BNGO

SEC source: 0001209191-18-053847 · doc4.xml · derivative · entry 3

BARKER DAVID L · CIK 0001189124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,516

Underlying: Common Stock · 10,516 shares

Expires 2028-09-30

F3 · derivative.exercise_date: The shares subject to the option shall vest monthly over 36 months beginning on the one-month anniversary of October 1, 2018 (the "Vesting Commencement Date") such that the option shall be fully vested and exercisable on the three year anniversary of the Vesting Commencement Date.

SEC source: 0001209191-18-053840 · doc4.xml · derivative · entry 1

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,516

Underlying: Common Stock · 10,516 shares

Expires 2028-09-30

F1 · derivative.exercise_date: The shares subject to the option shall vest monthly over 36 months beginning on the one-month anniversary of October 1, 2018 (the "Vesting Commencement Date") such that the option shall be fully vested and exercisable on the three year anniversary of the Vesting Commencement Date.

SEC source: 0001209191-18-053835 · doc4.xml · derivative · entry 1

WANG JUNFENG · CIK 0001748417 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,516

Underlying: Common Stock · 10,516 shares

Expires 2028-09-30

F1 · derivative.exercise_date: The shares subject to the option shall vest monthly over 36 months beginning on the one-month anniversary of October 1, 2018 (the "Vesting Commencement Date") such that the option shall be fully vested and exercisable on the three year anniversary of the Vesting Commencement Date.

SEC source: 0001209191-18-053828 · doc4.xml · derivative · entry 1

TWOMEY CHRISTOPHER J · CIK 0001238935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,516

Underlying: Common Stock · 10,516 shares

Expires 2028-09-30

F1 · derivative.exercise_date: The shares subject to the option shall vest monthly over 36 months beginning on the one-month anniversary of October 1, 2018 (the "Vesting Commencement Date") such that the option shall be fully vested and exercisable on the three year anniversary of the Vesting Commencement Date.

SEC source: 0001209191-18-053826 · doc4.xml · derivative · entry 1

Luderer Albert · CIK 0001746822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,516

Underlying: Common Stock · 10,516 shares

Expires 2028-09-30

F1 · derivative.exercise_date: The shares subject to the option shall vest monthly over 36 months beginning on the one-month anniversary of October 1, 2018 (the "Vesting Commencement Date") such that the option shall be fully vested and exercisable on the three year anniversary of the Vesting Commencement Date.

SEC source: 0001209191-18-053817 · doc4.xml · derivative · entry 1

Ward Michael James · CIK 0001569975 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,590

Underlying: Common Stock · 59,590 shares

Expires 2028-09-30

F1 · derivative.exercise_date: 25% of the shares subject to the stock option vest and become exercisable on October 1, 2018, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-053807 · doc4.xml · derivative · entry 1

Holmlin R. Erik · CIK 0001579988 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,540

Underlying: Common Stock · 256,540 shares

Expires 2028-09-30

F1 · derivative.exercise_date: 25% of the shares subject to the stock option vest and become exercisable on October 1, 2018, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-053806 · doc4.xml · derivative · entry 1

Cao Han PHD · CIK 0001745596 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,230

Underlying: Common Stock · 23,230 shares

Expires 2028-09-30

F1 · derivative.exercise_date: 25% of the shares subject to the stock option vest and become exercisable on October 1, 2018, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-053805 · doc4.xml · derivative · entry 1

Cai Darren · CIK 0001746824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,516

Underlying: Common Stock · 10,516 shares

Expires 2028-09-30

F1 · derivative.exercise_date: The shares subject to the option shall vest monthly over 36 months beginning on the one-month anniversary of October 1, 2018 (the "Vesting Commencement Date") such that the option shall be fully vested and exercisable on the three year anniversary of the Vesting Commencement Date.

SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 8

DP VIII Associates, L.P. · CIK 0001465143 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,505 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F3 · reported_value: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F3 · derivative.exercise_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F3 · derivative.expiration_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F3 · derivative.underlying_shares: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 7

DP VIII Associates, L.P. · CIK 0001465143 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 638 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 6

DP VIII Associates, L.P. · CIK 0001465143 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,109 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 5

DP VIII Associates, L.P. · CIK 0001465143 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 941 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 4

DP VIII Associates, L.P. · CIK 0001465143 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 518 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000524 · edgar.xml · derivative · entry 3

DP VIII Associates, L.P. · CIK 0001465143 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,180 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000524 · edgar.xml · nonDerivative · entry 2

DP VIII Associates, L.P. · CIK 0001465143 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,891

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

F3 · price: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $11,048. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000524 · edgar.xml · nonDerivative · entry 1

DP VIII Associates, L.P. · CIK 0001465143 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,386

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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 10

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2023-09-20

F4 · price: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years.

F4 · derivative.exercise_date: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years.

F4 · derivative.expiration_date: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years.

