BCAB

SEC source: 0001209191-21-067221 · doc4.xml · nonDerivative · entry 2

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,296

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F3 · price: The range of prices for the shares of Common Stock is from $23.82 to $24.79. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067217 · doc4.xml · nonDerivative · entry 3

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,400,890

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F4 · price: The range of prices for the shares of Common Stock is from $24.85 to $25.70. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067217 · doc4.xml · nonDerivative · entry 2

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,409,972

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F3 · price: The range of prices for the shares of Common Stock is from $23.82 to $24.79. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067219 · doc4.xml · nonDerivative · entry 3

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,611

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F4 · price: The range of prices for the shares of Common Stock is from $24.85 to $25.70. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067219 · doc4.xml · nonDerivative · entry 2

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,860

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F3 · price: The range of prices for the shares of Common Stock is from $23.82 to $24.79. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067220 · doc4.xml · nonDerivative · entry 3

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,630

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F4 · price: The range of prices for the shares of Common Stock is from $24.85 to $25.70. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067220 · doc4.xml · nonDerivative · entry 2

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,031

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F3 · price: The range of prices for the shares of Common Stock is from $23.82 to $24.79. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067218 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,056

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $25.83 to $26.75. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067221 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,965

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $25.83 to $26.75. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067217 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,425,833

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $25.83 to $26.75. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067219 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 351,295

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $25.83 to $26.75. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-067220 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,730

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $25.83 to $26.75. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-062747 · doc4.xml · nonDerivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,459

F1 · kind: Sale effected under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.

SEC source: 0001209191-21-059975 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,174

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $30.20 to $30.47. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-059977 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 351,725

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $30.10 to $30.41. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0000899243-21-038500 · doc4.xml · nonDerivative · entry 1

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,115,817

F5 · kind: The shares of common stock were purchased from the issuer in a transaction exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended, pursuant to Rule 16b-3(d) promulgated thereunder.

F1 · ownership.nature: The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-21-056574 · doc4.xml · nonDerivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,909

F1 · kind: Sale effected under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.

SEC source: 0001209191-21-053993 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,766

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $39.50 to $40.29. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-053994 · doc4.xml · nonDerivative · entry 2

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,719

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F3 · price: The range of prices for the shares of Common Stock is from $40.54 to $41.08. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-053994 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,568

F1 · kind: Represents shares of the Issuer's common stock sold by the reporting person to cover taxes due upon the release and settlement of the vested RSUs.

F2 · price: The range of prices for the shares of Common Stock is from $39.50 to $40.29. The reporting person undertakes that he will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0000899243-21-034323 · doc4.xml · nonDerivative · entry 3

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 847,917

F3 · ownership.nature: 3. The securities reported in this row are held by Soleus Capital Master Fund, L.P. ("Master Fund"). Soleus Capital, LLC is the sole general partner of Master Fund and thus holds voting and dispositive power over the shares held by Master Fund. Soleus Capital Group, LLC is the sole managing member of Soleus Capital, LLC. Mr. Guy Levy is the sole managing member of Soleus Capital Group, LLC. Each of Soleus Capital Group, LLC, Soleus Capital, LLC and Mr. Guy Levy disclaims beneficial ownership of these securities held by Master Fund and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-21-034323 · doc4.xml · nonDerivative · entry 2

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 217,358

F2 · ownership.nature: The securities reported in this row are held by Soleus BA SPV, LLC ("Soleus SPV "). Soleus GP is the sole managing member of Soleus SPV. Soleus GP holds voting and dispositive power over the shares held by Soleus SPV. Soleus PE GP is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Soleus GP, Soleus PE GP and Mr. Guy Levy disclaims beneficial ownership of these securities held by Soleus SPV and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-21-034323 · doc4.xml · nonDerivative · entry 1

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,167,378

F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-21-053513 · doc4.xml · derivative · entry 7

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 0

Underlying: Common Stock · 7,747 shares

Expires 2030-12-15

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 · security: The option grant was reported by the Reporting Person's spouse on her Form 4 filed with the SEC on December 17, 2020.

F3 · derivative.exercise_date: The Option is fully vested.

SEC source: 0001209191-21-053513 · doc4.xml · nonDerivative · entry 2

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 793,547

F1 · kind: Shares sold by the Reporting Person's spouse in payment of the aggregate option exercise price and withholding tax liability incurred upon the above-reported exercise of Option.

F1 · shares: Shares sold by the Reporting Person's spouse in payment of the aggregate option exercise price and withholding tax liability incurred upon the above-reported exercise of Option.

SEC source: 0001209191-21-053513 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 798,080

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

SEC source: 0001209191-21-052295 · doc4.xml · nonDerivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,359

F1 · kind: Sale effected under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.

