| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 05/11/2023 | NovaBay Pharmaceuticals, Inc. | NBY | Exercise | Restricted Stock Units | 858 | $0.00 | $0 | | 05/11/2023 |
| 05/21/2022 | NovaBay Pharmaceuticals, Inc. | NBY | Exercise | Restricted Stock Units | 30k | $0.00 | $0 | | 05/21/2022 |
| 05/11/2022 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | Restricted Stock Units | 30k | $0.00 | $0 | | 05/11/2022 |
| 05/21/2021 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | Restricted Stock Unit | 30k | $0.00 | $0 | | 05/21/2021 |
| 05/26/2020 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | Stock option (right to buy) | 20k | $0.89 | $17.8k | | 05/26/2020 |
| 05/30/2019 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | Stock option (right to buy) | 20k | $0.30 | $6k | | 05/30/2019 |
| 05/31/2018 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | Stock Option (right to buy) | 20k | $2.20 | $44k | | 05/31/2018 |
| 01/03/2017 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | | 25.9k | $3.24 | $84k | | 01/03/2017 |
| 01/03/2017 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | | 25.9k | $3.24 | $84k | | 01/03/2017 |
| 01/04/2016 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | | 26.8k | $2.02 | $54.2k | | 01/04/2016 |
| 11/19/2015 | Neurotrope, Inc. | NTRP | Grant | Options (right to buy) | 200k | $0.80 | $160k | | 11/19/2015 |
| 11/13/2015 | Neurotrope, Inc. | NTRP | Purchase | Series B Preferred Stock | 1.7k | $0.00 | $0 | By Trust of Paul E. Freiman & Anna Mazzuchi Freiman | 11/13/2015 |
| 11/13/2015 | Neurotrope, Inc. | NTRP | Purchase | Series D Warrant | 166.7k | $1.00 | $166.7k | By Trust of Paul E. Freiman & Anna Mazzuchi Freiman | 11/13/2015 |
| 11/13/2015 | Neurotrope, Inc. | NTRP | Purchase | Series C Warrant | 166.7k | $1.25 | $208.3k | By Trust of Paul E. Freiman & Anna Mazzuchi Freiman | 11/13/2015 |
| 11/13/2015 | Neurotrope, Inc. | NTRP | Purchase | Series B Warrant | 166.7k | $0.80 | $133.3k | By Trust of Paul E. Freiman & Anna Mazzuchi Freiman | 11/13/2015 |
| 11/13/2015 | Neurotrope, Inc. | NTRP | Purchase | Series E Warrant | 166.7k | $1.50 | $250k | By Trust of Paul E. Freiman & Anna Mazzuchi Freiman | 11/13/2015 |
| 01/02/2015 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | | 121.1k | $0.64 | $77.5k | | 01/02/2015 |
| 09/12/2014 | Neurotrope, Inc. | NTRP | Grant | Options (right to buy) | 50k | $0.60 | $30k | | 09/12/2014 |
| 01/02/2014 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | | 15k | $1.29 | $19.4k | | 01/02/2014 |
| 08/25/2008 | NovaBay Pharmaceuticals, Inc. | NBY | Grant | | 1.4k | $0.00 | $0 | By the Paul Freiman and Anna Mazzuchi Freiman Trust dated 5/24/95 | 08/25/2008 |