ALXO

SEC source: 0000899243-20-019911 · doc4.xml · nonDerivative · entry 1

GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,969,789

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.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · balance_after: Includes 869,618 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F3 · ownership.nature: The shares are held of record by venBio Global Strategic Fund, L.P. venBio Global Strategic GP, L.P. is the general partner of venBio Global Strategic Fund, L.P. and venBio Global Strategic GP, Ltd. is the general partner of venBio Global Strategic GP, L.P. The reporting person, a director of venBio Global Strategic GP, Ltd., disclaims beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein.

SEC source: 0000899243-20-019910 · doc4.xml · nonDerivative · entry 1

Pietzke Steffen · CIK 0001647008 · VP Fin & Chief Acct Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

SEC source: 0000899243-20-019908 · doc4.xml · nonDerivative · entry 1

GARCIA PETER S · CIK 0001188956 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 18

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 38,660 shares

Expires not disclosed

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.

F3 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 17

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 664,660 shares

Expires not disclosed

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.

F3 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 16

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 18,705 shares

Expires not disclosed

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.

F3 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F7 · ownership.nature: The shares are held of record by Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 15

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 137,286 shares

Expires not disclosed

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.

F3 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F3 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F5 · ownership.nature: The shares are held of record by Lightstone Ventures, LP (LV LP). LSV Associates, LLC (LSV Associates), the General Partner of LV LP, and Michael A. Carusi, Jean M. George and Henry A. Plain, Jr., the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 14

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 11,110 shares

Expires not disclosed

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: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 13

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 150,801 shares

Expires not disclosed

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: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 12

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 8,175 shares

Expires not disclosed

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: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F7 · ownership.nature: The shares are held of record by Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 11

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 59,998 shares

Expires not disclosed

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: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F5 · ownership.nature: The shares are held of record by Lightstone Ventures, LP (LV LP). LSV Associates, LLC (LSV Associates), the General Partner of LV LP, and Michael A. Carusi, Jean M. George and Henry A. Plain, Jr., the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 10

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 39,758 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 9

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 683,523 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 8

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 222,752 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F7 · ownership.nature: The shares are held of record by Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.

SEC source: 0000899243-20-020030 · doc4.xml · derivative · entry 7

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,633,743 shares

Expires not disclosed

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.

F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F5 · ownership.nature: The shares are held of record by Lightstone Ventures, LP (LV LP). LSV Associates, LLC (LSV Associates), the General Partner of LV LP, and Michael A. Carusi, Jean M. George and Henry A. Plain, Jr., the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.

SEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 6

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 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: 120,212

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.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F11 · balance_after: Includes 8,684 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 5

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 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: 22,000

F10 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II(A) LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV(A) II LP, and Mr. Carusi, Ms. George, Mr. Plain and Mr. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 4

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 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: 2,023,469

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.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F9 · balance_after: Includes 146,485 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 3

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 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: 378,000

F8 · ownership.nature: The shares are held of record by Lightstone Ventures II, LP (LV II LP). LSV Associates II, LLC (LSV Associates II), the General Partner of LV II LP, and Mr. Carusi, Ms. George, Mr. Plain and Jason W. Lettmann, as the individual managing directors of LSV Associates II, share voting and dispositive power with respect to the shares held of record by LV II LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein. Mr. Lettmann is a director of the Issuer and files separate Section 16 reports.

SEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 2

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 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: 309,222

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.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F6 · balance_after: Includes 59,590 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F7 · ownership.nature: The shares are held of record by Lightstone Ventures (A), LP (LV(A) LP). LSV Associates, the General Partner of LV(A) LP, and Mr. Carusi, Ms. George and Mr. Plain, the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV(A) LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.

SEC source: 0000899243-20-020030 · doc4.xml · nonDerivative · entry 1

LSV Associates, LLC · CIK 0001643828 · 10% owner

Lightstone Ventures, L.P. · CIK 0001572522 · 10% owner

Lightstone Ventures (A), L.P. · CIK 0001572523 · 10% owner

Lightstone Ventures II, L.P. · CIK 0001699565 · 10% owner

Lightstone Ventures II (A), L.P. · CIK 0001706610 · 10% owner

LSV Associates II, LLC · CIK 0001818388 · 10% owner

Carusi Michael A · CIK 0001306506 · 10% owner

George Jean · CIK 0001291804 · 10% owner

Plain Henry A JR · CIK 0001384286 · 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: 2,268,087

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.

F1 · price: Each share of Series A Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · price: Each share of Series B Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date

F4 · balance_after: Includes 437,060 shares of Common Stock issued as payment of accrued dividends upon conversion of the preferred stock on July 21, 2020.

