ALT

SEC source: 0001012975-18-000457 · edgar.xml · nonDerivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,120

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: 0001012975-18-000455 · edgar.xml · derivative · entry 1

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,158

Underlying: Common Stock, par value $0.0001 · 103,158 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: 0001012975-18-000444 · edgar.xml · derivative · entry 3

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: 689.8685

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

Expires 2018-08-15

F4 · 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.

F3 · 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 $0.4493 per share of Common Stock.

F3 · 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 $0.4493 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: 0001012975-18-000444 · edgar.xml · nonDerivative · 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: 4,876,479

F3 · 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 $0.4493 per share of Common Stock.

F3 · 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 $0.4493 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: 0001012975-18-000444 · 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: 4,108,751

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 $0.4553 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 $0.4553 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: 0001012975-18-000356 · edgar.xml · derivative · entry 3

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: 1,034.8083

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 $0.7143 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 $0.7143 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: 0001012975-18-000356 · edgar.xml · nonDerivative · 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: 3,834,048

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 $0.7143 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 $0.7143 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: 0001012975-18-000356 · 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: 3,616,889

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 $0.7143 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 $0.7143 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: 0001012975-18-000335 · edgar.xml · derivative · entry 1

SAYARE MITCHEL · CIK 0001201196 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock, par value $0.0001 · 35,000 shares

Expires 2028-04-05

F1 · derivative.exercise_date: Fifty percent of the option will become vested and exercisable on June 30, 2018 and the remaining 50% of the option will vest and become exercisable on December 31, 2018.

SEC source: 0001012975-18-000292 · 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: 1,379.7481

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 $1.2980 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 $1.2980 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: 0001012975-18-000292 · 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: 3,133,982

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 $1.2980 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 $1.2980 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: 0001012975-18-000201 · edgar.xml · nonDerivative · 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: 2,872,013

F3 · 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 $1.2408 per share of Common Stock.

F3 · 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 $1.2408 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: 0001012975-18-000203 · edgar.xml · nonDerivative · entry 6

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 76,700

F6 · 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 $1.2408 per share of Common Stock.

F6 · 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 $1.2408 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F5 · ownership.nature: Held directly by Truffle Fortune 4 FCPI, a FCPI.

SEC source: 0001012975-18-000203 · edgar.xml · nonDerivative · entry 5

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 139,184

F6 · 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 $1.2408 per share of Common Stock.

F6 · 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 $1.2408 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F4 · ownership.nature: Held directly by UFF Innovation 15 FCPI, a FCPI.

SEC source: 0001012975-18-000203 · edgar.xml · nonDerivative · entry 4

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 179,427

F6 · 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 $1.2408 per share of Common Stock.

F6 · 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 $1.2408 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F3 · ownership.nature: Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.

SEC source: 0001012975-18-000201 · edgar.xml · derivative · entry 3

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: 1,724.6878

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

Expires 2018-08-15

F4 · 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 $1.2798 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 $1.2798 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: 0001012975-18-000201 · 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: 2,804,088

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 $1.2798 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 $1.2798 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: 0001012975-18-000203 · edgar.xml · derivative · entry 18

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 113.8297

Underlying: Common Stock, par value $0.0001 · 8,527 shares

Expires 2018-08-15

F16 · 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 $1.2798 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 $1.2798 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F5 · ownership.nature: Held directly by Truffle Fortune 4 FCPI, a FCPI.

SEC source: 0001012975-18-000203 · edgar.xml · derivative · entry 17

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 151.7724

Underlying: Common Stock, par value $0.0001 · 11,369 shares

Expires 2018-08-15

F16 · 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 $1.2798 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 $1.2798 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F4 · ownership.nature: Held directly by UFF Innovation 15 FCPI, a FCPI.

SEC source: 0001012975-18-000203 · edgar.xml · derivative · entry 16

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 113.8297

Underlying: Common Stock, par value $0.0001 · 8,527 shares

Expires 2018-08-15

F16 · 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 $1.2798 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 $1.2798 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F3 · ownership.nature: Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.

SEC source: 0001012975-18-000203 · edgar.xml · nonDerivative · entry 3

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 72,217

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 $1.2798 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 $1.2798 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F5 · ownership.nature: Held directly by Truffle Fortune 4 FCPI, a FCPI.

SEC source: 0001012975-18-000203 · edgar.xml · nonDerivative · entry 2

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 133,207

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 $1.2798 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 $1.2798 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F4 · ownership.nature: Held directly by UFF Innovation 15 FCPI, a FCPI.

SEC source: 0001012975-18-000203 · edgar.xml · nonDerivative · entry 1

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 174,944

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 $1.2798 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 $1.2798 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F3 · ownership.nature: Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.

SEC source: 0001012975-18-000085 · 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: 2,069.6276

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 $1.6420 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 $1.6420 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: 0001012975-18-000085 · 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: 2,534,561

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 $1.6420 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 $1.6420 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: 0001012975-18-000083 · edgar.xml · derivative · entry 15

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 136.5958

Underlying: Common Stock, par value $0.0001 · 8,527 shares

Expires 2018-08-15

F15 · 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 $1.6420 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 $1.6420 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F5 · ownership.nature: Held directly by Truffle Fortune 4 FCPI, a FCPI.

SEC source: 0001012975-18-000083 · edgar.xml · derivative · entry 14

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 182.127

Underlying: Common Stock, par value $0.0001 · 11,369 shares

Expires 2018-08-15

F15 · 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 $1.6420 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 $1.6420 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F4 · ownership.nature: Held directly by UFF Innovation 15 FCPI, a FCPI.

SEC source: 0001012975-18-000083 · edgar.xml · derivative · entry 13

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 136.5958

Underlying: Common Stock, par value $0.0001 · 8,527 shares

Expires 2018-08-15

F15 · 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 $1.6420 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 $1.6420 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F3 · ownership.nature: Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.