SEC source: 0001209191-21-047324 · doc4.xml · nonDerivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,809

F1 · kind: Sale effected under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.

SEC source: 0001209191-22-034323 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,309,480

F1 · kind: These shares were received by the Reporting Person as part of a pro rata distribution-in-kind of Common Stock of the Issuer to the limited partners of an investment fund.

SEC source: 0001209191-21-042562 · doc4.xml · nonDerivative · entry 4

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 790,333

F2 · shares: Represents shares of the Issuer's common stock sold by the reporting person's spouse to cover taxes due upon the release and settlement of her 138,461 RSUs.

F5 · price: The range of prices for the shares of Common Stock is from $39.83 to $40.09. The reporting person's spouse undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-042562 · doc4.xml · nonDerivative · entry 3

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 792,033

F2 · shares: Represents shares of the Issuer's common stock sold by the reporting person's spouse to cover taxes due upon the release and settlement of her 138,461 RSUs.

F4 · price: The range of prices for the shares of Common Stock is from $38.83 to $39.82. The reporting person's spouse undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-042562 · doc4.xml · nonDerivative · entry 2

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 827,758

F2 · shares: Represents shares of the Issuer's common stock sold by the reporting person's spouse to cover taxes due upon the release and settlement of her 138,461 RSUs.

F3 · price: The range of prices for the shares of Common Stock is from $37.83 to $38.82. The reporting person's spouse undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0000899243-21-024991 · doc4.xml · nonDerivative · entry 2

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 270,553

F2 · ownership.nature: The securities reported in this row are held by Soleus BA SPV, LLC ("Soleus SPV "). Soleus GP is the sole managing member of Soleus SPV. Soleus GP holds voting and dispositive power over the shares held by Soleus SPV. Soleus PE GP is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Soleus GP, Soleus PE GP and Mr. Guy Levy disclaims beneficial ownership of these securities held by Soleus SPV and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-21-024991 · doc4.xml · nonDerivative · entry 1

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,453,252

F1 · ownership.nature: The securities reported in this row are owned directly by Soleus Private Equity Fund I, L.P. ("Soleus PE"). Soleus Private Equity GP I, LLC ("Soleus GP") is the sole general partner of Soleus PE. Soleus GP holds voting and dispositive power over the shares held by Soleus PE. Soleus PE GP I, LLC ("Soleus PE GP") is the sole manager of Soleus GP. Mr. Guy Levy is the sole managing member of Soleus PE GP. Each of Mr. Guy Levy, Soleus PE GP and Soleus GP disclaims beneficial ownership of these securities held by Soleus PE and this report shall not be deemed an admission that they are the beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-21-042562 · doc4.xml · nonDerivative · entry 1

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 845,333

F1 · price: The range of prices for the shares of Common Stock is from $39.00 to $39.62. The reporting person's spouse undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-041210 · doc4.xml · nonDerivative · entry 15

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 864,602

F10 · price: The range of prices for the shares of Common Stock is from $40.00 to $40.25. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-041210 · doc4.xml · nonDerivative · entry 14

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 868,670

F9 · price: The range of prices for the shares of Common Stock is from $39.00 to $39.83. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-041216 · doc4.xml · derivative · entry 2

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,307

Underlying: Common Stock · 12,307 shares

Expires 2031-06-15

F2 · derivative.exercise_date: 100% of the total number of shares subject to the Option shall vest and become exercisable on the earlier of (a) June 15, 2022 or (b) the next annual meeting of stockholders, subject to the Optionee continuing to provide services to the Company through the vesting date; provided however, that if the Optionee ceases to provide services to the Company prior to the vesting date for any reason other than Cause (as defined in the Plan), such Option will vest on a pro-rata basis determined by multiplying the total number of shares by a fraction, the numerator of which is the number of whole months that the Optionee provided services to the Company since the date that the award was granted, and the denominator of which is 12 months.

SEC source: 0001209191-21-041226 · doc4.xml · derivative · entry 1

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,307

Underlying: Common Stock · 12,307 shares

Expires 2031-06-15

F1 · derivative.exercise_date: 100% of the total number of shares subject to the Option shall vest and become exercisable on the earlier of (a) June 15, 2022 or (b) the next annual meeting of stockholders, subject to the Optionee continuing to provide services to the Company through the vesting date; provided however, that if the Optionee ceases to provide services to the Company prior to the vesting date for any reason other than Cause (as defined in the Plan), such Option will vest on a pro-rata basis determined by multiplying the total number of shares by a fraction, the numerator of which is the number of whole months that the Optionee provided services to the Company since the date that the award was granted, and the denominator of which is 12 months.