F5 · ownership.nature: The shares are held of record by Lightstone Ventures, LP (LV LP). LSV Associates, LLC (LSV Associates), the General Partner of LV LP, and Michael A. Carusi, Jean M. George and Henry A. Plain, Jr., the individual managing directors of LSV Associates, share voting and dispositive power with respect to the shares held of record by LV LP, but each disclaims beneficial ownership of such shares except to the extent of his, her or its individual pecuniary interest therein.

SEC source: 0000899243-20-019577 · doc4.xml · derivative · entry 1

Randolph Sophia · CIK 0001817127 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,657

Underlying: Common Stock · 89,657 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 16, 2020.

SEC source: 0000899243-20-019572 · doc4.xml · derivative · entry 1

Pons Jaume · CIK 0001816977 · Director · President &CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,771

Underlying: Common Stock · 272,771 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 16, 2020.

SEC source: 0000899243-20-019573 · doc4.xml · derivative · entry 1

Caffo Nathan · CIK 0001816992 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,794

Underlying: Common Stock · 22,794 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 16, 2020.

SEC source: 0000899243-20-019581 · doc4.xml · derivative · entry 1

Graham G. Walmsley · CIK 0001777517 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,009

Underlying: Common Stock · 24,009 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 36 equal monthly installments beginning on August 16, 2020.

SEC source: 0000899243-20-019580 · doc4.xml · derivative · entry 1

Nielsen Jack · CIK 0001602402 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,009

Underlying: Common Stock · 24,009 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 36 equal monthly installments beginning on August 16, 2020.

SEC source: 0000899243-20-019579 · doc4.xml · derivative · entry 1

Lettmann Jason · CIK 0001688269 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,009

Underlying: Common Stock · 24,009 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 36 equal monthly installments beginning on August 16, 2020.

SEC source: 0000899243-20-019576 · doc4.xml · derivative · entry 1

Pietzke Steffen · CIK 0001647008 · VP Fin & Chief Acct Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,789

Underlying: Common Stock · 41,789 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 16, 2020.

SEC source: 0000899243-20-019578 · doc4.xml · derivative · entry 1

GOODMAN COREY S · CIK 0001278411 · Director · 10% owner · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,009

Underlying: Common Stock · 24,009 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 36 equal monthly installments beginning on August 16, 2020.

SEC source: 0000899243-20-019575 · doc4.xml · derivative · entry 1

GARCIA PETER S · CIK 0001188956 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,137

Underlying: Common Stock · 88,137 shares

Expires 2030-07-16

F1 · derivative.exercise_date: Shares subject to the option vest in 48 equal monthly installments beginning on August 16, 2020.

SEC source: 0000905148-20-000827 · form4.xml · derivative · entry 11

Adelman Robert J · CIK 0001329161 · 10% owner · See Remarks

venBio Global Strategic Fund, L.P. · CIK 0001504130 · 10% owner · See Remarks

venBio Global Strategic GP, Ltd. · CIK 0001770835 · 10% owner · See Remarks

venBio Global Strategic Fund II L.P. · CIK 0001634632 · 10% owner · See Remarks

venBio Global Strategic GP, L.P. · CIK 0001770834 · 10% owner · See Remarks

venBio Global Strategic GP II, L.P. · CIK 0001729409 · 10% owner · See Remarks

venBio Global Strategic GP II, Ltd. · CIK 0001729408 · 10% owner · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,052,950 shares

Expires not disclosed

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.

F9 · derivative.exercise_price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F9 · price: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F9 · derivative.exercise_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F9 · derivative.expiration_date: Each share of Series C Convertible Preferred Stock automatically converted into Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F6 · ownership.nature: The shares are held by venBio Global Strategic Fund II, L.P. venBio Global Strategic GP II, LP is the sole general partner of venBio Global Strategic Fund II, LP and venBio Global Strategic GP II, Ltd. is the sole general partner of venBio Global Strategic GP II, L.P. Robert Adelman is a director of venBio Global Strategic GP II, Ltd. Each of venBio Global Strategic GP II, LP, venBio Global Strategic GP II, Ltd, and Mr. Adelman disclaims beneficial ownership of such securities, except to the extent of its/his indirect pecuniary interest therein.

SEC source: 0001209191-21-030336 · doc4.xml · derivative · entry 1

Pinto Shelly · CIK 0001857740 · VP, Finance and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2030-05-03

F1 · derivative.exercise_date: One-fourth of the shares subject to the option vest on May 3, 2022 and 1/48th of the shares vest monthly thereafter.