ARMP

SEC source: 0001104659-23-129365 · tm2333426-7_4seq1.xml · nonDerivative · entry 1

Birx Deborah · CIK 0001849673 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

SEC source: 0001104659-23-129364 · tm2333426-1_4seq1.xml · derivative · entry 1

Odysseas Kostas D · CIK 0001483080 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,461

Underlying: Common Stock · 10,461 shares

Expires 2033-12-21

F1 · derivative.exercise_date: The stock option vests immediately prior to the Company's 2024 annual shareholders meeting.

SEC source: 0001104659-23-003540 · tm232524-2_4seq1.xml · derivative · entry 1

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: Not disclosed

Underlying: Common Stock · 19,736,843 shares

Expires not disclosed

F1 · security: As previously disclosed on Amendment No. 8 to Statement of Beneficial Ownership on Schedule 13D, as filed by Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons") with the Securities and Exchange Commission ("Commission") on January 10, 2023, Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") entered into, as borrower, a secured convertible credit and security agreement (the "Credit Agreement") with Innoviva Sub on January 10, 2023. The Credit Agreement provides for a secured term loan facility in an aggregate amount of $30,000,000 (the "Loan") at an interest rate of 8.0% per annum, and has a maturity date of January 10, 2024.

F2 · security: The Credit Agreement provides that if a Qualified Financing (as defined in the Credit Agreement) occurs, the outstanding principal amount of, and all accrued and unpaid interest on, the Loan shall be converted (the "Mandatory Conversion") into shares of the Issuer's common stock, $0.01 par value per share ("Common Stock") at a price per share equal to a 15.0% discount to the lowest price per share for Common Stock paid by investors in a Qualified Financing (which price paid by investors in a Qualified Financing may not be less than a 15.0% discount to the closing price of Common Stock immediately prior to the consummation of a Qualified Financing event).

F3 · security: The Credit Agreement also requires the Issuer to file a registration statement (the "Registration Statement") for the resale of all securities issued to Innoviva Sub in connection with any conversion under the Credit Agreement. After the Registration Statement has been declared effective by the Commission, any outstanding Loan amount, including all accrued and unpaid interest thereon, may be converted at Innoviva Sub's option into shares of Common Stock at a price per share equal to the greater of book value or market value per share of Common Stock on the date immediately preceding the effective date of the Credit Agreement, which is $1.52 (as may be appropriately adjusted for any stock split, combination or similar act) (the "Optional Conversion"). As of January 10, 2023, pursuant to the Optional Conversion, the Loan is convertible into 19,736,843 shares of Common Stock of the Issuer, contingent upon the effectiveness of the Registration Statement.

F4 · security: In addition, pursuant to previous transactions, (i) Innoviva Sub is the direct beneficial owner, and Innoviva is the indirect beneficial owner, of 16,365,969 shares of Common Stock, 4,500,000 warrants to purchase Common Stock with an exercise price of $5.00, and 6,153,847 warrants to purchase Common Stock with an exercise price of $3.25 and (ii) Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F5 · security: In 2020, Innoviva designated Odysseas Kostas, M.D. and Sarah Schlesinger, M.D., two of the members of the board of directors of Innoviva, to serve on the board of directors of the Issuer. In 2021, Innoviva designated Jules Haimovitz, a member of the board of directors of Innoviva, to serve on the board of directors of the Issuer. As such, solely for purposes of Section 16 of the Exchange Act, the Reporting Persons may be deemed to be directors by deputization. For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the acquisition of any direct or indirect pecuniary interest in any shares of Common Stock, as a result of or in connection with the transactions reported on this Form 4.

F1 · price: As previously disclosed on Amendment No. 8 to Statement of Beneficial Ownership on Schedule 13D, as filed by Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons") with the Securities and Exchange Commission ("Commission") on January 10, 2023, Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") entered into, as borrower, a secured convertible credit and security agreement (the "Credit Agreement") with Innoviva Sub on January 10, 2023. The Credit Agreement provides for a secured term loan facility in an aggregate amount of $30,000,000 (the "Loan") at an interest rate of 8.0% per annum, and has a maturity date of January 10, 2024.

