BCAB

SEC source: 0001209191-21-041210 · doc4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 933,849

F5 · price: The range of prices for the shares of Common Stock is from $43.25 to $44.19. 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 8

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 934,949

F4 · price: The range of prices for the shares of Common Stock is from $42.01 to $42.84. 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 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: 938,019

F3 · price: The range of prices for the shares of Common Stock is from $41.00 to $41.98. 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 6

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 940,673

F2 · price: The range of prices for the shares of Common Stock is from $40.00 to $40.95. 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 5

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 1,010,739

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 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Carolyn Short 2020 Irrevocable Gift Trust

Disclosed balance after: 258,727

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 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Capia IP, LLC

Disclosed balance after: 302,324

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 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Jay Short 2020 Irrevocable Gift Trust

Disclosed balance after: 258,727

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 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,441,508

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: 0001209191-21-041213 · doc4.xml · nonDerivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 387,963

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: 0001209191-21-041218 · doc4.xml · nonDerivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,421

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: 0001209191-21-041206 · doc4.xml · nonDerivative · entry 1

Himalaya Parent LLC · CIK 0001835559 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Distribution of the Issuer's shares of Common Stock by Himalaya Parent LLC to its members, for no consideration.

SEC source: 0001209191-22-034311 · doc4a.xml · nonDerivative · entry 1

Himalaya Parent LLC · CIK 0001835559 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50

F1 · kind: Distribution of the Issuer's shares of Common Stock by Himalaya Parent LLC to its members, for no consideration.

SEC source: 0000899243-20-034835 · doc4.xml · derivative · entry 5

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,790,472 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.

F4 · derivative.exercise_price: The shares of Series D Convertible Preferred Stock automatically converted into 1,790,472 shares of common stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split that became effective on December 2, 2020.

F4 · derivative.exercise_date: The shares of Series D Convertible Preferred Stock automatically converted into 1,790,472 shares of common stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split that became effective on December 2, 2020.

F4 · derivative.expiration_date: The shares of Series D Convertible Preferred Stock automatically converted into 1,790,472 shares of common stock upon the closing of the Issuer's initial public offering. These amounts reflect a 1-for-13 reverse stock split that became effective on December 2, 2020.

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: 0000899243-20-034835 · doc4.xml · nonDerivative · entry 3

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 333,333

F3 · 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. These securities were purchased in the Issuer's initial public offering.

SEC source: 0000899243-20-034835 · doc4.xml · nonDerivative · entry 2

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,055,557

F2 · 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. These securities were purchased in the Issuer's initial public offering.

SEC source: 0000899243-20-034835 · doc4.xml · nonDerivative · entry 1

Levy Guy · CIK 0001812305 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,790,472

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 · 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: 0001567619-20-021488 · doc1.xml · derivative · entry 3

Cormorant Asset Management, LP · CIK 0001583977 · Former 10% Owner

Chen Bihua · CIK 0001599214 · Director · 10% owner

Cormorant Global Healthcare Master Fund, LP · CIK 0001618442 · 10% owner

Cormorant Private Healthcare Fund II, LP · CIK 0001747677 · 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: 0

Underlying: Common Stock · 1,492,060 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: Shares of Series D Convertible Preferred Stock ("Series D Preferred Stock") were convertible at any time at the holder's election, without payment of additional consideration, and had no expiration date but converted automatically upon the closing of the Issuer's initial public offering.

F1 · price: Shares of Series D Convertible Preferred Stock ("Series D Preferred Stock") were convertible at any time at the holder's election, without payment of additional consideration, and had no expiration date but converted automatically upon the closing of the Issuer's initial public offering.

F1 · derivative.exercise_date: Shares of Series D Convertible Preferred Stock ("Series D Preferred Stock") were convertible at any time at the holder's election, without payment of additional consideration, and had no expiration date but converted automatically upon the closing of the Issuer's initial public offering.

F1 · derivative.expiration_date: Shares of Series D Convertible Preferred Stock ("Series D Preferred Stock") were convertible at any time at the holder's election, without payment of additional consideration, and had no expiration date but converted automatically upon the closing of the Issuer's initial public offering.

F2 · ownership.nature: Shares reported herein are held by Cormorant Global Healthcare Master Fund, LP (the "Master Fund"), Cormorant Private Healthcare Fund II, LP (the "Fund II") and a managed account (the "Account"). Cormorant Asset Management, LP ("Cormorant") serves as the investment manager of the Master Fund, Fund II and the Account. Bihua Chen serves as manager of the general partner of Cormorant. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or her pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934 or for any other purpose.

F3 · ownership.nature: The Series D Preferred Stock represented, on an as-converted basis (i) 310,945 shares of Common Stock held by the Master Fund and (ii) 1,181,115 shares of Common Stock held by Fund II.

