ALT

SEC source: 0001012975-17-000652 · edgar.xml · derivative · entry 1

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.

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: 0001012975-17-000635 · edgar.xml · derivative · entry 4

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 91,733 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: 0001012975-17-000635 · edgar.xml · derivative · entry 3

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 71,644 shares

Expires 2019-12-31

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: 0001012975-17-000635 · edgar.xml · nonDerivative · entry 2

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,164

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: 0001012975-17-000635 · edgar.xml · nonDerivative · entry 1

Enright William · CIK 0001705564 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,431

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: 0001012975-17-000478 · edgar.xml · derivative · entry 1

Tasker Sybil · CIK 0001705900 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

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

Expires 2027-06-06

F1 · derivative.exercise_date: The option vests and becomes exercisable in four equal annual installments commencing on the first anniversary of the date of grant.

SEC source: 0001012975-18-000229 · edgar.xml · nonDerivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Shares held by spouse of Reporting Person

Disclosed balance after: 449

SEC source: 0001012975-17-000474 · edgar.xml · nonDerivative · entry 1

GILL JOHN · CIK 0001409939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,224

SEC source: 0000899243-17-012362 · doc4.xml · nonDerivative · entry 3

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · 10% owner

Redmont Venture Partners, Inc. · CIK 0001705639 · 10% owner

Paradigm Venture Partners, L.P. · CIK 0001705640 · 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: 4,455

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

F4 · ownership.nature: Consists of shares of Common Stock held by Paradigm Venture Partners, L.P., a Delaware limited partnership ("PVP"). Mr. Hodges has sole voting and dispositive control with respect to all securities held by PVP. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-012362 · doc4.xml · nonDerivative · entry 2

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · 10% owner

Redmont Venture Partners, Inc. · CIK 0001705639 · 10% owner

Paradigm Venture Partners, L.P. · CIK 0001705640 · 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: 36,785

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

F3 · ownership.nature: Consists of shares of Common Stock held by Redmont Venture Partners, Inc., a Delaware corporation ("RVP"). Mr. Hodges has sole voting and dispositive control with respect to all securities held by RVP. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-012362 · doc4.xml · nonDerivative · entry 1

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · 10% owner

Redmont Venture Partners, Inc. · CIK 0001705639 · 10% owner

Paradigm Venture Partners, L.P. · CIK 0001705640 · 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: 1,278,471

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

F2 · ownership.nature: Consists of shares of Common Stock held by Redmont VAXN Capital Holdings, LLC, a Delaware limited liability company ("RVCH"). Philip Hodges has sole voting and dispositive control with respect to all securities held by RVCH. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-012364 · doc4.xml · derivative · entry 1

Tasker Sybil · CIK 0001705900 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,691

Underlying: Common Stock, par value $0.0001 · 48,691 shares

Expires 2026-04-07

F2 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

F1 · derivative.exercise_date: The option is currently exercisable to purchase 16,250 shares of the Issuer's common stock, par value $0.0001. An additional 25% of the option will vest on each of 4/8/2018, 4/8/2019, and 4/8/2020.

SEC source: 0000899243-17-012354 · doc4.xml · derivative · entry 8

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,177

Underlying: Common Stock, par value $0.0001 · 4,177 shares

Expires 2022-12-31

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012354 · doc4.xml · derivative · entry 7

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,178

Underlying: Common Stock, par value $0.0001 · 4,178 shares

Expires 2022-12-31

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012354 · doc4.xml · derivative · entry 6

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,178

Underlying: Common Stock, par value $0.0001 · 4,178 shares

Expires 2022-01-03

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012354 · doc4.xml · derivative · entry 5

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,090

Underlying: Common Stock, par value $0.0001 · 2,090 shares

Expires 2021-12-03

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012354 · doc4.xml · derivative · entry 4

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,791

Underlying: Common Stock, par value $0.0001 · 1,791 shares

Expires 2020-12-30

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012354 · doc4.xml · derivative · entry 3

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,791

Underlying: Common Stock, par value $0.0001 · 1,791 shares

Expires 2020-06-08

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012354 · doc4.xml · derivative · entry 2

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,755

Underlying: Common Stock, par value $0.0001 · 4,755 shares

Expires 2020-06-08

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012354 · doc4.xml · nonDerivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,777

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

SEC source: 0000899243-17-012363 · doc4.xml · derivative · entry 5

Schafer Klaus · CIK 0001705904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,791

Underlying: Common Stock, par value $0.0001 · 1,791 shares

Expires 2023-12-31

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012363 · doc4.xml · derivative · entry 4

