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HARROW, INC. Director's Dealing 2016

Dec 21, 2016

31774_dirs_2016-12-21_0155ed26-faf3-473d-a8fc-3c5780c2489d.zip

Director's Dealing

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SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Imprimis Pharmaceuticals, Inc. (IMMY)
CIK: 0001360214
Period of Report: 2016-12-19

Reporting Person: BAUM MARK L (Director, Chief Executive Officer)

Non-Derivative Transactions

Date Security Code Shares Price A/D Holdings After Ownership
2016-12-19 Common Stock P 156000 $1.79 Acquired 325835 Direct
2016-12-19 Common Stock M 200000 $1.72 Acquired 525835 Direct
2016-12-19 Common Stock D 83709 $1.72 Disposed 442126 Direct

Derivative Transactions

Date Security Exercise Price Code Shares A/D Expiration Underlying Ownership
2016-12-19 Purchase Warrant $1.79 P 156000 Acquired 2019-12-23 Common Stock (156000) Direct
2016-12-19 Restricted Stock Unit $0 M 200000 Disposed Common Stock (200000) Direct

Footnotes

F1: On December 19, 2016, the Beadore Trust dated March 20, 2015, through which Mr. Baum has voting and investment control over the securities, entered into a definitive agreement to acquire 156,000 Units of Imprimis Pharmaceuticals, Inc.'s (the "Company"), with each Unit consisting of one share of common stock, and a warrant to purchase one share of the Company's common stock, as part of a private placement by the Company to accredited investors.

F2: On December 19, 2016, restricted stock units granted to Mr. Baum on May 2, 2013, and previously vested, were issued and then transferred into the Beadore Trust dated March 20, 2015. 83,709 shares of common stock were withheld from issuance to Mr. Baum for payroll tax purposes.

F3: The value of the Purchase Warrant included in each Unit is $0.125.