SEC source: 0001567619-20-021488 · doc1.xml · nonDerivative · entry 2

Cormorant Asset Management, LP · CIK 0001583977 · Former 10% Owner

Chen Bihua · CIK 0001599214 · Director · 10% owner

Cormorant Global Healthcare Master Fund, LP · CIK 0001618442 · 10% owner

Cormorant Private Healthcare Fund II, LP · CIK 0001747677 · 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: 2,292,060

F2 · ownership.nature: Shares reported herein are held by Cormorant Global Healthcare Master Fund, LP (the "Master Fund"), Cormorant Private Healthcare Fund II, LP (the "Fund II") and a managed account (the "Account"). Cormorant Asset Management, LP ("Cormorant") serves as the investment manager of the Master Fund, Fund II and the Account. Bihua Chen serves as manager of the general partner of Cormorant. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or her pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934 or for any other purpose.

F4 · ownership.nature: Shares reported herein as purchased on December 18, 2020 represent (i) 765,120 shares purchased by the Master Fund, and (ii) 34,880 shares purchased by the Account.

SEC source: 0001567619-20-021488 · doc1.xml · nonDerivative · entry 1

Cormorant Asset Management, LP · CIK 0001583977 · Former 10% Owner

Chen Bihua · CIK 0001599214 · Director · 10% owner

Cormorant Global Healthcare Master Fund, LP · CIK 0001618442 · 10% owner

Cormorant Private Healthcare Fund II, LP · CIK 0001747677 · 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: 1,492,060

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: Shares of Series D Convertible Preferred Stock ("Series D Preferred Stock") were convertible at any time at the holder's election, without payment of additional consideration, and had no expiration date but converted automatically upon the closing of the Issuer's initial public offering.

F2 · ownership.nature: Shares reported herein are held by Cormorant Global Healthcare Master Fund, LP (the "Master Fund"), Cormorant Private Healthcare Fund II, LP (the "Fund II") and a managed account (the "Account"). Cormorant Asset Management, LP ("Cormorant") serves as the investment manager of the Master Fund, Fund II and the Account. Bihua Chen serves as manager of the general partner of Cormorant. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or her pecuniary interest therein, and the filing of this Form 4 shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any such shares for purposes of Section 16(a) of the Securities Exchange Act of 1934 or for any other purpose.

F3 · ownership.nature: The Series D Preferred Stock represented, on an as-converted basis (i) 310,945 shares of Common Stock held by the Master Fund and (ii) 1,181,115 shares of Common Stock held by Fund II.

SEC source: 0000078003-20-000080 · primary_doc.xml · derivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote (2)

Disclosed balance after: 0

Underlying: Common Stock · 2,238,090 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 D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F1 · price: Each share of Series D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F2 · ownership.nature: Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.

SEC source: 0000078003-20-000080 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote(2)

Disclosed balance after: 2,238,090

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 D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F2 · ownership.nature: Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.

SEC source: 0000899243-20-034348 · doc4.xml · derivative · entry 1

Sievers Eric · CIK 0001835116 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,471

Underlying: Common Stock · 77,471 shares

Expires 2030-12-15

F1 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on December 15, 2021, the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting dates.

SEC source: 0000899243-20-034352 · doc4.xml · derivative · entry 1

Short Carolyn Anderson · CIK 0001834843 · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,747

Underlying: Common Stock · 7,747 shares

Expires 2030-12-15

F1 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on December 15, 2021, the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting dates.

SEC source: 0000899243-20-034353 · doc4.xml · derivative · entry 1

WALDRON RICHARD A · CIK 0001226961 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,988

Underlying: Common Stock · 30,988 shares

Expires 2030-12-15

F1 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on December 15, 2021, the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting dates.

SEC source: 0000899243-20-034346 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,988

Underlying: Common Stock · 30,988 shares

Expires 2030-12-15

F1 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on December 15, 2021, the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting dates.

SEC source: 0000899243-20-034345 · doc4.xml · derivative · entry 1

Smith Scott Andrew · CIK 0001614975 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,943

Underlying: Common Stock · 154,943 shares

Expires 2030-12-15

F1 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on December 15, 2021, the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting dates.

SEC source: 0000899243-20-034338 · doc4.xml · derivative · entry 1

Vasquez Christian · CIK 0001835732 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,296

Underlying: Common Stock · 9,296 shares

Expires 2030-12-15

F1 · derivative.exercise_date: The option vests over a period of four years, with 25% of the shares underlying the option vesting on December 15, 2021, the first anniversary of the date of grant, and the remainder vesting in 36 substantially equal monthly installments thereafter, subject to the reporting person's continued employment through the applicable vesting dates.