F2 · price: The Credit Agreement provides that if a Qualified Financing (as defined in the Credit Agreement) occurs, the outstanding principal amount of, and all accrued and unpaid interest on, the Loan shall be converted (the "Mandatory Conversion") into shares of the Issuer's common stock, $0.01 par value per share ("Common Stock") at a price per share equal to a 15.0% discount to the lowest price per share for Common Stock paid by investors in a Qualified Financing (which price paid by investors in a Qualified Financing may not be less than a 15.0% discount to the closing price of Common Stock immediately prior to the consummation of a Qualified Financing event).

F3 · price: The Credit Agreement also requires the Issuer to file a registration statement (the "Registration Statement") for the resale of all securities issued to Innoviva Sub in connection with any conversion under the Credit Agreement. After the Registration Statement has been declared effective by the Commission, any outstanding Loan amount, including all accrued and unpaid interest thereon, may be converted at Innoviva Sub's option into shares of Common Stock at a price per share equal to the greater of book value or market value per share of Common Stock on the date immediately preceding the effective date of the Credit Agreement, which is $1.52 (as may be appropriately adjusted for any stock split, combination or similar act) (the "Optional Conversion"). As of January 10, 2023, pursuant to the Optional Conversion, the Loan is convertible into 19,736,843 shares of Common Stock of the Issuer, contingent upon the effectiveness of the Registration Statement.

F4 · price: In addition, pursuant to previous transactions, (i) Innoviva Sub is the direct beneficial owner, and Innoviva is the indirect beneficial owner, of 16,365,969 shares of Common Stock, 4,500,000 warrants to purchase Common Stock with an exercise price of $5.00, and 6,153,847 warrants to purchase Common Stock with an exercise price of $3.25 and (ii) Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F1 · derivative.exercise_date: As previously disclosed on Amendment No. 8 to Statement of Beneficial Ownership on Schedule 13D, as filed by Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons") with the Securities and Exchange Commission ("Commission") on January 10, 2023, Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") entered into, as borrower, a secured convertible credit and security agreement (the "Credit Agreement") with Innoviva Sub on January 10, 2023. The Credit Agreement provides for a secured term loan facility in an aggregate amount of $30,000,000 (the "Loan") at an interest rate of 8.0% per annum, and has a maturity date of January 10, 2024.

F2 · derivative.exercise_date: The Credit Agreement provides that if a Qualified Financing (as defined in the Credit Agreement) occurs, the outstanding principal amount of, and all accrued and unpaid interest on, the Loan shall be converted (the "Mandatory Conversion") into shares of the Issuer's common stock, $0.01 par value per share ("Common Stock") at a price per share equal to a 15.0% discount to the lowest price per share for Common Stock paid by investors in a Qualified Financing (which price paid by investors in a Qualified Financing may not be less than a 15.0% discount to the closing price of Common Stock immediately prior to the consummation of a Qualified Financing event).

F3 · derivative.exercise_date: The Credit Agreement also requires the Issuer to file a registration statement (the "Registration Statement") for the resale of all securities issued to Innoviva Sub in connection with any conversion under the Credit Agreement. After the Registration Statement has been declared effective by the Commission, any outstanding Loan amount, including all accrued and unpaid interest thereon, may be converted at Innoviva Sub's option into shares of Common Stock at a price per share equal to the greater of book value or market value per share of Common Stock on the date immediately preceding the effective date of the Credit Agreement, which is $1.52 (as may be appropriately adjusted for any stock split, combination or similar act) (the "Optional Conversion"). As of January 10, 2023, pursuant to the Optional Conversion, the Loan is convertible into 19,736,843 shares of Common Stock of the Issuer, contingent upon the effectiveness of the Registration Statement.

