CRVS

SEC source: 0000899243-19-017914 · doc4.xml · derivative · entry 2

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-06-20

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: Peter Thompson is obligated to transfer any shares issued pursuant to any equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors and certain of its related entities. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000899243-19-017919 · doc4.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-06-20

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-19-017182 · doc4.xml · nonDerivative · entry 2

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,156,007

F3 · price: The price reported in Column 4 is a weighted price. These Shares were purchased in multiple transactions at prices ranging from $3.34 to $3.48 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F1 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F2 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-19-017182 · doc4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,144,350

F1 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F2 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0001567619-19-013222 · doc1.xml · nonDerivative · entry 2

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,144,007

F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer

F3 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0001567619-19-013152 · doc1.xml · nonDerivative · entry 2

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 50,200

F3 · price: The price reported in Column 4 is a weighted price. These Shares were purchased in multiple transactions at prices ranging from $3.29 to $3.40 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These shares are held by Leiv Lea IRA Contributory.

SEC source: 0001567619-19-013222 · doc1.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,138,007

F1 · price: The price reported in Column 4 is a weighted price. These Shares were purchased in multiple transactions at prices ranging from $3.32 to $3.40 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer

F3 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0001567619-19-013152 · doc1.xml · nonDerivative · entry 1

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 40,200

F1 · price: The price reported in Column 4 is a weighted price. These Shares were purchased in multiple transactions at prices ranging from $3.50 to $3.64 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These shares are held by Leiv Lea IRA Contributory.

SEC source: 0000899243-19-002194 · doc4.xml · derivative · entry 1

Grais Linda S · CIK 0001413306 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-third (1/3rd) of the shares subject to the option on each annual anniversary measured from January 28, 2019, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-19-002190 · doc4.xml · derivative · entry 1

Mobasher Mehrdad · CIK 0001765484 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

Underlying: Common Stock · 210,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to twenty-five percent (25%) of the shares subject to the option on January 28, 2020, and with respect to 1/48th of the total number of shares subject to the option in successive, equal monthly installments on each monthly anniversary thereafter, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-18-031989 · doc4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,128,795

F1 · price: The price reported in Column 4 is a weighted price. These Shares were purchased in multiple transactions at prices ranging from $3.29 to $3.2985 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer

F3 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-18-031810 · doc4.xml · nonDerivative · entry 1

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 24,700

F1 · price: The price reported in Column 4 is a weighted price. These Shares were purchased in multiple transactions at prices ranging from $4.13 to $4.17 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These shares are held by Leiv Lea IRA Contributory.

SEC source: 0000899243-18-031696 · doc4.xml · nonDerivative · entry 2

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,108,795

F1 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F2 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-18-031696 · doc4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,103,795

F1 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F2 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-18-031057 · doc4.xml · derivative · entry 2

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-12-12

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from December 12, 2018, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-18-031059 · doc4.xml · derivative · entry 3

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2028-12-12

F3 · derivative.exercise_date: The underlying shares subject to the option vest as to one-forty eighth (1/48th) of the shares in successive, equal monthly installments measured from December 12, 2018, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-18-031055 · doc4.xml · derivative · entry 1

Hunt Daniel W. · CIK 0001724058 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-12-12

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from December 12, 2018, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-18-031054 · doc4.xml · derivative · entry 2

Verner Erik J. · CIK 0001664488 · V.P., Chemistry Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-12-12

F2 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from December 12, 2018, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-18-031058 · doc4.xml · derivative · entry 3

Buggy Joseph J · CIK 0001412679 · EVP Discovery Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-12-12

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from December 12, 2018, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-18-031061 · doc4.xml · derivative · entry 2

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-12-12

F2 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from December 12, 2018, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-18-031059 · doc4.xml · nonDerivative · entry 2

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,098,795

F1 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F2 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-18-031059 · doc4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,108,795

F1 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F2 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-18-030539 · doc4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,118,795

F1 · price: The price reported in Column 4 is a weighted price. These Shares were purchased in multiple transactions at prices ranging from $5.85 to $6.00 inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F3 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-18-030242 · doc4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,113,795

F1 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F2 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-18-017912 · doc4.xml · derivative · entry 1

Krognes Steve E. · CIK 0001666236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-21

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-18-017914 · doc4.xml · derivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-21

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of AS 2011, AS 2012, AS 2013, AS 2014, AS 2015, AS 2016, AS 2017, AS 2018 and ASVG VI (collectively the "Funds"). By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

SEC source: 0001144204-18-035629 · tv496787_4.xml · derivative · entry 2

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-21

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.nature: This option was granted to Elisha P. Gould, a director of Corvus Pharmaceuticals, Inc., who is a partner of Adams Street Partners, LLC. Adams Street Partners, LLC is the managing member of the general partner of the general partner of each of AS 2011, AS 2012, AS 2013, AS 2014, AS 2015, AS 2016, AS 2017, AS 2018 and ASVG VI (collectively the "Funds"). By agreement with the Funds, Mr. Gould is deemed to hold the option for the benefit of the Funds. The option may be deemed to be indirectly beneficially owned by Adams Street Partners, LLC. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), disclaim beneficial ownership of the option except to the extent of the pecuniary interest therein.

