Bios Equity Partners Amends Lantern Pharma Stake

TL;DR

BIOS EQUITY PARTNERS AMENDED THEIR LANTERN PHARMA STAKE ON 3/1/24 - CHECK FILING FOR DETAILS

AI Summary

Bios Equity Partners, LP, along with associated entities and individuals like Aaron Glenn and Louis Fletcher, filed an amendment on March 1, 2024, to their Schedule 13D concerning Lantern Pharma Inc. This filing indicates a change in beneficial ownership, though specific new holdings or dollar amounts are not detailed in this excerpt.

Why It Matters

This filing signals a potential shift in control or influence over Lantern Pharma by Bios Equity Partners, which could impact the company's strategic direction and stock performance.

Risk Assessment

Risk Level: medium — Schedule 13D filings often precede significant corporate actions or shifts in control, introducing uncertainty for investors.

Key Players & Entities

• Bios Equity Partners, LP (company) — Filer of the Schedule 13D/A
• Lantern Pharma Inc. (company) — Subject company of the filing
• Aaron Glenn (person) — Group member associated with the filer
• Louis Fletcher (person) — Group member associated with the filer

FAQ

Key Financial Figures

• $0.0001 — me of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securiti

Filing Documents

• tm247761d1_sc13da.htm (SC 13D/A) — 310KB
• 0001104659-24-029971.txt ( ) — 312KB

(d) OR 2(e)

ITEM 2(d) OR 2(e) ¨ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 371,950 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 371,950 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 371,950 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.5% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of 371,950 shares of common stock of the Issuer, par value $0.0001 per share (“Shares”) directly held by Bios Fund I, LP (“Bios Fund I”) as of the date hereof. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP, LP (“Bios Fund I QP”) on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held by Bios Fund II, LP (“Bios Fund II”), Bios Fund II QP, LP (“Bios Fund II QP”) and Bios Fund II NT, LP (“Bios Fund II NT”) on January 17, 2024. CUSIP No. 51654W101 1 NAME OF REPORTING PERSONS BIOS FUND I QP, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) x 3 SEC USE ONLY 4 SOURCE OF FUNDS WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO

(d) OR 2(e)

ITEM 2(d) OR 2(e) ¨ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 217,553 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 217,553 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 217,553 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.0% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of 217,553 Shares directly held by Bios Fund I QP as of the date hereof. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held by Bios Fund II, Bios Fund II QP and Bios Fund II NT on January 17, 2024. CUSIP No. 51654W101 1 NAME OF REPORTING PERSONS BIOS FUND II, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ¨ (b) x 3 SEC USE ONLY 4 SOURCE OF FUNDS WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO

(d) OR 2(e)