F4 · derivative.exercise_date: In addition, pursuant to previous transactions, (i) Innoviva Sub is the direct beneficial owner, and Innoviva is the indirect beneficial owner, of 16,365,969 shares of Common Stock, 4,500,000 warrants to purchase Common Stock with an exercise price of $5.00, and 6,153,847 warrants to purchase Common Stock with an exercise price of $3.25 and (ii) Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F1 · derivative.expiration_date: As previously disclosed on Amendment No. 8 to Statement of Beneficial Ownership on Schedule 13D, as filed by Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons") with the Securities and Exchange Commission ("Commission") on January 10, 2023, Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") entered into, as borrower, a secured convertible credit and security agreement (the "Credit Agreement") with Innoviva Sub on January 10, 2023. The Credit Agreement provides for a secured term loan facility in an aggregate amount of $30,000,000 (the "Loan") at an interest rate of 8.0% per annum, and has a maturity date of January 10, 2024.

F2 · derivative.expiration_date: The Credit Agreement provides that if a Qualified Financing (as defined in the Credit Agreement) occurs, the outstanding principal amount of, and all accrued and unpaid interest on, the Loan shall be converted (the "Mandatory Conversion") into shares of the Issuer's common stock, $0.01 par value per share ("Common Stock") at a price per share equal to a 15.0% discount to the lowest price per share for Common Stock paid by investors in a Qualified Financing (which price paid by investors in a Qualified Financing may not be less than a 15.0% discount to the closing price of Common Stock immediately prior to the consummation of a Qualified Financing event).

F3 · derivative.expiration_date: The Credit Agreement also requires the Issuer to file a registration statement (the "Registration Statement") for the resale of all securities issued to Innoviva Sub in connection with any conversion under the Credit Agreement. After the Registration Statement has been declared effective by the Commission, any outstanding Loan amount, including all accrued and unpaid interest thereon, may be converted at Innoviva Sub's option into shares of Common Stock at a price per share equal to the greater of book value or market value per share of Common Stock on the date immediately preceding the effective date of the Credit Agreement, which is $1.52 (as may be appropriately adjusted for any stock split, combination or similar act) (the "Optional Conversion"). As of January 10, 2023, pursuant to the Optional Conversion, the Loan is convertible into 19,736,843 shares of Common Stock of the Issuer, contingent upon the effectiveness of the Registration Statement.

F4 · derivative.expiration_date: In addition, pursuant to previous transactions, (i) Innoviva Sub is the direct beneficial owner, and Innoviva is the indirect beneficial owner, of 16,365,969 shares of Common Stock, 4,500,000 warrants to purchase Common Stock with an exercise price of $5.00, and 6,153,847 warrants to purchase Common Stock with an exercise price of $3.25 and (ii) Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F1 · valueOwnedAfter: As previously disclosed on Amendment No. 8 to Statement of Beneficial Ownership on Schedule 13D, as filed by Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons") with the Securities and Exchange Commission ("Commission") on January 10, 2023, Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") entered into, as borrower, a secured convertible credit and security agreement (the "Credit Agreement") with Innoviva Sub on January 10, 2023. The Credit Agreement provides for a secured term loan facility in an aggregate amount of $30,000,000 (the "Loan") at an interest rate of 8.0% per annum, and has a maturity date of January 10, 2024.

F2 · valueOwnedAfter: The Credit Agreement provides that if a Qualified Financing (as defined in the Credit Agreement) occurs, the outstanding principal amount of, and all accrued and unpaid interest on, the Loan shall be converted (the "Mandatory Conversion") into shares of the Issuer's common stock, $0.01 par value per share ("Common Stock") at a price per share equal to a 15.0% discount to the lowest price per share for Common Stock paid by investors in a Qualified Financing (which price paid by investors in a Qualified Financing may not be less than a 15.0% discount to the closing price of Common Stock immediately prior to the consummation of a Qualified Financing event).

F3 · valueOwnedAfter: The Credit Agreement also requires the Issuer to file a registration statement (the "Registration Statement") for the resale of all securities issued to Innoviva Sub in connection with any conversion under the Credit Agreement. After the Registration Statement has been declared effective by the Commission, any outstanding Loan amount, including all accrued and unpaid interest thereon, may be converted at Innoviva Sub's option into shares of Common Stock at a price per share equal to the greater of book value or market value per share of Common Stock on the date immediately preceding the effective date of the Credit Agreement, which is $1.52 (as may be appropriately adjusted for any stock split, combination or similar act) (the "Optional Conversion"). As of January 10, 2023, pursuant to the Optional Conversion, the Loan is convertible into 19,736,843 shares of Common Stock of the Issuer, contingent upon the effectiveness of the Registration Statement.

