| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 06/06/2023 | Alaunos Therapeutics, Inc. | ZIOP | Grant | Employee Stock Option (right to buy) | 100k | $0.48 | $48k | | 06/06/2023 |
| 02/22/2023 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Disposition | Warrants (right to purchase) | 275.9k | $7.98 | $2.2M | See Footnote | 02/22/2023 |
| 02/22/2023 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Disposition | Warrants (right to purchase) | 275.9k | $12.09 | $3.3M | See Footnote | 02/22/2023 |
| 02/22/2023 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Disposition | Warrants (right to purchase) | 498k | $12.15 | $6.1M | See Footnote | 02/22/2023 |
| 02/22/2023 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Disposition | Warrants (right to purchase) | 62.5k | $12.00 | $750k | See Footnote | 02/22/2023 |
| 02/22/2023 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Grant | Warrants (right to purchase) | 1.1M | $0.14 | $156.9k | See Footnote | 02/22/2023 |
| 02/22/2023 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Exercise (in-the-money or at-the-money) | Warrants (right to purchase) | 1.1M | $0.14 | $156.9k | See Footnote | 02/22/2023 |
| 02/22/2023 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Grant | Warrants (right to purchase) | 2.2M | $0.22 | $478.7k | See Footnote | 02/22/2023 |
| 09/08/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 33.3k | $4.28 | $142.6k | See Footnote | 09/06/2022 |
| 09/07/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 3.1k | $4.00 | $12.4k | See Footnote | 09/06/2022 |
| 09/06/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 19.2k | $3.89 | $74.6k | See Footnote | 09/06/2022 |
| 09/02/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 400 | $3.74 | $1.5k | See Footnote | 08/31/2022 |
| 09/01/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 11.8k | $3.72 | $44k | See Footnote | 08/31/2022 |
| 08/31/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 25k | $3.75 | $93.5k | See Footnote | 08/31/2022 |
| 08/26/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 39.5k | $3.75 | $148.2k | See footnote | 08/24/2022 |
| 08/24/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 5k | $3.75 | $18.8k | See Footnote | 08/24/2022 |
| 08/23/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 40k | $3.50 | $140k | See Footnote | 08/19/2022 |
| 08/22/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 23.1k | $3.46 | $80k | See Footnote | 08/19/2022 |
| 08/19/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Purchase | Common Stock | 171.1k | $3.27 | $559.4k | See Footnote | 08/19/2022 |
| 06/22/2022 | Alaunos Therapeutics, Inc. | ZIOP | Grant | Common Stock | 80k | $0.00 | $0 | | 06/22/2022 |
| 06/22/2022 | Alaunos Therapeutics, Inc. | ZIOP | Grant | Employee Stock Option (right to buy) | 100k | $0.82 | $82k | | 06/22/2022 |
| 06/22/2022 | Alaunos Therapeutics, Inc. | ZIOP | Grant | Common Stock | 80k | $0.00 | $0 | | 06/22/2022 |
| 06/22/2022 | Alaunos Therapeutics, Inc. | ZIOP | Grant | Employee Stock Option (right to buy) | 100k | $0.82 | $82k | | 06/22/2022 |
| 06/07/2022 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Grant | Common Stock | 5k | $0.00 | $0 | | 06/07/2022 |
| 06/07/2022 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Grant | Stock Option (Right to Buy) | 7.5k | $0.47 | $3.5k | | 06/07/2022 |
| 05/25/2022 | CASI Pharmaceuticals, Inc (DE) | CASI | Grant | Stock Option (Right to Buy) | 397.4k | $0.47 | $185.4k | | 05/25/2022 |
| 10/19/2021 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Purchase | Common Stock | 50k | $1.90 | $95.1k | | 10/19/2021 |
| 09/01/2021 | Alaunos Therapeutics, Inc. | ZIOP | Purchase | Common Stock | 100k | $1.71 | $171k | | 09/01/2021 |
| 06/15/2021 | CASI Pharmaceuticals, Inc (DE) | CASI | Grant | Stock Option (Right to Buy) | 113k | $1.65 | $186.5k | | 06/15/2021 |
| 06/15/2021 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Grant | Stock Option (Right to Buy) | 15k | $2.28 | $34.2k | | 06/15/2021 |
| 03/31/2021 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Purchase | Common Stock | 150k | $2.36 | $354k | | 03/31/2021 |
| 03/04/2021 | Alaunos Therapeutics, Inc. | ZIOP | Grant | Common Stock | 8.3k | $0.00 | $0 | | 03/04/2021 |
| 03/04/2021 | Alaunos Therapeutics, Inc. | ZIOP | Grant | Stock Option (right to buy) | 62.5k | $4.31 | $269.4k | | 03/04/2021 |
| 02/03/2021 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Grant | Stock Option (Right to Buy) | 15k | $5.50 | $82.5k | | 02/03/2021 |
| 10/23/2020 | WINDTREE THERAPEUTICS INC /DE/ | WINT | Purchase | Common Stock | 1000 | $6.67 | $6.7k | | 10/23/2020 |
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