ALT

SEC source: 0001738048-20-000002 · edgar.xml · nonDerivative · entry 4

Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner

VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner

VHCP Management III, LLC · CIK 0001738053 · 10% owner

Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner

VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner

VHCP Management II, LLC · CIK 0001602263 · 10% owner

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,798,526

F8 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.63 to $8.05, inclusive.

F3 · ownership.nature: VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM II. Dr. Koh, Mr. Shah, VHCPM III and VHCPM II disclaim beneficial ownership over all shares held by VHCP III, VHCP III Co, VHCP II and VHCP II Co, except to the extent of their respective indirect pecuniary interests therein.

F9 · ownership.nature: Represents (a) 1,599,360 shares of common stock held by VHCP III, (b) 159,795 shares of common stock held by VHCP III Co, (c) 739,650 shares of common stock held by VHCP II, and (d) 299,721 shares of common stock held by VHCP II Co.

SEC source: 0001738048-20-000002 · edgar.xml · nonDerivative · entry 3

Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner

VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner

VHCP Management III, LLC · CIK 0001738053 · 10% owner

Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner

VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner

VHCP Management II, LLC · CIK 0001602263 · 10% owner

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,521,526

F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.63 to $7.62, inclusive.

F3 · ownership.nature: VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM II. Dr. Koh, Mr. Shah, VHCPM III and VHCPM II disclaim beneficial ownership over all shares held by VHCP III, VHCP III Co, VHCP II and VHCP II Co, except to the extent of their respective indirect pecuniary interests therein.

F7 · ownership.nature: Represents (a) 1,441,054 shares of common stock held by VHCP III, (b) 143,978 shares of common stock held by VHCP III Co, (c) 666,439 shares of common stock held by VHCP II, and (d) 270,055 shares of common stock held by VHCP II Co.

SEC source: 0001738048-20-000002 · edgar.xml · nonDerivative · entry 2

Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner

VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner

VHCP Management III, LLC · CIK 0001738053 · 10% owner

Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner

VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner

VHCP Management II, LLC · CIK 0001602263 · 10% owner

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,396,364

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.40 to $10.00, inclusive.

F3 · ownership.nature: VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM II. Dr. Koh, Mr. Shah, VHCPM III and VHCPM II disclaim beneficial ownership over all shares held by VHCP III, VHCP III Co, VHCP II and VHCP II Co, except to the extent of their respective indirect pecuniary interests therein.

F5 · ownership.nature: Represents (a) 1,369,523 shares of common stock held by VHCP III, (b) 136,832 shares of common stock held by VHCP III Co, (c) 633,359 shares of common stock held by VHCP II, and (d) 256,650 shares of common stock held by VHCP II Co.

SEC source: 0001738048-20-000002 · edgar.xml · nonDerivative · entry 1

Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner

VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner

VHCP Management III, LLC · CIK 0001738053 · 10% owner

Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner

VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner

VHCP Management II, LLC · CIK 0001602263 · 10% owner

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 2,005,817

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.40 to $9.39, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1), (4), (6), (8), (10) and (12) to this Form 4.

F2 · ownership.nature: Represents (a) 1,146,325 shares of common stock held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III"), (b) 114,532 shares of common stock held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co"), (c) 530,137 shares of common stock held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), and (d) 214,823 shares of common stock held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co").

F3 · ownership.nature: VHCP Management III, LLC ("VHCPM III") is the sole general partner of VHCP III and the sole manager of VHCP III Co. VHCP Management II, LLC ("VHCPM II") is the sole general partner of VHCP II and the sole manager of VHCP II Co. Dr. Bong Koh and Nimish Shah are the voting members of VHCPM III and VHCPM II. Dr. Koh, Mr. Shah, VHCPM III and VHCPM II disclaim beneficial ownership over all shares held by VHCP III, VHCP III Co, VHCP II and VHCP II Co, except to the extent of their respective indirect pecuniary interests therein.