Schafer Klaus · CIK 0001705904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,791

Underlying: Common Stock, par value $0.0001 · 1,791 shares

Expires 2022-12-31

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012363 · doc4.xml · derivative · entry 3

Schafer Klaus · CIK 0001705904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,791

Underlying: Common Stock, par value $0.0001 · 1,791 shares

Expires 2022-07-04

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012363 · doc4.xml · derivative · entry 2

Schafer Klaus · CIK 0001705904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,775

Underlying: Common Stock, par value $0.0001 · 4,775 shares

Expires 2022-07-04

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012363 · doc4.xml · nonDerivative · entry 1

Schafer Klaus · CIK 0001705904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,998

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

SEC source: 0000899243-17-012361 · doc4.xml · derivative · entry 4

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,235

Underlying: Common Stock, par value $0.0001 · 11,235 shares

Expires 2026-04-07

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

F4 · derivative.exercise_date: The option is currently exercisable to purchase 2,809 shares of Common Stock. An additional 25% of the option will vest on each of 3/2/2018, 3/2/2019, and 3/2/2020.

SEC source: 0000899243-17-012361 · doc4.xml · derivative · entry 3

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,956

Underlying: Common Stock, par value $0.0001 · 8,956 shares

Expires 2024-12-02

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

F3 · derivative.exercise_date: The option is currently exercisable to purchase 4,477 shares of Common Stock. An additional 25% of the option will vest on each of 12/3/2017 and 12/3/2018.

SEC source: 0000899243-17-012361 · doc4.xml · derivative · entry 2

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,956

Underlying: Common Stock, par value $0.0001 · 8,956 shares

Expires 2023-12-04

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

F2 · derivative.exercise_date: The option is currently exercisable to purchase 6,716 shares of the Issuer's common stock, par value $0.0001 ("Common Stock"). The remaining portion of the option will vest on 12/4/2017.

SEC source: 0000899243-17-012361 · doc4.xml · derivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,120

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

Expires 2022-12-05

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012357 · doc4.xml · derivative · entry 6

Enright William · CIK 0001705564 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,927

Underlying: Common Stock, par value $0.0001 · 99,927 shares

Expires 2027-05-04

F4 · price: Granted under the terms of the Altimmune 2017 Omnibus Incentive Plan.

F3 · 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. However, the agreement also provides that, if the compensation committee of the Issuer's board of directors, in its sole discretion, determines that the consummation of the mergers was successful, then 50% of the unvested portion of the option shall become immediately vested and exercisable.

SEC source: 0000899243-17-012357 · doc4.xml · derivative · entry 5

Enright William · CIK 0001705564 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,347

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

Expires 2021-12-03

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012357 · doc4.xml · derivative · entry 4

Enright William · CIK 0001705564 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,733

Underlying: Common Stock, par value $0.0001 · 91,733 shares

Expires 2021-12-03

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012357 · doc4.xml · derivative · entry 3

Enright William · CIK 0001705564 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,644

Underlying: Common Stock, par value $0.0001 · 71,644 shares

Expires 2019-12-31

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012357 · doc4.xml · derivative · entry 2

Enright William · CIK 0001705564 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,887

Underlying: Common Stock, par value $0.0001 · 125,887 shares

Expires 2018-05-31

F2 · price: Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

SEC source: 0000899243-17-012357 · doc4.xml · nonDerivative · entry 1

Enright William · CIK 0001705564 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,787

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

SEC source: 0000899243-17-012356 · doc4.xml · derivative · entry 2

CZEREPAK ELIZABETH · CIK 0001263500 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,727

Underlying: Common Stock, par value $0.0001 · 18,727 shares

Expires 2016-04-07

F2 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

F3 · derivative.exercise_date: The option is currently exercisable to purchase 6,250 shares of the Issuer's Common Stock. An additional 25% of the option will vest on each of 3/2/2018, 3/2/2019, and 3/2/2020.

SEC source: 0000899243-17-012356 · doc4.xml · derivative · entry 1

CZEREPAK ELIZABETH · CIK 0001263500 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,595

Underlying: Common Stock, par value $0.0001 · 178,595 shares

Expires 2025-05-27

F2 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.

F1 · derivative.exercise_date: The option is currently exercisable to purchase 119,207 shares of the Issuer's common stock, par value $0.0001 ("Common Stock"). The option to purchase the remaining 59,388 shares of Common Stock will vest in equal installments on a monthly basis until 4/7/2019.