SEC source: 0001209191-21-041224 · doc4.xml · derivative · entry 1

GRAY MARY ANN · CIK 0001261974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,307

Underlying: Common Stock · 12,307 shares

Expires 2031-06-15

F1 · derivative.exercise_date: 100% of the total number of shares subject to the Option shall vest and become exercisable on the earlier of (a) June 15, 2022 or (b) the next annual meeting of stockholders, subject to the Optionee continuing to provide services to the Company through the vesting date; provided however, that if the Optionee ceases to provide services to the Company prior to the vesting date for any reason other than Cause (as defined in the Plan), such Option will vest on a pro-rata basis determined by multiplying the total number of shares by a fraction, the numerator of which is the number of whole months that the Optionee provided services to the Company since the date that the award was granted, and the denominator of which is 12 months.

SEC source: 0001209191-21-041210 · doc4.xml · nonDerivative · entry 13

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 900,019

SEC source: 0001209191-21-041210 · doc4.xml · nonDerivative · entry 12

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 900,021

F8 · price: The range of prices for the shares of Common Stock is from $40.00 to $40.99. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-041210 · doc4.xml · nonDerivative · entry 11

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 912,369

F7 · price: The range of prices for the shares of Common Stock is from $39.00 to $39.97. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

SEC source: 0001209191-21-041227 · doc4.xml · derivative · entry 1

Moran Susan · CIK 0001835225 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,307

Underlying: Common Stock · 12,307 shares

Expires 2031-06-15

F1 · derivative.exercise_date: 100% of the total number of shares subject to the Option shall vest and become exercisable on the earlier of (a) June 15, 2022 or (b) the next annual meeting of stockholders, subject to the Optionee continuing to provide services to the Company through the vesting date; provided however, that if the Optionee ceases to provide services to the Company prior to the vesting date for any reason other than Cause (as defined in the Plan), such Option will vest on a pro-rata basis determined by multiplying the total number of shares by a fraction, the numerator of which is the number of whole months that the Optionee provided services to the Company since the date that the award was granted, and the denominator of which is 12 months.

SEC source: 0001209191-21-041574 · doc4.xml · derivative · entry 1

MCBRINN SYLVIA · CIK 0001284666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,615

Underlying: Common Stock · 24,615 shares

Expires 2031-06-15

F1 · derivative.exercise_date: 1/3 of the total number of shares subject to the Option shall vest and become exercisable on the earlier of (a) June 15, 2022 or (b) the next annual meeting of stockholders, and 1/36th of the total number of shares shall vest monthly thereafter, subject to the Optionee continuing to provide services to the Company through the vesting date.

SEC source: 0001209191-22-038182 · doc4a.xml · derivative · entry 1

MCBRINN SYLVIA · CIK 0001284666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,920

Underlying: Common Stock · 18,920 shares

Expires 2031-06-15

F1 · shares: On June 17, 2021, the reporting person filed a Form 4 in respect of an option covering 24,615 shares. Such option was granted on June 15, 2021 pursuant to the Company's non-employee director compensation policy. The Company subsequently determined that 5,695 of the shares comprising such award were null and void upon grant as a result of the $750,000 annual limit for non-employee director compensation under its 2020 Equity Incentive Plan.

F2 · derivative.exercise_date: 1/3 of the total number of shares subject to the option shall vest and become exercisable on the earlier of (a) June 15, 2022 or (b) the next annual meeting of stockholders, and 1/36th of the total number of shares shall vest monthly thereafter, subject to the reporting person continuing to provide services to the Company through the vesting date.

SEC source: 0001209191-21-041211 · doc4.xml · nonDerivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,649

F1 · kind: Distribution of the Issuer's shares of Common Stock by Himalaya Parent LLC, of which the reporting person is a member, for no consideration.

SEC source: 0001209191-21-041216 · doc4.xml · nonDerivative · entry 1

STEINMAN LAWRENCE · CIK 0001132679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,259

F1 · kind: Distribution of the Issuer's shares of Common Stock by Himalaya Parent LLC, of which the reporting person is a member, for no consideration.

SEC source: 0001209191-21-041221 · doc4.xml · nonDerivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,591

F1 · kind: Distribution of the Issuer's shares of Common Stock by Himalaya Parent LLC, of which the reporting person is a member, for no consideration.

SEC source: 0001209191-21-041210 · doc4.xml · nonDerivative · entry 10

SHORT JAY M PHD · CIK 0001205375 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 932,042

F6 · price: The range of prices for the shares of Common Stock is from $44.26 to $45.12. The reporting person undertakes that she will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.