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 9

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 337,694 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F3 · reported_value: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F3 · derivative.exercise_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F3 · derivative.expiration_date: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F3 · derivative.underlying_shares: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 8

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,050 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 7

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 149,441 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 6

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 126,794 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 5

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 69,784 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · derivative · entry 4

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 159,115 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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.exercise_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F1 · derivative.expiration_date: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 3

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 943,878

F4 · price: The Common Stock and Warrants to Purchase Common Stock were issued and sold as units at a purchase price of $6.125 per unit. Each unit consists of one share of Common Stock and one Warrant to purchase one share of Common Stock. The units will separate, and the underlying Common Stock and Warrants will begin trading separately, no later than 30 days following the date of the IPO prospectus, at which time the Warrants will become exercisable for a period of five years.

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 2

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 929,878

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

F3 · price: The principal amount of the Convertible Promissory Note held by the designated Reporting Person was $1,488,952. Upon closing of the IPO, all unpaid principal and accrued interest outstanding on the Convertible Promissory Note (the "Conversion Amount") automatically converted into the number of shares of Common Stock equal to the Conversion Amount as of the date immediately prior to the closing date divided by 75% of the IPO price per share of $6.125 per share.

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-18-000522 · edgar.xml · nonDerivative · entry 1

Domain Partners VIII, L.P. · CIK 0001465144 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 591,184

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: All outstanding shares of Preferred Stock automatically converted into shares of Common Stock immediately upon the closing of the Issuer's initial public offering (the "IPO"), for no additional consideration. The Preferred Stock had no expiration date

F2 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Partner Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0001209191-18-048559 · doc4.xml · derivative · entry 2

Holmlin R. Erik · CIK 0001579988 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,630

Underlying: Common Stock · 1,630 shares

Expires 2023-08-21

F1 · price: Units purchased in the Issuer's Initial Public Offering for $6.125 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock.

F2 · derivative.exercise_date: 9/21/18 or such earlier date as Roth Capital Partners LLC, as representative of the underwriters in the Company's Initial Public Offering, shall determine.

SEC source: 0001209191-18-048559 · doc4.xml · nonDerivative · entry 1

Holmlin R. Erik · CIK 0001579988 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,630

F1 · price: Units purchased in the Issuer's Initial Public Offering for $6.125 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock.

SEC source: 0001209191-18-048558 · doc4.xml · derivative · entry 2

Borodkin Mark · CIK 0001745566 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 815

Underlying: Common Stock · 815 shares

Expires 2023-08-21

F1 · price: Units purchased in the Issuer's Initial Public Offering for $6.125 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock.

F2 · derivative.exercise_date: 9/21/18 or such earlier date as Roth Capital Partners LLC, as representative of the underwriters in the Company's Initial Public Offering, shall determine.

SEC source: 0001209191-18-048558 · doc4.xml · nonDerivative · entry 1

Borodkin Mark · CIK 0001745566 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 815

F1 · price: Units purchased in the Issuer's Initial Public Offering for $6.125 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock.

SEC source: 0001209191-18-048557 · doc4.xml · derivative · entry 8

LC Fund VI, L.P. · CIK 0001598248 · 10% owner

LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner

Rosy Shine Ltd · CIK 0001747198 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 637,984 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F4 · ownership.nature: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is ultimately controlled and managed by Legend Capital.

SEC source: 0001209191-18-048557 · doc4.xml · derivative · entry 7

LC Fund VI, L.P. · CIK 0001598248 · 10% owner

LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner

Rosy Shine Ltd · CIK 0001747198 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 150,550 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F3 · ownership.nature: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company.

SEC source: 0001209191-18-048557 · doc4.xml · derivative · entry 6

LC Fund VI, L.P. · CIK 0001598248 · 10% owner

LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner

Rosy Shine Ltd · CIK 0001747198 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 199,653 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F2 · ownership.nature: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company.

SEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 5

LC Fund VI, L.P. · CIK 0001598248 · 10% owner

LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner

Rosy Shine Ltd · CIK 0001747198 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rosy Shine Limited

Disclosed balance after: 2,906,915

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.

F6 · price: Represents the conversion of an outstanding convertible promissory note in the principal amount of $5,000,000, plus $209,315.07 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.

F7 · ownership.nature: Rosy Shine Limited is ultimately controlled and managed by Legend Holdings, a limited liability Chinese joint stock company listed on a Stock Exchange of Hong Kong (3396), which is controlled by its board of directors. The board of directors of Legend Holdings has sole voting and investment power over the shares held by Rosy Shine Limited. None of the members of the board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares.

SEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 4

LC Fund VI, L.P. · CIK 0001598248 · 10% owner

LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner

Rosy Shine Ltd · CIK 0001747198 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LC Healthcare Fund I, L.P.

Disclosed balance after: 1,772,915

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.