SEC source: 0000899243-20-013395 · doc4.xml · nonDerivative · entry 2

VELOCITY PHARMACEUTICAL HOLDINGS LLC · CIK 0001802702 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,687,250

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.40 to $4.70. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.

F2 · balance_after: The shares are directly held by Velocity Pharmaceutical Holdings LLC ("VPH"). Velocity Pharma Management, LLC ("VPM") is the manager of VPH. David J. Collier and James F. Watson are the managing members of VPM, and as such may be deemed to hold shared voting and dispositive power over the shares held by VPH. Mr. Collier and Mr. Watson disclaim beneficial ownership of the shares held by VPH except to the extent of their pecuniary interest therein.

SEC source: 0000899243-20-013395 · doc4.xml · nonDerivative · entry 1

VELOCITY PHARMACEUTICAL HOLDINGS LLC · CIK 0001802702 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,717,872

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.65 to $5.02. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.

F2 · balance_after: The shares are directly held by Velocity Pharmaceutical Holdings LLC ("VPH"). Velocity Pharma Management, LLC ("VPM") is the manager of VPH. David J. Collier and James F. Watson are the managing members of VPM, and as such may be deemed to hold shared voting and dispositive power over the shares held by VPH. Mr. Collier and Mr. Watson disclaim beneficial ownership of the shares held by VPH except to the extent of their pecuniary interest therein.

SEC source: 0000899243-20-012840 · doc4.xml · derivative · entry 1

Jorkasky Diane · CIK 0001527204 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock, par value $0.0001 · 40,000 shares

Expires 2030-05-11

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in 36 substantially equal monthly installments, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-20-011911 · doc4.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,160

F1 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of restricted stock.

SEC source: 0000899243-20-009897 · doc4.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,175

F1 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of restricted stock.

SEC source: 0000899243-20-006772 · doc4.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,191

F1 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of restricted stock.

SEC source: 0000899243-20-003006 · doc4.xml · nonDerivative · entry 1

Brown William Michael · CIK 0001742241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,061

F1 · kind: These shares were purchased due to participation by the reporting individual in the issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2019 through January 31, 2020.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on January 31, 2020.

SEC source: 0000899243-20-002960 · doc4.xml · nonDerivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,535

F1 · kind: These shares were purchased due to participation by the reporting individual in the issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2019 through January 31, 2020.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on January 31, 2020.

SEC source: 0000899243-20-002986 · doc4.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,206

F1 · kind: These shares were purchased due to participation by the reporting individual in the issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2019 through January 31, 2020.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on January 31, 2020.

SEC source: 0000899243-20-002630 · doc4.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 314,917

F1 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of restricted stock.

SEC source: 0000899243-20-000275 · doc4.xml · derivative · entry 1

Brown William Michael · CIK 0001742241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,400

Underlying: Common Stock, par value $0.0001 · 61,400 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 2, 2021 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 2, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-20-000286 · doc4.xml · derivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,400

Underlying: Common Stock, par value $0.0001 · 61,400 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 2, 2021 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 2, 2021, subject to the reporting person's continued service through the applicable vesting date

SEC source: 0000899243-20-000279 · doc4.xml · derivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,500

Underlying: Common Stock, par value $0.0001 · 149,500 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 2, 2021 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 2, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-20-000276 · doc4.xml · derivative · entry 1

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,400

Underlying: Common Stock, par value $0.0001 · 61,400 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on January 2, 2021 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following January 2, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-20-000074 · doc4.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,932

F1 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of restricted stock.

SEC source: 0000899243-19-028409 · doc4.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,931

F1 · kind: Vesting transaction: Shares surrendered to the Issuer solely to cover taxes associated with vesting of restricted stock.

SEC source: 0000899243-19-023318 · doc4.xml · derivative · entry 1

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,000

Underlying: Common Stock, par value $0.0001 · 107,000 shares

Expires 2029-09-09

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on September 9, 2020 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following September 9, 2020, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-19-022846 · doc4.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,907

SEC source: 0000899243-19-017407 · doc4.xml · derivative · entry 1

Tasker Sybil · CIK 0001705900 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 · 20,000 shares

Expires 2024-06-17

F1 · derivative.exercise_date: 100% of the shares will vest in 6 equal monthly installments, with the first vesting date on July 31, 2019.

