# EDGAR Filing Document

**Accession Number:** 0001835266
**File Stem:** 0000899243-23-001011
**Filing Date:** 2023-1
**Character Count:** 21760
**Document Hash:** d1e003ad0c668768369b3ff7c80cb7ea
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000899243-23-001011.hdr.sgml**: 20230105

**ACCESSION NUMBER**: 0000899243-23-001011

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230103

**FILED AS OF DATE**: 20230105

**DATE AS OF CHANGE**: 20230105

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Ferrell Jeffrey
- **CENTRAL INDEX KEY:** 0001394967

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512215

**MAIL ADDRESS:**
- **STREET 1:** ATHYRIUM CAPITAL MANAGEMENT, LP
- **STREET 2:** 505 FIFTH AVENUE, FL 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Athyrium Opportunities Associates Co-Invest LLC
- **CENTRAL INDEX KEY:** 0001815259
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512214

**BUSINESS ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 646-434-1636

**MAIL ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Athyrium Opportunities Associates III GP LLC
- **CENTRAL INDEX KEY:** 0001815211
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512211

**BUSINESS ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 646-434-1636

**MAIL ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Athyrium Funds GP Holdings LLC
- **CENTRAL INDEX KEY:** 0001815225
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512213

**BUSINESS ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 646-434-1636

**MAIL ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Athyrium Opportunities III Acquisition LP
- **CENTRAL INDEX KEY:** 0001835266
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512218

**BUSINESS ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, 18TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 646-434-1636

**MAIL ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, 18TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Athyrium Opportunities III Co-Invest 1 LP
- **CENTRAL INDEX KEY:** 0001815260
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512219

**BUSINESS ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 646-434-1636

**MAIL ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Athyrium Opportunities 2020 LP
- **CENTRAL INDEX KEY:** 0001815261
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512216

**BUSINESS ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 646-434-1636

**MAIL ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Athyrium Opportunities Associates III LP
- **CENTRAL INDEX KEY:** 0001815262
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512212

**BUSINESS ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 646-434-1636

**MAIL ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Athyrium Opportunities III Acquisition 2 LP
- **CENTRAL INDEX KEY:** 0001815268
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39334
- **FILM NUMBER:** 23512217

**BUSINESS ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
- **BUSINESS PHONE:** 646-434-1636

**MAIL ADDRESS:**
- **STREET 1:** 505 FIFTH AVENUE, FLOOR 18
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10017
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BIORA THERAPEUTICS, INC.
- **CENTRAL INDEX KEY:** 0001580063
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 273950390
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 4330 LA JOLLA VILLAGE DRIVE
- **STREET 2:** SUITE 200
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92122
- **BUSINESS PHONE:** 855-293-2639

**MAIL ADDRESS:**
- **STREET 1:** 4330 LA JOLLA VILLAGE DRIVE
- **STREET 2:** SUITE 200
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92122

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PROGENITY, INC.
- **DATE OF NAME CHANGE:** 20150617

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ASCENDANT MDX, INC.
- **DATE OF NAME CHANGE:** 20130625

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Athyrium Opportunities III Co-Invest 1 LP<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Athyrium Opportunities III Acquisition LP<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Athyrium Opportunities III Acquisition 2 LP<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Athyrium Opportunities 2020 LP<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Ferrell Jeffrey<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Athyrium Opportunities Associates Co-Invest LLC<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Athyrium Funds GP Holdings LLC<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Athyrium Opportunities Associates III LP<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Athyrium Opportunities Associates III GP LLC<br><sub>(Last) (First) (Middle)</sub><br>505 FIFTH AVENUE, FLOOR 18<br><sub>(Street)</sub><br>NEW YORK, NY 10017<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-03 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>BIORA THERAPEUTICS, INC. [ BIOR ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Series X Preferred Stock | 2023-01-03 |  | D |  | 42362<sup>(1)(2)</sup> | D | <sup>(2)</sup> | 0 | I | See footnotes<sup>(3)(4)(5)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) On November 10, 2022, the Issuer's board of directors (the "Board") declared a dividend of one one-thousandth of a share of Series X Preferred Stock, par value $0.001 per share (the "Preferred Stock"), for each outstanding share of common stock to common stockholders of record at 5:00 p.m. Eastern Time on November 21, 2022, in a transaction exempt from Section 16 under Rule 16a-9. The shares of Preferred Stock were distributed on November 21, 2022. As a result, the Reporting Persons received the shares of Preferred Stock set forth above. The Preferred Stock was not convertible into, or exchangeable for, shares of any other class or series of stock or other securities of the Issuer.