F5 · price: Represents the conversion of an outstanding convertible promissory note in the principal amount of $3,460,000, plus $144,846.03 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.

SEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 3

LC Fund VI, L.P. · CIK 0001598248 · 10% owner

LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner

Rosy Shine Ltd · CIK 0001747198 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 988,187

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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F4 · ownership.nature: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is ultimately controlled and managed by Legend Capital.

SEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 2

LC Fund VI, L.P. · CIK 0001598248 · 10% owner

LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner

Rosy Shine Ltd · CIK 0001747198 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 350,203

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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F3 · ownership.nature: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company.

SEC source: 0001209191-18-048557 · doc4.xml · nonDerivative · entry 1

LC Fund VI, L.P. · CIK 0001598248 · 10% owner

LC Parallel Fund VI, L.P. · CIK 0001747203 · 10% owner

Rosy Shine Ltd · CIK 0001747198 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 199,653

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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F2 · ownership.nature: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company.

SEC source: 0001209191-18-048556 · doc4.xml · derivative · entry 8

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 637,984 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F4 · ownership.nature: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is an Executive Director of Legend Capital and disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048556 · doc4.xml · derivative · entry 7

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 150,550 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F3 · ownership.nature: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. The Reporting Person is an Executive Director of Legend Capital. The Reporting Person disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048556 · doc4.xml · derivative · entry 6

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 199,653 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F2 · ownership.nature: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. The Reporting Person is an Executive Director of Legend Capital. The Reporting Person disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048556 · doc4.xml · nonDerivative · entry 5

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Rosy Shine Limited

Disclosed balance after: 2,906,915

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.

F7 · price: Represents the conversion of an outstanding convertible promissory note in the principal amount of $5,000,000, plus $209,315.07 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.

F8 · ownership.nature: Rosy Shine Limited is ultimately controlled and managed by Legend Holdings, a limited liability Chinese joint stock company listed on a Stock Exchange of Hong Kong (3396), which is controlled by its board of directors. The board of directors of Legend Holdings has sole voting and investment power over the shares held by Rosy Shine Limited. None of the members of the board of directors has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares.

SEC source: 0001209191-18-048556 · doc4.xml · nonDerivative · entry 4

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LC Healthcare Fund I, L.P.

Disclosed balance after: 1,772,915

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.

F5 · price: Represents the conversion of an outstanding convertible promissory note in the principal amount of $3,460,000, plus $144,846.03 accrued interest, into shares of the Issuer's common stock upon closing of the Issuer's initial public offering at a conversion price of $6.125 per share.

F6 · ownership.nature: Healthcare Fund is controlled and managed by Legend Capital, a limited liability Chinese company. The Reporting Person is an Executive Director of Legend Capital. The Reporting Person disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048556 · doc4.xml · nonDerivative · entry 3

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 988,187

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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F4 · ownership.nature: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is an Executive Director of Legend Capital and disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048556 · doc4.xml · nonDerivative · entry 2

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 350,203

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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F3 · ownership.nature: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. The Reporting Person is an Executive Director of Legend Capital. The Reporting Person disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048556 · doc4.xml · nonDerivative · entry 1

Zhou Quan · CIK 0001747536 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 199,653

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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F2 · ownership.nature: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. The Reporting Person is an Executive Director of Legend Capital. The Reporting Person disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048555 · doc4.xml · derivative · entry 8

WANG JUNFENG · CIK 0001748417 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 637,984 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F4 · ownership.nature: The shares are held as follows: 91,700 shares held by LC Fund, 540,631 shares held by Parallel Fund and 5,653 shares held by LC Healthcare Fund I, L.P. ("Healthcare Fund"). LC Fund, Parallel Fund and Healthcare Fund are controlled and managed by Legend Capital. The Reporting Person is a Managing Director of Legend Capital and disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048555 · doc4.xml · derivative · entry 7

WANG JUNFENG · CIK 0001748417 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 150,550 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F3 · ownership.nature: The shares are held as follows: 143,533 shares held by LC Fund and 7,017 shares held by Parallel Fund. LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company. The Reporting Person is a Managing Director of Legend Capital. The Reporting Person disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-18-048555 · doc4.xml · derivative · entry 6

WANG JUNFENG · CIK 0001748417 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with LC Fund VI, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 199,653 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: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · shares: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.exercise_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F1 · derivative.expiration_date: Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock on a 1-for-42.8 basis. The shares have no expiration date.

F2 · ownership.nature: The shares are held as follows: 191,667 shares held by LC Fund VI, L.P. ("LC Fund") and 7,986 shares held by LC Parallel Fund VI, L.P. ("Parallel Fund") LC Fund and Parallel Fund are controlled and managed by Legend Capital, a limited liability Chinese company ("Legend Capital"). The Reporting Person is a Managing Director of Legend Capital and disclaims beneficial ownership with respect to these securities, except to the extent of his pecuniary interest therein.