SEC source: 0000899243-19-016650 · doc4.xml · derivative · entry 1

Brown William Michael · CIK 0001742241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock, par value $0.0001 · 50,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on June 1, 2020 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following June 1, 2020, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000925421-19-000137 · edgar.xml · derivative · entry 1

Tasker Sybil · CIK 0001705900 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock, par value $0.0001 · 38,000 shares

Expires 2029-03-26

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on the first anniversary of the Grant Date and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following the one-year anniversary of the Grant Date, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000925421-19-000135 · edgar.xml · derivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock, par value $0.0001 · 38,000 shares

Expires 2029-03-26

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on the first anniversary of the Grant Date and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following the one-year anniversary of the Grant Date, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-19-000043 · edgar.xml · derivative · entry 1

Brown William Michael · CIK 0001742241 · Acting Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock, par value $0.0001 · 30,000 shares

Expires 2024-01-02

F1 · derivative.exercise_date: The option becomes vested and exercisable upon the filing of the Issuer's annual statement on Form 10-K with respect to the fiscal year ended December 31, 2018, generally subject to the reporting person's continued service through the vesting date.

SEC source: 0001012975-19-000031 · edgar.xml · derivative · entry 1

Pisano Wayne · CIK 0001743611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 · 20,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The option becomes vested and exercisable in two equal installments on February 28, 2019 and August 30, 2019, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-19-000029 · edgar.xml · derivative · entry 1

Tasker Sybil · CIK 0001705900 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock, par value $0.0001 · 30,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on the first anniversary of the Grant Date and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following the one-year anniversary of the Grant Date, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-19-000033 · edgar.xml · derivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 · 20,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The option becomes vested and exercisable in two equal installments on February 28, 2019 and August 30, 2019, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-19-000035 · edgar.xml · derivative · entry 1

GILL JOHN · CIK 0001409939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 · 20,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The option becomes vested and exercisable in two equal installments on February 28, 2019 and August 30, 2019, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-19-000041 · edgar.xml · derivative · entry 1

SAYARE MITCHEL · CIK 0001201196 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock, par value $0.0001 · 30,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The option becomes vested and exercisable in two equal installments on February 28, 2019 and August 30, 2019, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-19-000039 · edgar.xml · derivative · entry 1

Schafer Klaus · CIK 0001705904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 · 20,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The option becomes vested and exercisable in two equal installments on February 28, 2019 and August 30, 2019, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-19-000028 · edgar.xml · derivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock, par value $0.0001 · 30,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on the first anniversary of the Grant Date and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following the one-year anniversary of the Grant Date, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-19-000037 · edgar.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 · 20,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The option becomes vested and exercisable in two equal installments on February 28, 2019 and August 30, 2019, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-18-001273 · edgar.xml · derivative · entry 3

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,421

Underlying: Common Stock, par value $0.0001 · 111,421 shares

Expires 2028-11-30

F4 · derivative.exercise_date: One-fourth of the shares underlying the stock option will vest on the one-year anniversary of the grant date and thereafter 1/48th of the shares underlying the stock option will vest monthly commencing on January 1, 2020, such that the shares underlying the stock option will be fully vested on December 1, 2022, generally subject to Dr. Garg's continued employment with Altimmune on the applicable vesting date.

SEC source: 0001012975-18-001273 · edgar.xml · derivative · entry 2

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,486

Underlying: Common Stock, par value $0.0001 · 211,486 shares

Expires 2028-11-30

F3 · derivative.exercise_date: One-fourth of the shares underlying the stock option will vest on the one-year anniversary of the grant date and thereafter 1/48th of the shares underlying the stock option will vest monthly, such that the shares underlying the stock option will be fully vested on the fourth anniversary of the grant date, generally subject to Dr. Garg's continued employment with Altimmune on the applicable vesting date.

