CHRS

SEC source: 0000899243-16-036028 · doc4.xml · nonDerivative · entry 2

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,325

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $27.75 to $28.70, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-16-036028 · doc4.xml · nonDerivative · entry 1

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,225

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

SEC source: 0000899243-16-035219 · doc4.xml · nonDerivative · entry 2

Wahlstrom Mats · CIK 0001459154 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F3 · price: The transaction was executed in multiple trades in prices ranging from $27.50 to $27.65, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: The shares are held by Leonard Capital, LLC. Mr. Wahlstrom disclaims beneficial ownership of the shares held by Leonard Capital, LLC except to the extent of his pecuniary interest therein.

SEC source: 0000899243-16-035219 · doc4.xml · nonDerivative · entry 1

Wahlstrom Mats · CIK 0001459154 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 46,190

F1 · price: The transaction was executed in multiple trades in prices ranging from $27.50 to $27.55, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

F2 · ownership.nature: The shares are held by Leonard Capital, LLC. Mr. Wahlstrom disclaims beneficial ownership of the shares held by Leonard Capital, LLC except to the extent of his pecuniary interest therein.

SEC source: 0001140361-16-088854 · doc1.xml · nonDerivative · entry 2

Herman Alan C. · CIK 0001622080 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,784

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: The transaction was executed in multiple trades in prices ranging from $27.45 to $27.80 inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.s

SEC source: 0001140361-16-088854 · doc1.xml · nonDerivative · entry 1

Herman Alan C. · CIK 0001622080 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,917

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $26.40 to $27.35 inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.s

SEC source: 0000899243-16-034104 · doc4.xml · derivative · entry 3

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,948

Underlying: Common Stock · 3,900 shares

Expires 2024-11-05

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_date: The underlying shares vest pursuant to the following schedule: Twenty Five Percent (25%) of the shares subject to the option vest one year measured from September 22, 2014 (the "Vesting Commencement Date") and the remaining shares subject to the option vest in 36 successive, equal monthly installments thereafter on each monthly anniversary of the Vesting Commencement Date, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-16-034104 · doc4.xml · nonDerivative · entry 2

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,325

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $27.95 to $28.40, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-16-034104 · doc4.xml · nonDerivative · entry 1

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,225

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

SEC source: 0000899243-16-032715 · doc4.xml · nonDerivative · entry 1

Herman Alan C. · CIK 0001622080 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,117

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $27.00 to $27.95, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-16-032269 · doc4.xml · derivative · entry 3

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,848

Underlying: Common Stock · 3,900 shares

Expires 2024-11-05

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_date: The underlying shares vest pursuant to the following schedule: Twenty Five Percent (25%) of the shares subject to the option vest one year measured from September 22, 2014 (the "Vesting Commencement Date") and the remaining shares subject to the option vest in 36 successive, equal monthly installments thereafter on each monthly anniversary of the Vesting Commencement Date, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-16-032269 · doc4.xml · nonDerivative · entry 2

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,325

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $29.93 to $30.89, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-16-032269 · doc4.xml · nonDerivative · entry 1

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,225

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

SEC source: 0000899243-16-031223 · doc4.xml · nonDerivative · entry 2

Herman Alan C. · CIK 0001622080 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,450

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F3 · price: The transaction was executed in multiple trades in prices ranging from $26.02 to $26.83, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-16-031223 · doc4.xml · nonDerivative · entry 1

Herman Alan C. · CIK 0001622080 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,687

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $25.02 to $26.01, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-16-030224 · doc4.xml · derivative · entry 3

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,748

Underlying: Common Stock · 3,900 shares

Expires 2024-11-05

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_date: The underlying shares vest pursuant to the following schedule: Twenty Five Percent (25%) of the shares subject to the option vest one year measured from September 22, 2014 (the "Vesting Commencement Date") and the remaining shares subject to the option vest in 36 successive, equal monthly installments thereafter on each monthly anniversary of the Vesting Commencement Date, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-16-030224 · doc4.xml · nonDerivative · entry 2

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,325

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $29.59 to $30.18, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000899243-16-030224 · doc4.xml · nonDerivative · entry 1

Viret Jean-Frederic · CIK 0001427569 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,225

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

SEC source: 0000899243-16-029739 · doc4.xml · nonDerivative · entry 2

Lanfear Dennis M · CIK 0001420822 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,337,566

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F3 · ownership.nature: These shares are held by the Lanfear Revocable Trust, dated January 27, 2004, as restated, of which Reporting Person is a trustee.

SEC source: 0000899243-16-029739 · doc4.xml · nonDerivative · entry 1

Lanfear Dennis M · CIK 0001420822 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,337,616

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $31.75 to $31.76, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.nature: These shares are held by the Lanfear Revocable Trust, dated January 27, 2004, as restated, of which Reporting Person is a trustee.

SEC source: 0000899243-16-029405 · doc4.xml · nonDerivative · entry 1

Lanfear Dennis M · CIK 0001420822 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,341,626

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $31.75 to $31.84, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

F3 · ownership.nature: These shares are held by the Lanfear Revocable Trust, dated January 27, 2004, as restated, of which Reporting Person is a trustee.

SEC source: 0000899243-16-028532 · doc4.xml · nonDerivative · entry 1

Herman Alan C. · CIK 0001622080 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,783

F1 · kind: The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.