F4 · valueOwnedAfter: In addition, pursuant to previous transactions, (i) Innoviva Sub is the direct beneficial owner, and Innoviva is the indirect beneficial owner, of 16,365,969 shares of Common Stock, 4,500,000 warrants to purchase Common Stock with an exercise price of $5.00, and 6,153,847 warrants to purchase Common Stock with an exercise price of $3.25 and (ii) Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F1 · ownership.direct: As previously disclosed on Amendment No. 8 to Statement of Beneficial Ownership on Schedule 13D, as filed by Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons") with the Securities and Exchange Commission ("Commission") on January 10, 2023, Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") entered into, as borrower, a secured convertible credit and security agreement (the "Credit Agreement") with Innoviva Sub on January 10, 2023. The Credit Agreement provides for a secured term loan facility in an aggregate amount of $30,000,000 (the "Loan") at an interest rate of 8.0% per annum, and has a maturity date of January 10, 2024.

F2 · ownership.direct: The Credit Agreement provides that if a Qualified Financing (as defined in the Credit Agreement) occurs, the outstanding principal amount of, and all accrued and unpaid interest on, the Loan shall be converted (the "Mandatory Conversion") into shares of the Issuer's common stock, $0.01 par value per share ("Common Stock") at a price per share equal to a 15.0% discount to the lowest price per share for Common Stock paid by investors in a Qualified Financing (which price paid by investors in a Qualified Financing may not be less than a 15.0% discount to the closing price of Common Stock immediately prior to the consummation of a Qualified Financing event).

F3 · ownership.direct: The Credit Agreement also requires the Issuer to file a registration statement (the "Registration Statement") for the resale of all securities issued to Innoviva Sub in connection with any conversion under the Credit Agreement. After the Registration Statement has been declared effective by the Commission, any outstanding Loan amount, including all accrued and unpaid interest thereon, may be converted at Innoviva Sub's option into shares of Common Stock at a price per share equal to the greater of book value or market value per share of Common Stock on the date immediately preceding the effective date of the Credit Agreement, which is $1.52 (as may be appropriately adjusted for any stock split, combination or similar act) (the "Optional Conversion"). As of January 10, 2023, pursuant to the Optional Conversion, the Loan is convertible into 19,736,843 shares of Common Stock of the Issuer, contingent upon the effectiveness of the Registration Statement.

F4 · ownership.direct: In addition, pursuant to previous transactions, (i) Innoviva Sub is the direct beneficial owner, and Innoviva is the indirect beneficial owner, of 16,365,969 shares of Common Stock, 4,500,000 warrants to purchase Common Stock with an exercise price of $5.00, and 6,153,847 warrants to purchase Common Stock with an exercise price of $3.25 and (ii) Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F1 · ownership.nature: As previously disclosed on Amendment No. 8 to Statement of Beneficial Ownership on Schedule 13D, as filed by Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons") with the Securities and Exchange Commission ("Commission") on January 10, 2023, Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") entered into, as borrower, a secured convertible credit and security agreement (the "Credit Agreement") with Innoviva Sub on January 10, 2023. The Credit Agreement provides for a secured term loan facility in an aggregate amount of $30,000,000 (the "Loan") at an interest rate of 8.0% per annum, and has a maturity date of January 10, 2024.

F2 · ownership.nature: The Credit Agreement provides that if a Qualified Financing (as defined in the Credit Agreement) occurs, the outstanding principal amount of, and all accrued and unpaid interest on, the Loan shall be converted (the "Mandatory Conversion") into shares of the Issuer's common stock, $0.01 par value per share ("Common Stock") at a price per share equal to a 15.0% discount to the lowest price per share for Common Stock paid by investors in a Qualified Financing (which price paid by investors in a Qualified Financing may not be less than a 15.0% discount to the closing price of Common Stock immediately prior to the consummation of a Qualified Financing event).

