ALT

SEC source: 0001012975-17-000934 · 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: 88,163

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 · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 141,163

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: 0001012975-17-000923 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,913

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.70 to $1.79 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: 0001012975-17-000923 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,274

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 $1.86 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: 0001012975-17-000916 · edgar.xml · nonDerivative · entry 3

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,168

F3 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.68 to $1.88 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: 0001012975-17-000916 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,673

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.78 to $1.84 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: 0001012975-17-000916 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,373

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.78 to $1.82 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: 0001012975-17-000882 · edgar.xml · nonDerivative · entry 3

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,158

F3 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.80 to $1.90 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: 0001012975-17-000882 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,180

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: 0001012975-17-000882 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,238

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.90 to $2.02 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: 0001012975-17-000874 · edgar.xml · nonDerivative · entry 3

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,843

F3 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $1.95 to $2.03 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: 0001012975-17-000874 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,801

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.00 to $2.07 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: 0001012975-17-000874 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,296

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.07 to $2.13 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: 0001012975-17-000867 · edgar.xml · nonDerivative · entry 3

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,035

F3 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.03 to $2.08 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: 0001012975-17-000867 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,799

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.06 to $2.10 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: 0001012975-17-000867 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,999

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.11 to $2.15 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: 0001012975-17-000852 · 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: 2,759.5072

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 $1.89 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 $1.89 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: 0001012975-17-000852 · 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: 2,049,563

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 $1.89 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 $1.89 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: 0001012975-17-000854 · 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: 182.1279

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 $1.89 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 $1.89 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: 0001012975-17-000854 · 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: 242.8363

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 $1.89 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 $1.89 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: 0001012975-17-000854 · 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: 182.1279

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 $1.89 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 $1.89 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: 0001012975-17-000854 · 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: 22,418

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 $1.89 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 $1.89 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: 0001012975-17-000854 · 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: 66,806

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 $1.89 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 $1.89 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: 0001012975-17-000854 · 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: 125,145

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 $1.89 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 $1.89 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: 0001012975-17-000759 · edgar.xml · nonDerivative · entry 1

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · Director

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

F1 · kind: Redmont VAXN Capital Holdings, LLC, a Delaware limited liability company ("Redmont VAXN") distributed to its members, pro rata and without consideration, 1,278,471 shares of the Issuer's common stock.

F2 · ownership.nature: Consists of shares of Common Stock held by Redmont VAXN. Philip Hodges has sole voting and dispositive control with respect to all securities held by Redmont VAXN. Philip Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0001012975-17-000769 · edgar.xml · derivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

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

Expires 2027-10-13

SEC source: 0001012975-17-000759 · edgar.xml · derivative · entry 2

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · Director

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

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

Expires 2027-10-13

F3 · ownership.direct: Held by Philip Hodges.

SEC source: 0001012975-17-000761 · 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 2027-10-13

SEC source: 0001012975-17-000764 · 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 2027-10-13

SEC source: 0001012975-17-000771 · edgar.xml · derivative · entry 1

SAYARE MITCHEL · CIK 0001201196 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

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

Expires 2027-10-13

SEC source: 0001012975-17-000767 · 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 2027-10-13

SEC source: 0001012975-17-000722 · edgar.xml · derivative · entry 1

Tasker Sybil · CIK 0001705900 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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

Expires 2027-09-22

F1 · derivative.exercise_date: On the first anniversary of the date of grant, 25% of the unvested portion of the option will become vested and exercisable, and the aggregate remaining unvested portion will vest and become exercisable in equal monthly installments over the 36-month period following such anniversary date.

SEC source: 0001012975-17-000721 · edgar.xml · derivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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

Expires 2027-09-22

F1 · derivative.exercise_date: On the first anniversary of the date of grant, 25% of the unvested portion of the option will become vested and exercisable, and the aggregate remaining unvested portion will vest and become exercisable in equal monthly installments over the 36-month period following such anniversary date.

SEC source: 0001012975-17-000720 · edgar.xml · derivative · entry 1

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock, par value $0.0001 · 125,000 shares

Expires 2027-09-22

F1 · derivative.exercise_date: The option becomes exercisable, if at all, on March 31, 2019, in three equal one-third increments if the average daily closing price of Altimmune, Inc.'s common stock on Nasdaq for 10 consecutive trading days between September 22, 2017 and December 31, 2018 is at or above one of three specified thresholds, respectively.

