descendents' Trust, of which the reporting person's minor daughter is the sole beneficiary. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
| F7 | The shares are held in the name of Twin Prime Investments, an entity wholly owned by the reporting person. |
| F8 | The shares are held in the name of the Ostertag Family Trust dated March 30, 2016, of which the reporting person is a trustee. |