F2 · price: The transaction was executed in multiple trades in prices ranging from $29.5450 to $30.24, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-14-080993 · a4.xml · derivative · entry 2

KKR Biosimilar L.P. · CIK 0001624314 · 10% owner

KKR Biosimilar GP LLC · CIK 0001624305 · 10% owner

KKR Fund Holdings L.P. · CIK 0001472698 · 10% owner

KKR Fund Holdings GP Ltd · CIK 0001472697 · 10% owner

KKR Group Holdings L.P. · CIK 0001472696 · 10% owner

KKR Group Ltd · CIK 0001472695 · 10% owner

KKR & Co. L.P. · CIK 0001404912 · 10% owner

KKR Management LLC · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,499,499 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: The Series C Preferred Stock is convertible into shares of common stock of Coherus BioSciences, Inc. (the "Issuer") on a one-for-one basis and automatically converted into shares of common stock of the Issuer on a one-for-one basis immediately prior to the completion of Issuer's initial public offering.

F1 · derivative.exercise_date: The Series C Preferred Stock is convertible into shares of common stock of Coherus BioSciences, Inc. (the "Issuer") on a one-for-one basis and automatically converted into shares of common stock of the Issuer on a one-for-one basis immediately prior to the completion of Issuer's initial public offering.

F3 · derivative.expiration_date: Not applicable.

F2 · ownership.nature: Securities are held by KKR Biosimilar L.P. KKR Biosimilar GP LLC is the general partner of KKR Biosimilar L.P. KKR Fund Holdings L.P. is the sole member of KKR Biosimilar GP LLC. KKR Fund Holdings GP Limited is a general partner of KKR Fund Holdings L.P. KKR Group Holdings L.P. is the sole shareholder of KKR Fund Holdings GP Limited and a general partner of KKR Fund Holdings L.P. KKR Group Limited is the general partner of KKR Group Holdings L.P. KKR & Co. L.P. is the sole shareholder of KKR Group Limited. KKR Management LLC is the general partner of KKR & Co. L.P. Messrs. Henry R. Kravis and George R. Roberts are the designated members of KKR Management LLC.

SEC source: 0001104659-14-080993 · a4.xml · nonDerivative · entry 1

KKR Biosimilar L.P. · CIK 0001624314 · 10% owner

KKR Biosimilar GP LLC · CIK 0001624305 · 10% owner

KKR Fund Holdings L.P. · CIK 0001472698 · 10% owner

KKR Fund Holdings GP Ltd · CIK 0001472697 · 10% owner

KKR Group Holdings L.P. · CIK 0001472696 · 10% owner

KKR Group Ltd · CIK 0001472695 · 10% owner

KKR & Co. L.P. · CIK 0001404912 · 10% owner

KKR Management LLC · CIK 0001472694 · 10% owner

KRAVIS HENRY R · CIK 0001081714 · 10% owner

ROBERTS GEORGE R · CIK 0001081715 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,499,499

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: The Series C Preferred Stock is convertible into shares of common stock of Coherus BioSciences, Inc. (the "Issuer") on a one-for-one basis and automatically converted into shares of common stock of the Issuer on a one-for-one basis immediately prior to the completion of Issuer's initial public offering.

F2 · ownership.nature: Securities are held by KKR Biosimilar L.P. KKR Biosimilar GP LLC is the general partner of KKR Biosimilar L.P. KKR Fund Holdings L.P. is the sole member of KKR Biosimilar GP LLC. KKR Fund Holdings GP Limited is a general partner of KKR Fund Holdings L.P. KKR Group Holdings L.P. is the sole shareholder of KKR Fund Holdings GP Limited and a general partner of KKR Fund Holdings L.P. KKR Group Limited is the general partner of KKR Group Holdings L.P. KKR & Co. L.P. is the sole shareholder of KKR Group Limited. KKR Management LLC is the general partner of KKR & Co. L.P. Messrs. Henry R. Kravis and George R. Roberts are the designated members of KKR Management LLC.

SEC source: 0001209191-14-067900 · doc4.xml · derivative · entry 5

LILLY ELI & CO · CIK 0000059478 · Former 10% Owner

Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Group

Disclosed balance after: 0

Underlying: Common Stock · 543,101 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: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F1 · price: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F1 · derivative.exercise_date: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F4 · derivative.expiration_date: The Series B Preferred Stock and Series C Preferred Stock have no expiration date.

F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.

SEC source: 0001209191-14-067900 · doc4.xml · derivative · entry 4

LILLY ELI & CO · CIK 0000059478 · Former 10% Owner

Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Group

Disclosed balance after: 0

Underlying: Common Stock · 2,333,955 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: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F1 · price: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F1 · derivative.exercise_date: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F4 · derivative.expiration_date: The Series B Preferred Stock and Series C Preferred Stock have no expiration date.

F2 · ownership.nature: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.

SEC source: 0001209191-14-067900 · doc4.xml · nonDerivative · entry 3

LILLY ELI & CO · CIK 0000059478 · Former 10% Owner

Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,042,019

F3 · shares: Lilly Ventures Fund I LLC purchased an additional 164,963 shares of Issuer's Common Stock in connection with the IPO at the offering price of $13.50 per share.

F2 · ownership.direct: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.

SEC source: 0001209191-14-067900 · doc4.xml · nonDerivative · entry 2

LILLY ELI & CO · CIK 0000059478 · Former 10% Owner

Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,877,056

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: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F2 · ownership.direct: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.

SEC source: 0001209191-14-067900 · doc4.xml · nonDerivative · entry 1

LILLY ELI & CO · CIK 0000059478 · Former 10% Owner

Lilly Ventures Fund I LLC · CIK 0001575852 · Former 10% Owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,333,955

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: The Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Issuer's Common Stock on a 1-for-1 basis upon the closing of Issuer's initial public offering.

F2 · ownership.direct: These shares are owned directly by Lilly Ventures Fund I LLC (the "Fund"). Eli Lilly and Company, as sole Managing Member of the Fund, and pursuant to provisions of the LLC Agreement of the Fund, has voting authority with respect to shares owned by the Fund.