F3 · ownership.nature: The Credit Agreement also requires the Issuer to file a registration statement (the "Registration Statement") for the resale of all securities issued to Innoviva Sub in connection with any conversion under the Credit Agreement. After the Registration Statement has been declared effective by the Commission, any outstanding Loan amount, including all accrued and unpaid interest thereon, may be converted at Innoviva Sub's option into shares of Common Stock at a price per share equal to the greater of book value or market value per share of Common Stock on the date immediately preceding the effective date of the Credit Agreement, which is $1.52 (as may be appropriately adjusted for any stock split, combination or similar act) (the "Optional Conversion"). As of January 10, 2023, pursuant to the Optional Conversion, the Loan is convertible into 19,736,843 shares of Common Stock of the Issuer, contingent upon the effectiveness of the Registration Statement.

F4 · ownership.nature: In addition, pursuant to previous transactions, (i) Innoviva Sub is the direct beneficial owner, and Innoviva is the indirect beneficial owner, of 16,365,969 shares of Common Stock, 4,500,000 warrants to purchase Common Stock with an exercise price of $5.00, and 6,153,847 warrants to purchase Common Stock with an exercise price of $3.25 and (ii) Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F5 · ownership.nature: In 2020, Innoviva designated Odysseas Kostas, M.D. and Sarah Schlesinger, M.D., two of the members of the board of directors of Innoviva, to serve on the board of directors of the Issuer. In 2021, Innoviva designated Jules Haimovitz, a member of the board of directors of Innoviva, to serve on the board of directors of the Issuer. As such, solely for purposes of Section 16 of the Exchange Act, the Reporting Persons may be deemed to be directors by deputization. For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the acquisition of any direct or indirect pecuniary interest in any shares of Common Stock, as a result of or in connection with the transactions reported on this Form 4.

SEC source: 0001104659-22-046459 · tm2212851-9_4seq1.xml · derivative · entry 1

Peterson Todd C. · CIK 0001791061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock · 33,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-22-046451 · tm2212851-6_4seq1.xml · derivative · entry 1

Kramer Robin · CIK 0001609222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock · 33,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each of the first, second, third and fourth annual anniversaries of the date of grant.

SEC source: 0001104659-22-046455 · tm2212851-8_4seq1.xml · derivative · entry 1

Patrick Todd · CIK 0001762285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock · 33,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-22-046453 · tm2212851-7_4seq1.xml · derivative · entry 1

Schlesinger Sarah J. · CIK 0001579873 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock · 33,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-22-046449 · tm2212851-5_4seq1.xml · derivative · entry 1

Odysseas Kostas D · CIK 0001483080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock · 33,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-22-046446 · tm2212851-4_4seq1.xml · derivative · entry 1

PATTI JOSEPH M · CIK 0001283215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock · 33,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-22-046442 · tm2212851-2_4seq1.xml · derivative · entry 1

Morris Duane Alfred · CIK 0001774205 · VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,000

Underlying: Common Stock · 41,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each of the first, second, third and fourth annual anniversaries of the date of grant.

SEC source: 0001104659-22-046444 · tm2212851-3_4seq1.xml · derivative · entry 1

Haimovitz Jules · CIK 0001340855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock · 33,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-22-046440 · tm2212851-1_4seq1.xml · derivative · entry 1

Varnum Brian · CIK 0001774252 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2032-04-13

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each of the first, second, third and fourth annual anniversaries of the date of grant.

