ALT

SEC source: 0001104659-22-011517 · tm225504-1_4seq1.xml · nonDerivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,717

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2021 through January 31, 2022.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on January 31, 2022.

SEC source: 0001104659-22-009882 · tm224965-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,201

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

SEC source: 0001104659-22-007911 · tm224587-1_4.xml · derivative · entry 3

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69

Underlying: Common Stock, par value $0.0001 · 70 shares

Expires 2022-12-31

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.

F2 · derivative.exercise_price: This 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 reverse stock split that occurred on September 13, 2018.

F2 · shares: This 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 reverse stock split that occurred on September 13, 2018.

F3 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

F2 · derivative.underlying_shares: This 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 reverse stock split that occurred on September 13, 2018.

SEC source: 0001104659-22-007911 · tm224587-1_4.xml · nonDerivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,882

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: 0001104659-25-094493 · tm2527377-5_4seq1.xml · nonDerivative · entry 1

GILL JOHN · CIK 0001409939 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Represents a bona fide gift of 2,714 shares of common stock made on January 6, 2022.

F2 · balance_after: Certain Section 16 reports previously filed by the reporting person inadvertently overstated the reporting person's direct common stock ownership by 57 shares. As of the date of this filing, the reporting person does not hold any shares of common stock directly or indirectly.

SEC source: 0001104659-22-000629 · tm2136680-3_4seq1.xml · derivative · entry 2

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F3 · derivative.exercise_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F3 · derivative.expiration_date: The RSUs become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal annual installments for the following three (3) years, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0001104659-22-000629 · tm2136680-3_4seq1.xml · derivative · entry 1

Eisenstadt Richard I · CIK 0001515806 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock, par value $0.0001 · 150,000 shares

Expires 2031-12-31

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable over four (4) years with 25% of the shares vesting on December 31, 2022, with the remainder vesting in equal monthly installments for the following thirty-six (36) months, subject to the reporting person's continued service on each applicable vesting date.

SEC source: 0001104659-22-000547 · tm2136680d1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,556

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

SEC source: 0001104659-22-023082 · tm226690d1_5.xml · nonDerivative · entry 3

GILL JOHN · CIK 0001409939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,771

F2 · kind: This transaction was a bona fide gift of common stock made on December 27, 2021.

F2 · shares: This transaction was a bona fide gift of common stock made on December 27, 2021.

SEC source: 0001104659-22-023082 · tm226690d1_5.xml · nonDerivative · entry 2

GILL JOHN · CIK 0001409939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,485

F2 · kind: This transaction was a bona fide gift of common stock made on December 27, 2021.

F2 · shares: This transaction was a bona fide gift of common stock made on December 27, 2021.

SEC source: 0001104659-21-150119 · tm2135595-1_4seq1.xml · derivative · entry 3

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

Expires 2022-01-03

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.

F2 · derivative.exercise_price: This 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 reverse stock split that occurred on September 13, 2018.

F2 · shares: This 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 reverse stock split that occurred on September 13, 2018.

F3 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

F2 · derivative.underlying_shares: This 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 reverse stock split that occurred on September 13, 2018.

SEC source: 0001104659-21-150119 · tm2135595-1_4seq1.xml · nonDerivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,812

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: 0001104659-21-145580 · tm2134377-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,563

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

SEC source: 0001104659-21-142052 · tm2133565-1_4seq1.xml · derivative · entry 3

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.0001 · 70 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.

F2 · derivative.exercise_price: This option was previously reported as covering 2,090 shares at an exercise price of $0.08 per share, but was adjusted to reflect a one-for-thirty reverse stock split reverse stock split that occurred on September 13, 2018.

F2 · shares: This option was previously reported as covering 2,090 shares at an exercise price of $0.08 per share, but was adjusted to reflect a one-for-thirty reverse stock split reverse stock split that occurred on September 13, 2018.

F3 · derivative.exercise_date: This option is fully vested and exercisable as of the date hereof.

F2 · derivative.underlying_shares: This option was previously reported as covering 2,090 shares at an exercise price of $0.08 per share, but was adjusted to reflect a one-for-thirty reverse stock split reverse stock split that occurred on September 13, 2018.