ITEM 2(d) OR 2(e) ¨ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 137,832 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 137,832 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 137,832 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.3% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of 137,832 Shares directly held by Bios Fund II as of the date hereof. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held by Bios Fund II, Bios Fund II QP and Bios Fund II NT on January 17, 2024. CUSIP No. 51654W101 1 NAME OF REPORTING PERSONS BIOS FUND II QP, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 450,118 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 450,118 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 450,118 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.2% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of 450,118 Shares directly held by Bios Fund II QP as of the date hereof. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held by Bios Fund II, Bios Fund II QP and Bios Fund II NT on January 17, 2024. CUSIP No. 51654W101 1 NAME OF REPORTING PERSONS BIOS FUND II NT, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS WC 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 60,256 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 60,256 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 60,256 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.6% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of 60,256 Shares directly held by Bios Fund II NT as of the date hereof. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held by Bios Fund II, Bios Fund II QP and Bios Fund II NT on January 17, 2024. CUSIP No. 51654W101 1 NAME OF REPORTING PERSONS BP DIRECTORS, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS OO 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 26,093 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 26,093 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 26,093 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.2% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of 26,093 Shares directly held by BP Directors, LP (“Bios Directors”) as of the date hereof. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held by Bios Fund II, Bios Fund II QP and Bios Fund II NT on January 17, 2024. CUSIP No. 51654W101 1 NAME OF REPORTING PERSONS BIOS EQUITY PARTNERS, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS AF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION TEXAS, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 615,596 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 615,596 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 615,596 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.7% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of (i) 371,950 Shares directly held by Bios Fund I, (ii) 217,553 Shares directly held by Bios Fund I QP and (iii) 26,093 Shares directly held by Bios Directors, in each case, as of the date hereof. Bios Equity Partners, LP (“Bios Equity I”) is the general partner of Bios Fund I, Bios Fund I QP and Bios Directors. In its capacity as the general partner of these entities, Bios Equity I may be deemed to have shared voting and/or dispositive power with respect to Shares directly or indirectly held by these entities. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held by Bios Fund II, Bios Fund II QP and Bios Fund II NT on January 17, 2024. CUSIP No. 51654W101 1 NAME OF REPORTING PERSONS BIOS EQUITY PARTNERS II, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS AF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION TEXAS, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 648,206 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 648,206 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 648,206 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.0% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of (i) 137,832 Shares directly held by Bios Fund II, (ii) 450,118 Shares directly held by Bios Fund II QP and (iii) 60,256 Shares directly held by Bios Fund II NT, in each case, as of the date hereof. Bios Equity Partners II, LP (“Bios Equity II”) is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. In its capacity as the general partner of these entities, Bios Equity II may be deemed to have shared voting and/or dispositive power with respect to Shares and warrants to purchase Shares, in each case, directly held by these entities. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held by Bios Fund II, Bios Fund II QP and Bios Fund II NT on January 17, 2024. CUSIP No. 51654W101 1 NAME OF REPORTING PERSONS CAVU MANAGEMENT, LP 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3 SEC USE ONLY 4 SOURCE OF FUNDS AF 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION TEXAS, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 1,263,802 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 1,263,802 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,263,802 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.8% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of (i) 371,950 Shares directly held by Bios Fund I, (ii) 217,553 Shares directly held by Bios Fund I QP, (iii) 137,832 Shares directly held by Bios Fund II, (iv) 450,118 Shares directly held by Bios Fund II QP, (v) 60,256 Shares directly held by Bios Fund II NT and (vi) 26,093 Shares held by Bios Directors, in each case, as of the date hereof. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and Bios Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Cavu Management, LP (“Cavu Management”) is a general partner of Bios Equity I and Bios Equity II. In its capacity as a general partner of Bios Equity I and Bios Equity II, Cavu Management may be deemed to have shared voting and/or dispositive power with respect to Shares and warrants to purchase Shares, in each case, directly or indirectly held by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT and Bios Directors. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of war

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION TEXAS, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 1,263,802 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 1,263,802 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,263,802 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.8% (2) 14 TYPE OF REPORTING PERSON PN (1) Consists of (i) 371,950 Shares directly held by Bios Fund I, (ii) 217,553 Shares directly held by Bios Fund I QP, (iii) 137,832 Shares directly held by Bios Fund II, (iv) 450,118 Shares directly held by Bios Fund II QP, (v) 60,256 Shares directly held by Bios Fund II NT and (vi) 26,093 Shares held by Bios Directors, in each case, as of the date hereof. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and Bios Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Capital Management, LP (“Bios Management”) is a general partner of Bios Equity I and Bios Equity II. In its capacity as a general partner of Bios Equity I and Bios Equity II, Bios Management may be deemed to have shared voting and/or dispositive power with respect to Shares and warrants to purchase Shares, in each case, directly or indirectly held by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT and Bios Directors. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercis

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION TEXAS, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 1,263,802 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 1,263,802 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,263,802 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.8% (2) 14 TYPE OF REPORTING PERSON OO (1) Consists of (i) 371,950 Shares directly held by Bios Fund I, (ii) 217,553 Shares directly held by Bios Fund I QP, (iii) 137,832 Shares directly held by Bios Fund II, (iv) 450,118 Shares directly held by Bios Fund II QP, (v) 60,256 Shares directly held by Bios Fund II NT and (vi) 26,093 Shares held by Bios Directors, in each case, as of the date hereof. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and Bios Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Cavu Management is a general partner of Bios Equity I and Bios Equity II. Cavu Advisors, LLC (“Cavu Advisors”) is the general partner of Cavu Management, and therefore, may be deemed to have shared voting and/or dispositive power with respect to Shares and warrants to purchase Shares, in each case, directly or indirectly held by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT and Bios Directors. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly held