SEC source: 0000899243-18-017913 · doc4.xml · derivative · entry 1

CLARK IAN T · CIK 0001336504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-21

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-18-017916 · doc4.xml · derivative · entry 2

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-21

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

F4 · ownership.direct: Peter Thompson is obligated to transfer any shares issued pursuant to any equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors and certain of its related entities. As such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000899243-18-017915 · doc4.xml · derivative · entry 1

Morrison Scott W · CIK 0001662426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-21

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2019 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

SEC source: 0000899243-18-007081 · doc4.xml · nonDerivative · entry 1

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,112,293

F1 · kind: Reporting Person purchased 100,000 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F2 · balance_after: A portion of these shares is subject to a right of repurchase held by the Issuer.

F3 · ownership.nature: These shares are held by Richard A. Miller and Sandra J. Horning, Trustees of the Miller-Horning Family Trust u/a/d January 25, 1985 (the "Miller-Horning Trust"). Dr. Miller has shared voting, investment and dispositive power over the shares held by the Miller Horning Trust.

SEC source: 0000899243-18-007252 · doc4.xml · nonDerivative · entry 5

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 126,806

F9 · kind: Adams Street 2018 Direct Venture/Growth Fund LP purchased 126,806 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F10 · ownership.nature: Represents shares held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2018, may be deemed to beneficially own the shares held by AS 2018. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2018. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by AS 2018 except to the extent of their pecuniary interest therein.

SEC source: 0000899243-18-007252 · doc4.xml · nonDerivative · entry 4

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 87,668

F7 · kind: Adams Street 2017 Direct Venture/Growth Fund LP purchased 87,668 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F8 · ownership.nature: Represents shares held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2017, may be deemed to beneficially own the shares held by AS 2017. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2017. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by AS 2017 except to the extent of their pecuniary interest therein.

SEC source: 0000899243-18-007252 · doc4.xml · nonDerivative · entry 3

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 67,769

F5 · kind: Adams Street 2016 Direct Venture/Growth Fund LP purchased 67,769 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F6 · ownership.nature: Represents shares held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2016, may be deemed to beneficially own the shares held by AS 2016. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2016. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by AS 2016 except to the extent of their pecuniary interest therein.

SEC source: 0000899243-18-007252 · doc4.xml · nonDerivative · entry 2

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 236,128

F3 · kind: Adams Street Venture/Growth Fund VI LP purchased 236,128 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F4 · ownership.nature: Represents shares held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of ASVG VI, may be deemed to beneficially own the shares held by ASVG VI. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by ASVG VI. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by ASVG VI except to the extent of their pecuniary interest therein.

SEC source: 0000899243-18-007252 · doc4.xml · nonDerivative · entry 1

Gould Terry P · CIK 0001553470 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 69,864

F1 · kind: Adams Street 2015 Direct Venture/Growth Fund LP purchased 69,864 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F2 · ownership.nature: Represents shares held directly by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2015, may be deemed to beneficially own the shares held by AS 2015. Thomas S. Bremner, Jeffrey T. Diehl, Elisha ("Terry") P. Gould (a director of the Issuer), Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2015. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by AS 2015 except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-014348 · tv488325_4.xml · nonDerivative · entry 5

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 126,806

F9 · kind: Adams Street 2018 Direct Venture/Growth Fund LP purchased 126,806 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F10 · ownership.nature: Represents shares held directly by Adams Street 2018 Direct Venture/Growth Fund LP ("AS 2018"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2018, may be deemed to beneficially own the shares held by AS 2018. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2018. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by AS 2018 except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-014348 · tv488325_4.xml · nonDerivative · entry 4

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 87,668

F7 · kind: Adams Street 2017 Direct Venture/Growth Fund LP purchased 87,668 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F8 · ownership.nature: Represents shares held directly by Adams Street 2017 Direct Venture/Growth Fund LP ("AS 2017"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2017, may be deemed to beneficially own the shares held by AS 2017. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2017. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by AS 2017 except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-014348 · tv488325_4.xml · nonDerivative · entry 3

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 67,769

F5 · kind: Adams Street 2016 Direct Venture/Growth Fund LP purchased 67,769 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F6 · ownership.nature: Represents shares held directly by Adams Street 2016 Direct Venture/Growth Fund LP ("AS 2016"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2016, may be deemed to beneficially own the shares held by AS 2016. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2016. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by AS 2016 except to the extent of their pecuniary interest therein.