SEC source: 0001567619-22-007861 · doc1.xml · derivative · entry 3

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 2,692,604

Underlying: Common Stock · 2,692,604 shares

Expires 2027-03-31

F1 · security: See Exhibit 99.1

F2 · security: See Exhibit 99.1

F1 · ownership.nature: See Exhibit 99.1

F2 · ownership.nature: See Exhibit 99.1

SEC source: 0001567619-22-007861 · doc1.xml · nonDerivative · entry 1

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 16,365,969

F1 · ownership.nature: See Exhibit 99.1

F2 · ownership.nature: See Exhibit 99.1

SEC source: 0001567619-22-003750 · doc1.xml · derivative · entry 3

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1,807,396

Underlying: Common Stock · 1,807,396 shares

Expires 2027-02-09

F1 · security: See Exhibit 99.1

F2 · security: See Exhibit 99.1

F1 · ownership.nature: See Exhibit 99.1

F2 · ownership.nature: See Exhibit 99.1

SEC source: 0001567619-22-003750 · doc1.xml · nonDerivative · entry 1

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,980,761

F1 · ownership.nature: See Exhibit 99.1

F2 · ownership.nature: See Exhibit 99.1

SEC source: 0001567619-21-019063 · doc1.xml · nonDerivative · entry 1

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 7,365,969

F1 · ownership.nature: On October 28, 2021, Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons"), entered into that certain Securities Purchase Agreement (the "Purchase Agreement") with Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") and another purchaser, pursuant to which, on October 29, 2021 Innoviva Sub acquired 1,212,122 newly issued shares of common stock, $0.01 par value per share, of the Issuer ("Common Stock"). In addition, pursuant to previous transactions, (i) Innoviva Sub is the direct beneficial owner, and Innoviva is the indirect beneficial owner, of an additional 6,153,847 shares of Common Stock and (ii) Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock.

F2 · ownership.nature: In 2020, Innoviva designated Odysseas Kostas, M.D. and in 2021, Innoviva designated Jules Haimovitz, two of the members of the board of directors of Innoviva, to serve on the board of directors of the Issuer. As such, solely for purposes of Section 16 of the Exchange Act, the Reporting Persons may be deemed to be directors by deputization. For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the acquisition of any direct or indirect pecuniary interest in any shares of Common Stock, as a result of or in connection with the transactions reported on this Form 4.

SEC source: 0001104659-21-099565 · tm2124032-2_4seq1.xml · derivative · entry 1

Varnum Brian · CIK 0001774252 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2031-08-02

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each of the first, second, third and fourth annual anniversaries of the date of grant.

SEC source: 0001104659-21-078789 · tm2119245-5_4seq1.xml · derivative · entry 1

Schlesinger Sarah J. · CIK 0001579873 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2031-06-07

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-21-078788 · tm2119245-4_4seq1.xml · derivative · entry 1

Peterson Todd C. · CIK 0001791061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2031-06-07

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-21-078787 · tm2119245-3_4seq1.xml · derivative · entry 1

PATTI JOSEPH M · CIK 0001283215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2031-06-07

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-21-078786 · tm2119245-2_4seq1.xml · derivative · entry 1

Kramer Robin · CIK 0001609222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2031-06-07

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-21-078785 · tm2119245-1_4seq1.xml · derivative · entry 1

Odysseas Kostas D · CIK 0001483080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2031-06-07

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-21-046749 · tm2112142-3_4seq1.xml · derivative · entry 1

Haimovitz Jules · CIK 0001340855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-04-01

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-21-042631 · tm2111079-4_4seq1.xml · derivative · entry 1

Varnum Brian · CIK 0001774252 · President and CDO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,000

Underlying: Common Stock · 112,000 shares

Expires 2031-03-25

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each of the first, second, third and fourth annual anniversaries of the date of grant.

SEC source: 0001104659-21-042630 · tm2111079-3_4seq1.xml · derivative · entry 1

Patrick Todd · CIK 0001762285 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,000

Underlying: Common Stock · 112,000 shares

Expires 2031-03-25

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each of the first, second, third and fourth annual anniversaries of the date of grant.

SEC source: 0001104659-21-042629 · tm2111079-2_4seq1.xml · derivative · entry 1

Morris Duane Alfred · CIK 0001774205 · VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2031-03-25

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each of the first, second, third and fourth annual anniversaries of the date of grant.

SEC source: 0001104659-21-042628 · tm2111079-1_4seq1.xml · derivative · entry 1

Martin Steven Robert · CIK 0001328822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,000

Underlying: Common Stock · 56,000 shares

Expires 2031-03-25

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each of the first, second, third and fourth annual anniversaries of the date of grant.

SEC source: 0001567619-21-006518 · doc1.xml · derivative · entry 3

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,153,847

Underlying: Common Stock · 4,285,935 shares

Expires 2026-03-17

F1 · security: See Ex. 99.1.

F2 · security: See Ex. 99.1.

