| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BIVI | Common Stock | Conversion of derivative security | +1.6M | 1.6M | Aug 13, 2018 | See Footnote | F1, F2, F3 | |||
| transaction | BIVI | Common Stock | Award | $0 | +1.6K | +0.1% | $0.00 | 1.6M | Jan 2, 2019 | Direct | F2, F4 |
| transaction | BIVI | Common Stock | Award | $68.7M | +1.53M | +95.3% | $45.00* | 3.13M | Jun 24, 2019 | See Footnote | F2, F3, F5 |
| transaction | BIVI | Common Stock | Award | +1.13M | +35.97% | 4.25M | Sep 24, 2019 | See Footnote | F2, F3, F6 | ||
| transaction | BIVI | Common Stock | Award | +4.42K | +0.1% | 4.26M | Jan 2, 2020 | See Footnote | F3, F7 | ||
| transaction | BIVI | Common Stock | Award | $0 | +1.6K | +0.04% | $0.00 | 4.26M | Jan 2, 2020 | Direct | F4 |
| transaction | BIVI | Common Stock | Award | +5.36M | +125.85% | 9.62M | Sep 22, 2020 | See Footnote | F3, F8 | ||
| transaction | BIVI | Common Stock | Options Exercise | $155 | +1.55M | +16.11% | $0.00* | 11.2M | Sep 22, 2020 | See Footnote | F3, F8 |
| transaction | BIVI | Common Stock | Award | +8.36M | +74.86% | 19.5M | Jun 10, 2021 | See Footnote | F3, F9 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | BIVI | Series A Convertible Preferred Stock | Purchase | +1.6M | 1.6M | Jul 3, 2018 | Common Stock | 1.6M | See Footnote | F2, F3, F10 | ||||
| transaction | BIVI | Warrants (right to buy) | Purchase | +1.71M | 1.71M | Jul 3, 2018 | Common Stock | 1.71M | $2.25 | See Footnote | F2, F3, F10 | |||
| transaction | BIVI | Series A Convertible Preferred Stock | Conversion of derivative security | -1.6M | -100% | 0 | Aug 3, 2018 | Common Stock | 1.6M | See Footnote | F1, F2, F3, F10 | |||
| transaction | BIVI | Warrants (right to buy) | Disposed to Issuer | -1.71M | -100% | 0 | Jun 24, 2019 | Common Stock | 1.71M | See Footnote | F2, F3, F5 | |||
| transaction | BIVI | 10% Convertible Debenture due 2020 | Award | $2M | $2M | Sep 24, 2019 | Common Stock | See Footnote | F3, F6 | |||||
| transaction | BIVI | Warrants (right to buy) | Award | +1.25M | 1.25M | Sep 24, 2019 | Common Stock | 1.25M | See Footnote | F2, F3, F6, F11 | ||||
| transaction | BIVI | Warrants (right to buy) | Award | +300K | 300K | Jul 13, 2020 | Common Stock | 300K | See Footnote | F3, F6, F11 | ||||
| transaction | BIVI | 10% Convertible Debenture due 2020 | Disposed to Issuer | -$2M | 0 | Sep 22, 2020 | Common Stock | See Footnote | F3, F6, F12 | |||||
| transaction | BIVI | Warrants (right to buy) | Options Exercise | -1.25M | -100% | 0 | Sep 22, 2020 | Common Stock | 1.25M | See Footnote | F2, F3, F8, F11 | |||
| transaction | BIVI | Warrants (right to buy) | Options Exercise | -300K | -100% | 0 | Sep 22, 2020 | Common Stock | 300K | See Footnote | F3, F8, F11 |
| Id | Content |
|---|---|
| F1 | See Exhibit 99.1 |
| F2 | Adjusted to reflect the 125-for-1 reverse stock split effectuated by the Issuer on November 22, 2019 (the "Reverse Stock Split"). |
| F3 | Acuitas Group Holdings, LLC ("Acuitas"), is an entity beneficially owned and controlled by Terren S. Peizer. |
| F4 | The Issuer granted 1,600 shares of common stock to the reporting person as compensation for his service on the Issuer's board of directors. |
| F5 | Pursuant to a letter agreement with the Issuer dated June 24, 2019, Acuitas agreed to modify its existing rights under the 2018 SPA and agreed to immediately exchange the 2018 Warrants such that it effectively exercised its warrant in full pursuant to a cashless exercise thereof at an assumed then-current market price of $45 per share (adjusted to reflect the Reverse Stock Split) and, as a result, received an aggregate of 95% of the shares covered thereby. |
| F6 | See Exhibit 99.1 |
| F7 | The Issuer paid $13,487 of accrued interest on the Debenture through the issuance of 4,422 shares of the Issuer's common stock to Acuitas. |
| F8 | See Exhibit 99.1 |
| F9 | The Issuer issued these shares to NeurMedix, Inc. ("NeurMedix") in partial consideration for the acquisition of certain assets from NeurMedix and the assumption of certain liabilities of NeurMedix pursuant to the Asset Purchase Agreement, dated April 27, 2021, by and among the Issuer, NeurMedix, Inc. and Acuitas. In connection with the closing, NeurMedix assigned the rights to receive such shares to Acuitas. |
| F10 | See Exhibit 99.1 |
| F11 | Exercisable at the lower of $4 (adjusted to reflect the Reverse Stock Split) or 80% of the offering price to the public in the Uplisting Offering. |
| F12 | On September 22, 2020, the Issuer paid approximately $1.8 million to Acuitas satisfy all amounts owed on the Debenture due September 24, 2020. |
Exhibit 99.1 - Explanation of Responses