SEC source: 0001012975-18-000083 · edgar.xml · nonDerivative · entry 3

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 54,428

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 $1.6420 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 $1.6420 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F5 · ownership.nature: Held directly by Truffle Fortune 4 FCPI, a FCPI.

SEC source: 0001012975-18-000083 · edgar.xml · nonDerivative · entry 2

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 109,488

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 $1.6420 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 $1.6420 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F4 · ownership.nature: Held directly by UFF Innovation 15 FCPI, a FCPI.

SEC source: 0001012975-18-000083 · edgar.xml · nonDerivative · entry 1

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 157,155

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 $1.6420 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 $1.6420 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F3 · ownership.nature: Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.

SEC source: 0001012975-18-000025 · edgar.xml · derivative · entry 2

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 · 183,347 shares

Expires 2021-12-03

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: 0001012975-18-000025 · edgar.xml · nonDerivative · entry 1

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 364,511

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: 0001012975-18-000006 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 589,453

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.90 to $1.98 per share. The Reporting Person undertakes to provide, upon request by the Issuer, any security holder of the Issuer, or the SEC staff, full information regarding the number of shares purchased at each separate price.

SEC source: 0001012975-18-000023 · edgar.xml · nonDerivative · entry 1

SAYARE MITCHEL · CIK 0001201196 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 32,650

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.91 to $1.98 per share. The Reporting Person undertakes to provide, upon request by the Issuer, any security holder of the Issuer, or the SEC staff, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: The shares of Common Stock are owned directly by the Mitchel Sayare 2010 Trust. The Reporting Person, as sole trustee of the Mitchel Sayare 2010 Trust, may be deemed to be the beneficial owner of the securities held by the Mitchel Sayare 2010 Trust. The Reporting Person disclaims beneficial ownership of the securities held by the Mitchel Sayare 2010 Trust except to the extent of his pecuniary interest therein.

SEC source: 0001012975-18-000006 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 550,754

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.76 to $2.00 per share. The Reporting Person undertakes to provide, upon request by the Issuer, any security holder of the Issuer, or the SEC staff, full information regarding the number of shares purchased at each separate price.

SEC source: 0001012975-17-000955 · edgar.xml · nonDerivative · entry 4

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 492,043

SEC source: 0001012975-17-000955 · edgar.xml · nonDerivative · entry 3

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,337

F3 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.738075 to $1.77 per share. The Reporting Person undertakes to provide, upon request by the Issuer, any security holder of the Issuer, or the SEC staff, full information regarding the number of shares purchased at each separate price.

SEC source: 0001012975-17-000955 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,337

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.64 to $1.99 per share. The Reporting Person undertakes to provide, upon request by the Issuer, any security holder of the Issuer, or the SEC staff, full information regarding the number of shares purchased at each separate price.

SEC source: 0001012975-17-000955 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 362,895

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.52 to $1.68 per share. The Reporting Person undertakes to provide, upon request by the Issuer, any security holder of the Issuer, or the SEC staff, full information regarding the number of shares purchased at each separate price.

SEC source: 0001012975-17-000932 · edgar.xml · nonDerivative · 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: 2,357,975

F3 · 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 $1.3910 per share of Common Stock.

F3 · 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 $1.3910 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: 0001012975-17-000934 · edgar.xml · nonDerivative · entry 6

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 42,773

F6 · 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 $1.3910 per share of Common Stock.

F6 · 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 $1.3910 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F5 · ownership.nature: Held directly by Truffle Fortune 4 FCPI, a FCPI.

SEC source: 0001012975-17-000934 · edgar.xml · nonDerivative · entry 5

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 93,947

F6 · 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 $1.3910 per share of Common Stock.

F6 · 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 $1.3910 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F4 · ownership.nature: Held directly by UFF Innovation 15 FCPI, a FCPI.

SEC source: 0001012975-17-000934 · edgar.xml · nonDerivative · entry 4

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 145,500

F6 · 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 $1.3910 per share of Common Stock.

F6 · 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 $1.3910 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F3 · ownership.nature: Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.

SEC source: 0001012975-17-000932 · edgar.xml · derivative · entry 3

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: 2,414.5674

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

Expires 2018-08-15

F4 · 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 $1.4213 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 $1.4213 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: 0001012975-17-000932 · 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: 2,292,257

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 $1.4213 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 $1.4213 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: 0001012975-17-000934 · edgar.xml · derivative · entry 18

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 159.3618

Underlying: Common Stock, par value $0.0001 · 8,527 shares

Expires 2018-08-15

F16 · 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 $1.4213 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 $1.4213 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F5 · ownership.nature: Held directly by Truffle Fortune 4 FCPI, a FCPI.

SEC source: 0001012975-17-000934 · edgar.xml · derivative · entry 17

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 212.4817

Underlying: Common Stock, par value $0.0001 · 11,369 shares

Expires 2018-08-15

F16 · 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 $1.4213 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 $1.4213 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F4 · ownership.nature: Held directly by UFF Innovation 15 FCPI, a FCPI.

SEC source: 0001012975-17-000934 · edgar.xml · derivative · entry 16

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 159.3618

Underlying: Common Stock, par value $0.0001 · 8,527 shares

Expires 2018-08-15

F16 · 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 $1.4213 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 $1.4213 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F3 · ownership.nature: Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.

SEC source: 0001012975-17-000934 · edgar.xml · nonDerivative · entry 3

Truffle Capital S.A.S. · CIK 0001706034 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 38,436

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 $1.4213 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 $1.4213 per share of Common Stock.

F2 · ownership.nature: Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

F5 · ownership.nature: Held directly by Truffle Fortune 4 FCPI, a FCPI.