| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | CTXR | Common Stock | 1,992,243 | 22 Jul 2021 | Direct |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | CTXR | Options to Purchase Common Stock | Award | $0 | +300,000 | $0.000000 | 300,000 | 22 Jul 2021 | Common Stock | 300,000 | $2.00 | Direct | F8 | |
| transaction | CTXR | Options to Purchase Common Stock | Award | $0 | +10,000 | $0.000000 | 10,000 | 22 Jul 2021 | Common Stock | 10,000 | $2.00 | See Footnote | F8, F9 | |
| holding | CTXR | Warrant to Purchase Common Stock | 784,314 | 22 Jul 2021 | Common Stock | 784,314 | $1.15 | Direct | F1, F2 | |||||
| holding | CTXR | Options to Purchase Common Stock | 26,667 | 22 Jul 2021 | Common Stock | 26,667 | $8.10 | Direct | F3 | |||||
| holding | CTXR | Options to Purchase Common Stock | 40,000 | 22 Jul 2021 | Common Stock | 40,000 | $3.45 | Direct | F4 | |||||
| holding | CTXR | Options to Purchase Common Stock | 150,000 | 22 Jul 2021 | Common Stock | 150,000 | $1.62 | Direct | F5 | |||||
| holding | CTXR | Warrant to Purchase Common Stock | 129,450 | 22 Jul 2021 | Common Stock | 129,450 | $1.42 | Direct | F1, F2 | |||||
| holding | CTXR | Warrant to Purchase Common Stock | 558,597 | 22 Jul 2021 | Common Stock | 558,597 | $0.7700 | Direct | F1, F2 | |||||
| holding | CTXR | Options to Purchase Common Stock | 175,000 | 22 Jul 2021 | Common Stock | 175,000 | $0.6700 | Direct | F6 | |||||
| holding | CTXR | Options to Purchase Common Stock | 200,000 | 22 Jul 2021 | Common Stock | 200,000 | $1.01 | Direct | F7 |
| Id | Content |
|---|---|
| F1 | The warrant is fully vested and exercisable immediately. |
| F2 | The purchase price of the warrants was included in the purchase price of the common stock reported in Table I. |
| F3 | The option granted vested and became exercisable as follows: the option to purchase 2,667 shares of common stock of the Company (the "Common Stock") vested on October 1, 2015, and the balance of the option to purchase shares of Common Stock vested in twelve (12) equal installments commencing on December 31, 2015. |
| F4 | One-third of the shares of the Company's common stock underlying the grant vest on the first anniversary of the vesting commencement date, September 13, 2018. The remaining shares of the Company's common stock underlying the grant vest in equal monthly installments at the end of each month for two years following the initial vest. |
| F5 | One-third of the shares of the Company's common stock underlying the grant vest on each of the one-year, two-year and three-year anniversary of the vesting commencement date, September 4, 2018, provided that the Reporting Person provides continuous services to the Company as of each such vesting date. |
| F6 | The options were granted on October 8, 2019. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date. |
| F7 | The options were granted on October 6, 2020. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date. |
| F8 | The options were granted on July 22, 2021. The options will vest 1/3 on each of the one-year, two-year and three-year anniversary of the Vesting Commencement Date, provided that the Optionee provides Continuous Service to the Company as of each such vesting date. |
| F9 | The options are held by the Reporting Person's daughter. The Reporting Person disclaims beneficial ownership in these shares. |