SEC source: 0001104659-21-142052 · tm2133565-1_4seq1.xml · nonDerivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,673

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: 0001104659-21-132479 · tm2131531d1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,570

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

SEC source: 0001104659-21-122159 · tm2128463d8_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,577

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

SEC source: 0001104659-21-119486 · tm2128463-5_4seq1.xml · derivative · entry 1

Pisano Wayne · CIK 0001743611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock, par value $0.0001 · 24,100 shares

Expires 2031-09-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 23, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-21-119482 · tm2128463-1_4seq1.xml · derivative · entry 1

Drutz David · CIK 0001428764 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock, par value $0.0001 · 24,100 shares

Expires 2031-09-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 23, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-21-119483 · tm2128463-2_4seq1.xml · derivative · entry 1

GILL JOHN · CIK 0001409939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock, par value $0.0001 · 24,100 shares

Expires 2031-09-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 23, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-21-119490 · tm2128463-7_4seq1.xml · derivative · entry 1

Schafer Klaus · CIK 0001705904 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock, par value $0.0001 · 24,100 shares

Expires 2031-09-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 23, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-21-119488 · tm2128463-6_4seq1.xml · derivative · entry 1

SAYARE MITCHEL · CIK 0001201196 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock, par value $0.0001 · 24,100 shares

Expires 2031-09-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 23, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-21-119484 · tm2128463-3_4seq1.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock, par value $0.0001 · 24,100 shares

Expires 2031-09-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 23, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-21-122158 · tm2128463-4_4seq1.xml · derivative · entry 1

Jorkasky Diane · CIK 0001527204 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock, par value $0.0001 · 24,100 shares

Expires 2031-09-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 23, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-21-111727 · tm2126724d1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,584

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

SEC source: 0001104659-21-101662 · tm2124283-2_4seq1.xml · nonDerivative · entry 1

Brown William Michael · CIK 0001742241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,721

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2021 through July 31, 2021.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2021.

SEC source: 0001104659-21-101663 · tm2124283-3_4seq1.xml · nonDerivative · entry 1

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,762

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2021 through July 31, 2021.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2021.

SEC source: 0001104659-21-101661 · tm2124283-1_4seq1.xml · nonDerivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,611

F1 · kind: These shares were purchased due to participation by the reporting individual in the Issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from February 1, 2021 through July 31, 2021.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 31, 2021.

SEC source: 0001104659-21-099032 · tm2123845-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,592

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

SEC source: 0001104659-21-088398 · tm2121286d1_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,599

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

SEC source: 0001104659-21-075895 · tm2118163-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,606

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

SEC source: 0001104659-22-023082 · tm226690d1_5.xml · nonDerivative · entry 1

GILL JOHN · CIK 0001409939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,199

F1 · kind: This transaction was a bona fide gift of common stock made on May 3, 2021.

F1 · shares: This transaction was a bona fide gift of common stock made on May 3, 2021.

SEC source: 0000899243-21-018238 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,183

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

SEC source: 0000899243-21-014273 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,182

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

SEC source: 0000899243-21-008691 · doc4.xml · nonDerivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,731

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.68 to $16.56, inclusive. The reporting person undertakes to provide to Altimmune, Inc., any security holder of Altimmune, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0000899243-21-008692 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,180

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

SEC source: 0001209191-21-015197 · doc4.xml · derivative · entry 2

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

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

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

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

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

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

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 1,000,000

Underlying: Common Stock · 1,000,000 shares

Expires not disclosed

F1 · kind: On February 25, 2021, the Issuer entered into an exchange agreement with the Reporting Persons pursuant to which the Issuer exchanged an aggregate of 1,000,000 shares of common stock owned by the Reporting Persons for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 1,000,000 shares of common stock (subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting common stock), with an exercise price of $0.0001 per share.

F4 · derivative.exercise_date: The Exchange Warrants are exercisable at any time, except that the Exchange Warrants will not be exercised by the Reporting Persons if, upon giving effect or immediately prior thereto, the Reporting Persons would beneficially own more than 9.99% of the total number of the Issuer's issued and outstanding common stock, which percentage may change at the holders' election to any other number less than or equal to 19.99% upon 61 days' notice to the Issuer.

F5 · derivative.expiration_date: The Exchange Warrants have no expiration date.

F6 · balance_after: Consists of 264,300 shares underlying Exchange Warrants held by VHCP II, 107,100 shares underlying Exchange Warrants held by VHCP II Co, 571,500 shares underlying Exchange Warrants held by VHCP III and 57,100 shares underlying Exchange Warrants held by VHCP III Co.

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

SEC source: 0001209191-21-015197 · doc4.xml · nonDerivative · entry 1

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

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

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

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

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

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

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Funds

Disclosed balance after: 3,500,000

F1 · kind: On February 25, 2021, the Issuer entered into an exchange agreement with the Reporting Persons pursuant to which the Issuer exchanged an aggregate of 1,000,000 shares of common stock owned by the Reporting Persons for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 1,000,000 shares of common stock (subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting common stock), with an exercise price of $0.0001 per share.