(2) On January 3, 2023, in connection with the Issuer's reverse stock split for the common stock, the shares of Preferred Stock were redeemed automatically in accordance with the certificate of designation of the Preferred Stock. Each share of Preferred Stock was redeemed in consideration for the right to receive an amount equal to $0.001 in cash (rounded to the nearest cent) for each whole share of Preferred Stock.

(3) 3,327 shares of Preferred Stock are directly owned by Athyrium Opportunities III Acquisition LP. 19,829 shares of Preferred Stock are directly owned by Athyrium Opportunities III Acquisition 2 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities III Acquisition LP and Athyrium Opportunities III Acquisition 2 LP. Athyrium Funds GP Holdings LLC is the managing member of Athyrium Opportunities Associates III GP LLC. Jeffrey Ferrell is the managing member of Athyrium Funds GP Holdings LLC and the President of Athyrium Opportunities Associates III GP LLC. 14,623 shares of Preferred Stock are directly held by Athyrium Opportunities III Co-Invest 1 LP. Athyrium Opportunities Associates Co-Invest LLC is the general partner of Athyrium Opportunities III Co-Invest 1 LP.

(4) (Continued from Footnote 3) Athyrium Funds GP Holdings LLC is the managing member of Athyrium Opportunities Associates Co-Invest LLC. Jeffrey A. Ferrell is the President of Athyrium Opportunities Associates Co-Invest LLC. 4,583 shares of Preferred Stock are directly owned by Athyrium Opportunities 2020 LP. Athyrium Opportunities Associates III GP LLC is the general partner of Athyrium Opportunities Associates III LP, which is the general partner of Athyrium Opportunities 2020 LP.

(5) Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein.

**Signature:** /s/ Athyrium Opportunities III Co-Invest 1 LP, by Athyrium Opportunities Associates Co-Invest LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary  
**Date:** 2023-01-05

**Signature:** /s/ Athyrium Opportunities III Acquisition LP, by Athyrium Opportunities Associates III LP, its general partner, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary  
**Date:** 2023-01-05

**Signature:** /s/ Athyrium Opportunities III Acquisition 2 LP, by Athyrium Opportunities Associates III LP, its general partner, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary  
**Date:** 2023-01-05

**Signature:** /s/ Athyrium Opportunities 2020 LP, by Athyrium Opportunities Associates III LP, its general partner, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary  
**Date:** 2023-01-05

**Signature:** /s/ Jeffrey A. Ferrell  
**Date:** 2023-01-05

**Signature:** /s/ Athyrium Opportunities Associates Co-Invest LLC, by Andrew Hyman, Senior Vice President, Secretary  
**Date:** 2023-01-05

**Signature:** /s/ Athyrium Funds GP Holdings LLC, by Jeffery A. Ferrell, Managing Member  
**Date:** 2023-01-05

**Signature:** /s/ Athyrium Opportunities Associates III LP, by Athyrium Opportunities Associates III GP LLC, its general partner, by Andrew Hyman, Senior Vice President, Secretary  
**Date:** 2023-01-05

**Signature:** /s/ Athyrium Opportunities Associates III GP LLC, by Andrew Hyman, Senior Vice President, Secretary  
**Date:** 2023-01-05

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**