SEC source: 0001012975-18-001273 · edgar.xml · nonDerivative · entry 1

Garg Vipin K · CIK 0001515813 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,907

F1 · shares: One-fourth of the restricted shares will vest on the one-year anniversary of the grant date and thereafter 1/48th of the restricted shares will vest monthly, such that the restricted shares will be fully vested on the fourth anniversary of the grant date, generally subject to Dr. Garg's continued employment with Altimmune on the applicable vesting date.

F2 · price: Represents a grant of restricted stock pursuant to the Company's 2018 Inducement Grant Plan.

SEC source: 0001012975-18-001100 · edgar.xml · nonDerivative · entry 1

Pisano Wayne · CIK 0001743611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001012975-18-001065 · edgar.xml · derivative · entry 2

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 · 465,086 shares

Expires 2022-08-21

F1 · kind: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining warrants to purchase the Issuer's common stock (the "Warrants") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share.

F3 · price: Warrants to purchase shares of the Issuer's Common Stock were acquired in connection with the acquisition of the Preferred Stock and reported on this Form 4. The Warrants held by Novartis may not be exercised if such exercise would cause Novartis to hold more than 19.99% of the Issuer's Common Stock, regardless of receipt by the Issuer of the Requisite Stockholder Approval.

F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.

SEC source: 0001012975-18-001065 · edgar.xml · nonDerivative · entry 1

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,345,145

F1 · kind: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining warrants to purchase the Issuer's common stock (the "Warrants") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share.

F1 · price: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining warrants to purchase the Issuer's common stock (the "Warrants") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share.

F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.

SEC source: 0001012975-18-000911 · edgar.xml · derivative · entry 2

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 · 129,188 shares

Expires 2018-08-15

F1 · kind: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining shares of the Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share.

F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.

SEC source: 0001012975-18-000911 · edgar.xml · nonDerivative · entry 1

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,275,152

F1 · kind: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining shares of the Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share.

F1 · price: Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining shares of the Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share.

F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.

SEC source: 0001012975-18-000853 · edgar.xml · nonDerivative · entry 1

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,611,806

F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $0.4410 per share of Common Stock.

F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $0.4410 per share of Common Stock.

F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.

SEC source: 0001012975-18-000851 · edgar.xml · derivative · entry 2

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 344.9287

Underlying: Common Stock, par value $0.0001 · 129,188 shares

Expires 2018-08-15

F3 · derivative.exercise_price: The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share.

F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $0.4785 per share of Common Stock.

F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $0.4785 per share of Common Stock.

F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.

SEC source: 0001012975-18-000851 · edgar.xml · nonDerivative · entry 1

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,597,357

F1 · kind: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $0.4785 per share of Common Stock.

F1 · price: Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $0.4785 per share of Common Stock.

F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.

SEC source: 0001012975-18-000467 · edgar.xml · nonDerivative · entry 1

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,839

F1 · price: The transaction was executed in multiple trades at prices ranging from $0.505151 to $0.5088. The price above reflects the weighted average purchase price. Detailed information regarding the number of shares purchased at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.

SEC source: 0001012975-18-000459 · edgar.xml · derivative · entry 1

Tasker Sybil · CIK 0001705900 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,016

Underlying: Common Stock, par value $0.0001 · 50,016 shares

Expires 2028-05-21

F1 · derivative.exercise_date: Twenty-five percent of the option becomes vested and exercisable on March 1, 2019, and the aggregate unvested remaining portion will vest and become exercisable in equal monthly installments on the first day of each month over the 36-month period starting April 1, 2019.

SEC source: 0001012975-18-000457 · edgar.xml · derivative · entry 4

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 · 55,120 shares

Expires 2022-12-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001012975-18-000457 · edgar.xml · derivative · entry 3

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,016

Underlying: Common Stock, par value $0.0001 · 50,016 shares

Expires 2028-05-21

F1 · derivative.exercise_date: Twenty-five percent of the option becomes vested and exercisable on March 1, 2019, and the aggregate unvested remaining portion will vest and become exercisable in equal monthly installments on the first day of each month over the 36-month period starting April 1, 2019.