F1 · ownership.nature: See Ex. 99.1.

F2 · ownership.nature: See Ex. 99.1.

SEC source: 0001567619-21-006518 · doc1.xml · nonDerivative · entry 1

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 6,153,847

F1 · security: See Ex. 99.1.

F2 · security: See Ex. 99.1.

F1 · ownership.nature: See Ex. 99.1.

F2 · ownership.nature: See Ex. 99.1.

SEC source: 0000899243-21-003595 · doc4.xml · derivative · entry 3

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,867,912

Underlying: Common Stock · 1,867,912 shares

Expires 2026-01-26

F1 · security: On January 26, 2021, Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons"), entered into that certain Securities Purchase Agreement (the "Purchase Agreement") with Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") and acquired 1,867,912 newly issued shares of common stock, $0.01 par value per share, of the Issuer ("Common Stock") and warrants ("Warrants") to purchase 1,867,912 shares of Common Stock, with an exercise price per share of $3.25. In addition, pursuant to transactions occurring in 2020, Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F2 · security: In 2020, Innoviva designated Odysseas Kostas, M.D. and Sarah Schlesinger, M.D., two of the members of the board of directors of Innoviva, to serve on the board of directors of the Issuer. As such, solely for purposes of Section 16 of the Exchange Act, the Reporting Persons may be deemed to be directors by deputization. For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the acquisition of any direct or indirect pecuniary interest in any shares of Common Stock, including any shares of Common Stock underlying the Warrants, as a result of or in connection with the transactions reported in this Form 4.

F1 · ownership.nature: On January 26, 2021, Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons"), entered into that certain Securities Purchase Agreement (the "Purchase Agreement") with Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") and acquired 1,867,912 newly issued shares of common stock, $0.01 par value per share, of the Issuer ("Common Stock") and warrants ("Warrants") to purchase 1,867,912 shares of Common Stock, with an exercise price per share of $3.25. In addition, pursuant to transactions occurring in 2020, Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F2 · ownership.nature: In 2020, Innoviva designated Odysseas Kostas, M.D. and Sarah Schlesinger, M.D., two of the members of the board of directors of Innoviva, to serve on the board of directors of the Issuer. As such, solely for purposes of Section 16 of the Exchange Act, the Reporting Persons may be deemed to be directors by deputization. For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the acquisition of any direct or indirect pecuniary interest in any shares of Common Stock, including any shares of Common Stock underlying the Warrants, as a result of or in connection with the transactions reported in this Form 4.

SEC source: 0000899243-21-003595 · doc4.xml · nonDerivative · entry 1

Innoviva, Inc. · CIK 0001080014 · Director · 10% owner

Innoviva Strategic Opportunities LLC · CIK 0001842875 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,867,912

F1 · security: On January 26, 2021, Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons"), entered into that certain Securities Purchase Agreement (the "Purchase Agreement") with Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") and acquired 1,867,912 newly issued shares of common stock, $0.01 par value per share, of the Issuer ("Common Stock") and warrants ("Warrants") to purchase 1,867,912 shares of Common Stock, with an exercise price per share of $3.25. In addition, pursuant to transactions occurring in 2020, Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F2 · security: In 2020, Innoviva designated Odysseas Kostas, M.D. and Sarah Schlesinger, M.D., two of the members of the board of directors of Innoviva, to serve on the board of directors of the Issuer. As such, solely for purposes of Section 16 of the Exchange Act, the Reporting Persons may be deemed to be directors by deputization. For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the acquisition of any direct or indirect pecuniary interest in any shares of Common Stock, including any shares of Common Stock underlying the Warrants, as a result of or in connection with the transactions reported in this Form 4.

F1 · ownership.nature: On January 26, 2021, Innoviva Strategic Opportunities LLC ("Innoviva Sub"), a Delaware limited liability company and a wholly-owned subsidiary of Innoviva, Inc. ("Innoviva" and, together with Innoviva Sub, the "Reporting Persons"), entered into that certain Securities Purchase Agreement (the "Purchase Agreement") with Armata Pharmaceuticals, Inc., a Washington corporation (the "Issuer") and acquired 1,867,912 newly issued shares of common stock, $0.01 par value per share, of the Issuer ("Common Stock") and warrants ("Warrants") to purchase 1,867,912 shares of Common Stock, with an exercise price per share of $3.25. In addition, pursuant to transactions occurring in 2020, Innoviva is the direct beneficial owner of 8,710,800 shares of Common Stock and 8,710,800 warrants to purchase Common Stock with an exercise price of $2.87.