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION TEXAS, UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 1,263,802 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 1,263,802 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,263,802 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.8% (2) 14 TYPE OF REPORTING PERSON OO (1) Consists of (i) 371,950 Shares directly held by Bios Fund I, (ii) 217,553 Shares directly held by Bios Fund I QP, (iii) 137,832 Shares directly held by Bios Fund II, (iv) 450,118 Shares directly held by Bios Fund II QP, (v) 60,256 Shares directly held by Bios Fund II NT and (vi) 26,093 Shares held by Bios Directors, in each case, as of the date hereof. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and Bios Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Management is a general partner of Bios Equity I and Bios Equity II. Bios Advisors GP, LLC (“Bios Advisors”) is the general partner of Bios Management, and therefore, may be deemed to have shared voting and/or dispositive power with respect to Shares and warrants to purchase Shares, in each case, directly or indirectly held by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT and Bios Directors. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warrants directly h

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER 0 8 SHARED VOTING POWER 1,263,802 (1) 9 SOLE DISPOSITIVE POWER 0 10 SHARED DISPOSITIVE POWER 1,263,802 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,263,802 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.8% (2) 14 TYPE OF REPORTING PERSON IN (1) Consists of (i) 371,950 Shares directly held by Bios Fund I, (ii) 217,553 Shares directly held by Bios Fund I QP, (iii) 137,832 Shares directly held by Bios Fund II, (iv) 450,118 Shares directly held by Bios Fund II QP, (v) 60,256 Shares directly held by Bios Fund II NT and (vi) 26,093 Shares held by Bios Directors, in each case, as of the date hereof. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and Bios Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Cavu Management is a general partner of Bios Equity I and Bios Equity II. Cavu Advisors, an entity controlled by Mr. Kreis, is the general partner of Cavu Management. As the manager of Cavu Advisors, Mr. Kreis may be deemed to have shared voting and/or dispositive power with respect to Shares and warrants to purchase Shares, in each case, directly or indirectly held by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT and Bios Directors. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the cashless exercise of warr

(d) OR 2(e)

ITEM 2(d) OR 2(e) 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 7 SOLE VOTING POWER -0- 8 SHARED VOTING POWER 1,263,802 (1) 9 SOLE DISPOSITIVE POWER -0- 10 SHARED DISPOSITIVE POWER 1,263,802 (1) 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,263,802 (1) 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 11.8% (2) 14 TYPE OF REPORTING PERSON IN (1) Consists of (i) 371,950 Shares directly held by Bios Fund I, (ii) 217,553 Shares directly held by Bios Fund I QP, (iii) 137,832 Shares directly held by Bios Fund II, (iv) 450,118 Shares directly held by Bios Fund II QP, (v) 60,256 Shares directly held by Bios Fund II NT and (vi) 26,093 Shares held by Bios Directors, in each case, as of the date hereof. Bios Equity I is the general partner of Bios Fund I, Bios Fund I QP and Bios Directors. Bios Equity II is the general partner of Bios Fund II, Bios Fund II QP and Bios Fund II NT. Bios Management is a general partner of Bios Equity I and Bios Equity II. Bios Advisors, an entity controlled by Aaron Glenn Louis Fletcher, is the general partner of Bios Management. As the manager of Bios Advisors, Mr. Fletcher may be deemed to have shared voting and/or dispositive power with respect to Shares and warrants to purchase Shares, in each case, directly or indirectly held by Bios Fund I, Bios Fund I QP, Bios Fund II, Bios Fund II QP, Bios Fund II NT and Bios Directors. (2) Based on 10,743,824 Shares, which consists of (i) 10,869,040 Shares as of November 3, 2023, as reported in the Issuer’s quarterly report on Form 10-Q filed with the Securities and Exchange Commission on November 8, 2023, minus (ii) 145,348 Shares purchased in the aggregate by the Issuer from Bios Fund I and Bios Fund I QP on November 21, 2023, plus (iii) 20,132 Shares issued in the aggregate upon the c

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