SEC source: 0001012975-17-000719 · edgar.xml · derivative · entry 2

CZEREPAK ELIZABETH · CIK 0001263500 · CFO and EVP Corp. Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock, par value $0.0001 · 62,500 shares

Expires 2027-09-22

F1 · derivative.exercise_date: The option becomes exercisable, if at all, on March 31, 2019, in three equal one-third increments if the average daily closing price of Altimmune, Inc.'s common stock on Nasdaq for 10 consecutive trading days between September 22, 2017 and December 31, 2018 is at or above one of three specified thresholds, respectively.

SEC source: 0001012975-17-000719 · edgar.xml · derivative · entry 1

CZEREPAK ELIZABETH · CIK 0001263500 · CFO and EVP Corp. Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock, par value $0.0001 · 62,500 shares

Expires 2027-09-22

SEC source: 0001012975-17-000664 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,704

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.20 to $2.25 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: 0001012975-17-000664 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,704

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.13 to $2.28 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: 0001012975-17-000654 · edgar.xml · nonDerivative · entry 3

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,378

F3 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.16 to $2.28 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: 0001012975-17-000656 · edgar.xml · nonDerivative · entry 2

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,777

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.23 to $2.28 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: 0001012975-17-000654 · edgar.xml · nonDerivative · entry 2

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,026

F2 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.04 to $2.15 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: 0001012975-17-000656 · edgar.xml · nonDerivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,777

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.08 to $2.16 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: 0001012975-17-000654 · edgar.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,068

F1 · price: The price reflected is the weighted-average purchase price for shares purchased. The range of purchase prices for the transactions reported was $2.02 to $2.03 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: 0001012975-17-000650 · 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: 465,086

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

Expires 2018-08-15

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: 0001012975-17-000650 · edgar.xml · derivative · 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: 3,104.447

Underlying: Common Stock, par value $0.0001 · 1,162,714 shares

Expires 2018-08-15

F1 · derivative.exercise_price: The Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's common stock, par value $0.0001 per share (the "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. Prior to the receipt of approval by the Issuer's stockholders for the issuance of shares pursuant to the conversion of the Preferred Stock (the "Requisite Stockholder Approval"), the Preferred Stock may not be converted by the holder if, as a result of such conversion, the holder, together with its affiliates, would hold more than 19.99% of the Issuer's 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: 0001012975-17-000652 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,696

Underlying: Common Stock, par value $0.0001 · 30,696 shares

Expires 2022-08-15

F6 · 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 may not be exercised if such exercise would cause the holder, together with its affiliates, to hold more than 19.99% of the Issuer's Common Stock, prior to the receipt by the Issuer of the Requisite Stockholder Approval.

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: 0001012975-17-000652 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 40,927

Underlying: Common Stock, par value $0.0001 · 40,927 shares

Expires 2022-08-15

F6 · 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 may not be exercised if such exercise would cause the holder, together with its affiliates, to hold more than 19.99% of the Issuer's Common Stock, prior to the receipt by the Issuer of the Requisite Stockholder Approval.

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: 0001012975-17-000652 · edgar.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,696

Underlying: Common Stock, par value $0.0001 · 30,696 shares

Expires 2022-08-15

F6 · 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 may not be exercised if such exercise would cause the holder, together with its affiliates, to hold more than 19.99% of the Issuer's Common Stock, prior to the receipt by the Issuer of the Requisite Stockholder Approval.

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: 0001012975-17-000652 · edgar.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 204.894

Underlying: Common Stock, par value $0.0001 · 76,740 shares

Expires 2018-08-15

F1 · derivative.exercise_price: The Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's common stock, par value $0.0001 per share (the "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. Prior to the receipt of approval by the Issuer's stockholders for the issuance of shares pursuant to the conversion of the Preferred Stock (the "Requisite Stockholder Approval"), the Preferred Stock may not be converted by the holder if, as a result of such conversion, the holder, together with its affiliates, would hold more than 19.99% of the Issuer's 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: 0001012975-17-000652 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 273.191

Underlying: Common Stock, par value $0.0001 · 102,318 shares

Expires 2018-08-15

F1 · derivative.exercise_price: The Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's common stock, par value $0.0001 per share (the "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. Prior to the receipt of approval by the Issuer's stockholders for the issuance of shares pursuant to the conversion of the Preferred Stock (the "Requisite Stockholder Approval"), the Preferred Stock may not be converted by the holder if, as a result of such conversion, the holder, together with its affiliates, would hold more than 19.99% of the Issuer's 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.