SEC source: 0001104659-22-024420 · tm226968-1_4a.xml · derivative · entry 3

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139

Underlying: Common Stock, par value $0.0001 · 139 shares

Expires 2023-12-31

F3 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of January 18, 2017, as amended on March 29, 2017, the Issuer assumed all outstanding options to purchase shares of Altimmune, Inc. capital stock on a 0.749106:1 basis upon closing of the merger.

F2 · derivative.expiration_date: The reporting person holds a stock option granted on May 4, 2017 for 139 shares of common stock with an exercise price of $17.7 per share and an expiration date of December 31, 2023 (the "2023 Stock Option"). The 2023 Stock Option was previously reported as covering 4,177 shares at an exercise price of $0.59 per share, but was adjusted to reflect a one-for-thirty reverse stock split that occurred on September 13, 2018. On May 4, 2017, the reporting person mistakenly filed a Form 4 reporting that the 2023 Stock Option had an expiration date of December 31, 2022. The 2023 Stock Option has an expiration date of December 31, 2023.

SEC source: 0001104659-22-024420 · tm226968-1_4a.xml · derivative · entry 2

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139

Underlying: Common Stock, par value $0.0001 · 139 shares

Expires 2022-12-31

F1 · security: The reporting person holds a stock option granted on May 4, 2017, which is exercisable for 139 shares of common stock with an exercise price of $2.40 per share and an expiration date of December 31, 2022 (the "2022 Stock Option"). The 2022 Stock Option was previously reported as covering 4,178 shares at an exercise price of $0.08 per share, but was adjusted to reflect a one-for-thirty reverse stock split that occurred on September 13, 2018. On January 26, 2022, the reporting person mistakenly filed a Form 4 reporting the exercise of the 2022 Stock Option for 70 shares of common stock. Such exercise did not occur. As of January 25, 2022, the reporting person owned only 17,812 shares of common stock and there were 139 shares of common stock unexercised and underlying the 2022 Stock Option.

F3 · price: Pursuant to the terms of the Agreement and Plan of Merger, dated as of January 18, 2017, as amended on March 29, 2017, the Issuer assumed all outstanding options to purchase shares of Altimmune, Inc. capital stock on a 0.749106:1 basis upon closing of the merger.

F1 · balance_after: The reporting person holds a stock option granted on May 4, 2017, which is exercisable for 139 shares of common stock with an exercise price of $2.40 per share and an expiration date of December 31, 2022 (the "2022 Stock Option"). The 2022 Stock Option was previously reported as covering 4,178 shares at an exercise price of $0.08 per share, but was adjusted to reflect a one-for-thirty reverse stock split that occurred on September 13, 2018. On January 26, 2022, the reporting person mistakenly filed a Form 4 reporting the exercise of the 2022 Stock Option for 70 shares of common stock. Such exercise did not occur. As of January 25, 2022, the reporting person owned only 17,812 shares of common stock and there were 139 shares of common stock unexercised and underlying the 2022 Stock Option.

SEC source: 0001144204-17-003608 · v457389_4.xml · derivative · entry 2

Runge Jeffrey W. · CIK 0001479091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2021-06-23

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: 0001144204-17-003608 · v457389_4.xml · nonDerivative · entry 1

Runge Jeffrey W. · CIK 0001479091 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,700

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: 0001144204-17-002438 · v457015_4.xml · derivative · entry 3

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2026-05-31

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: 0001144204-17-002438 · v457015_4.xml · nonDerivative · entry 1

SCHAFFER DERACE L · CIK 0001031735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,043,782

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: 0001144204-17-000878 · v456313_4.xml · derivative · entry 8

St Peter Steven · CIK 0001352447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2026-05-31

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: 0001144204-17-000878 · v456313_4.xml · derivative · entry 7

St Peter Steven · CIK 0001352447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2021-06-23

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: 0001144204-17-000878 · v456313_4.xml · derivative · entry 6

St Peter Steven · CIK 0001352447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2019-08-05

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

SEC source: 0001144204-17-000878 · v456313_4.xml · derivative · entry 5

St Peter Steven · CIK 0001352447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2018-06-13

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: 0001144204-17-000878 · v456313_4.xml · nonDerivative · entry 4

St Peter Steven · CIK 0001352447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,004

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: 0001144204-17-000878 · v456313_4.xml · nonDerivative · entry 3

St Peter Steven · CIK 0001352447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,004

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: 0001144204-17-000878 · v456313_4.xml · nonDerivative · entry 2

St Peter Steven · CIK 0001352447 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,004

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.