F2 · ownership.nature: In 2020, Innoviva designated Odysseas Kostas, M.D. and Sarah Schlesinger, M.D., two of the members of the board of directors of Innoviva, to serve on the board of directors of the Issuer. As such, solely for purposes of Section 16 of the Exchange Act, the Reporting Persons may be deemed to be directors by deputization. For purposes of the exemption under Rule 16b-3 promulgated under the Exchange Act, the board of directors of the Issuer approved the acquisition of any direct or indirect pecuniary interest in any shares of Common Stock, including any shares of Common Stock underlying the Warrants, as a result of or in connection with the transactions reported in this Form 4.

SEC source: 0001104659-20-133644 · tm2038059-11_4seq1.xml · derivative · entry 1

Patrick Todd · CIK 0001762285 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133643 · tm2038059-10_4seq1.xml · derivative · entry 1

PATTI JOSEPH M · CIK 0001283215 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133642 · tm2038059-9_4seq1.xml · derivative · entry 1

Peterson Todd C. · CIK 0001791061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133641 · tm2038059-8_4seq1.xml · derivative · entry 1

Morris Duane Alfred · CIK 0001774205 · VP of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133639 · tm2038059-7_4seq1.xml · derivative · entry 1

Kramer Robin · CIK 0001609222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133638 · tm2038059-6_4seq1.xml · derivative · entry 1

Martin Steven Robert · CIK 0001328822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133637 · tm2038059-5_4seq1.xml · derivative · entry 1

Schlesinger Sarah J. · CIK 0001579873 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133633 · tm2038059-4_4seq1.xml · derivative · entry 1

Varnum Brian · CIK 0001774252 · President and CDO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133631 · tm2038059-3_4seq1.xml · derivative · entry 1

BASTIANI RICHARD · CIK 0001202053 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001104659-20-133628 · tm2038059-2_4seq1.xml · derivative · entry 1

Odysseas Kostas D · CIK 0001483080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2030-12-08

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each of the first and second annual anniversaries of the date of grant.

SEC source: 0001567619-20-007226 · doc1.xml · derivative · entry 2

Innoviva, Inc. · CIK 0001080014 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,710,800

Underlying: Common Stock · 7,717,661 shares

Expires 2025-03-27

F1 · balance_after: See Exhibit 99.1.

SEC source: 0001567619-20-007226 · doc1.xml · nonDerivative · entry 1

Innoviva, Inc. · CIK 0001080014 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,710,800

F1 · balance_after: See Exhibit 99.1.

SEC source: 0001104659-20-022126 · tm208184-4_form4.xml · derivative · entry 1

Odysseas Kostas D · CIK 0001483080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2030-02-12

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001104659-20-022097 · tm208184-3_form4.xml · derivative · entry 1

Schlesinger Sarah J. · CIK 0001579873 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2030-02-12

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001104659-19-054141 · tv531072_4.xml · derivative · entry 1

Peterson Todd C. · CIK 0001791061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2029-10-10

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028255 · tv522361_4.xml · derivative · entry 1

Varnum Brian · CIK 0001774252 · President and CDO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,724

Underlying: Common Stock · 298,724 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028261 · tv522368_4.xml · derivative · entry 1

Bear Richard · CIK 0001762242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,383

Underlying: Common Stock · 27,383 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to fifty percent (50%) of the underlying shares of common stock on each annual anniversary of the date of grant.

SEC source: 0001144204-19-028260 · tv522367_4.xml · derivative · entry 1

Martin Steven Robert · CIK 0001328822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,362

Underlying: Common Stock · 149,362 shares

Expires 2029-05-22

F1 · derivative.exercise_date: The stock option vests as to twenty-five percent (25%) of the underlying shares of common stock on each annual anniversary of the date of grant.