F1 · price: On February 25, 2021, the Issuer entered into an exchange agreement with the Reporting Persons pursuant to which the Issuer exchanged an aggregate of 1,000,000 shares of common stock owned by the Reporting Persons for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 1,000,000 shares of common stock (subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting common stock), with an exercise price of $0.0001 per share.

F2 · balance_after: Consists of 925,050 shares held by Venrock Healthcare Capital Partners II, L.P. ("VHCP II"), 374,849 shares held by VHCP Co-Investment Holdings II, LLC ("VHCP II Co"), 2,000,252 shares held by Venrock Healthcare Capital Partners III, L.P. ("VHCP III") and 199,849 shares held by VHCP Co-Investment Holdings III, LLC ("VHCP III Co").

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

SEC source: 0000899243-21-004755 · doc4.xml · derivative · entry 3

Brown William Michael · CIK 0001742241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,664

Underlying: Common Stock, par value $0.0001 · 24,664 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F5 · derivative.exercise_date: The RSUs become vested and exercisable in substantially equal annual installments over the 4 years following February 2, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F5 · derivative.expiration_date: The RSUs become vested and exercisable in substantially equal annual installments over the 4 years following February 2, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0000899243-21-004755 · doc4.xml · derivative · entry 2

Brown William Michael · CIK 0001742241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock, par value $0.0001 · 90,000 shares

Expires 2031-02-01

F3 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on February 1, 2022 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-21-004757 · doc4.xml · derivative · entry 3

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,664

Underlying: Common Stock, par value $0.0001 · 24,664 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F5 · derivative.exercise_date: The RSUs become vested and exercisable in substantially equal annual installments over the 4 years following February 2, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F5 · derivative.expiration_date: The RSUs become vested and exercisable in substantially equal annual installments over the 4 years following February 2, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0000899243-21-004757 · doc4.xml · derivative · entry 2

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock, par value $0.0001 · 90,000 shares

Expires 2031-02-01

F3 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on February 1, 2022 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-21-004756 · doc4.xml · derivative · entry 4

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,664

Underlying: Common Stock, par value $0.0001 · 24,664 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F5 · derivative.exercise_date: The RSUs become vested and exercisable in substantially equal annual installments over the 4 years following February 2, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F5 · derivative.expiration_date: The RSUs become vested and exercisable in substantially equal annual installments over the 4 years following February 2, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0000899243-21-004756 · doc4.xml · derivative · entry 3

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock, par value $0.0001 · 90,000 shares

Expires 2031-02-01

F3 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on February 1, 2022 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-21-004754 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,181

Underlying: Common Stock, par value $0.0001 · 66,181 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F5 · derivative.exercise_date: The RSUs become vested and exercisable in substantially equal annual installments over the 4 years following February 2, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

F5 · derivative.expiration_date: The RSUs become vested and exercisable in substantially equal annual installments over the 4 years following February 2, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date.

SEC source: 0000899243-21-004754 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,500

Underlying: Common Stock, par value $0.0001 · 241,500 shares

Expires 2031-02-01

F3 · derivative.exercise_date: Twenty-five percent of the shares underlying the option become vested and exercisable on February 1, 2022 and the remaining 75% of the shares underlying the option become vested and exercisable in substantially equal monthly installments over the 36 months following February 2, 2022, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-21-004755 · doc4.xml · nonDerivative · entry 1

Brown William Michael · CIK 0001742241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,918

F1 · kind: These shares were purchased due to participation by the reporting individual in the issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2020 through January 31, 2021.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on January 31, 2021.

SEC source: 0000899243-21-004757 · doc4.xml · nonDerivative · entry 1

Harris Matthew Scott · CIK 0001787762 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,037

F1 · kind: These shares were purchased due to participation by the reporting individual in the issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2020 through January 31, 2021.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on January 31, 2021.

SEC source: 0000899243-21-004756 · doc4.xml · nonDerivative · entry 1

Roberts M Scot · CIK 0001705905 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,861

F1 · kind: These shares were purchased due to participation by the reporting individual in the issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2020 through January 31, 2021.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on January 31, 2021.

SEC source: 0000899243-21-004754 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,178

F1 · kind: These shares were purchased due to participation by the reporting individual in the issuer's 2019 Employee Stock Purchase Plan ("ESPP"). It pertains to the ESPP purchase period from August 1, 2020 through January 31, 2021.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on January 31, 2021.