SEC source: 0001144204-18-014348 · tv488325_4.xml · nonDerivative · entry 2

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 236,128

F3 · kind: Adams Street Venture/Growth Fund VI LP purchased 236,128 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share.

F4 · ownership.nature: Represents shares held directly by Adams Street Venture/Growth Fund VI LP ("ASVG VI"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of ASVG VI, may be deemed to beneficially own the shares held by ASVG VI. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by ASVG VI. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by ASVG VI except to the extent of their pecuniary interest therein

SEC source: 0001144204-18-014348 · tv488325_4.xml · nonDerivative · entry 1

ADAMS STREET PARTNERS LLC · CIK 0001193586 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fund

Disclosed balance after: 69,864

F1 · kind: Adams Street 2015 Direct Venture/Growth Fund LP purchased 69,864 shares of Issuer's common stock in connection with a public offering at the offering price of $8.50 per share

F2 · ownership.nature: Represents shares held directly by Adams Street 2015 Direct Venture/Growth Fund LP ("AS 2015"). Adams Street Partners, LLC, as the managing member of the general partner of the general partner of AS 2015, may be deemed to beneficially own the shares held by AS 2015. Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert, each of whom is a partner of Adams Street Partners, LLC (or a subsidiary thereof), may be deemed to have shared voting and investment power over the shares held by AS 2015. Adams Street Partners, LLC and Thomas S. Bremner, Jeffrey T. Diehl, Elisha P. Gould, Robin Murray, Fred Wang and Michael R. Zappert disclaim beneficial ownership of the shares held by AS 2015 except to the extent of their pecuniary interest therein.

SEC source: 0001209191-18-019270 · doc4.xml · nonDerivative · entry 1

Novo Holdings A/S · CIK 0001388325 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,420,516

F1 · shares: Represents a purchase from the underwriters in the Issuer's secondary offering.

SEC source: 0000947871-18-000244 · ss83909_4.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner

OrbiMed Capital GP V LLC · CIK 0001615374 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,967,584

F1 · price: These shares of the Issuer's common stock ("Shares") were purchased in a block order at a price of $8.50.

F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the sole general partner of OPI V, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP V. By virtue of such relationships, GP V and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI V.

F3 · ownership.nature: Samuel D. Isaly, who was included as a Reporting Person on previous reports under Section 16 of the Exchange Act filed by GP V and Advisors, is no longer subject to Section 16 with respect to securities of the Issuer.

F4 · ownership.nature: This report on Form 4 is jointly filed by GP V and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. The Reporting Persons have designated a representative, currently Peter A. Thompson, an employee of Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.

SEC source: 0000947871-18-000245 · ss83910_4.xml · nonDerivative · entry 1

Thompson Peter A. · CIK 0001357522 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,967,584

F1 · price: These shares of the Issuer's common stock ("Shares") were purchased in a block order at a price of $8.50.

F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the sole general partner of OPI V, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP V. By virtue of such relationships, GP V and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI V noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI V.

F3 · ownership.nature: Each of the Reporting Person, GP V and Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000899243-18-001670 · doc4.xml · derivative · entry 3

Buggy Joseph J · CIK 0001412679 · EVP Discovery Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-01-19

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from January 19, 2018, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-17-028853 · doc4.xml · derivative · entry 2

LEA LEIV · CIK 0000939012 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-12-13

F3 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from December 13, 2017, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-17-028849 · doc4.xml · derivative · entry 2

MILLER RICHARD A MD · CIK 0001031847 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2027-12-13

F3 · derivative.exercise_date: The underlying shares subject to the option vest as to one-forty eighth (1/48th) of the shares in successive, equal monthly installments measured from December 13, 2017, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-17-028854 · doc4.xml · derivative · entry 1

Hunt Daniel W. · CIK 0001724058 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-12-13

F1 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to twenty-five percent (25%) of the shares subject to the option on November 27, 2018 and with respect to 1/48th of the total number of shares subject to the option in successive, equal monthly installments on each monthly anniversary thereafter, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-17-028858 · doc4.xml · derivative · entry 2

Verner Erik J. · CIK 0001664488 · V.P., Chemistry Research

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-12-13

F2 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from December 13, 2017, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.

SEC source: 0000899243-17-028856 · doc4.xml · derivative · entry 2

Jones William Benton · CIK 0001664506 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2027-12-13

F2 · derivative.exercise_date: The underlying shares subject to the option vest and become exercisable as to one-forty eighth (1/48th) of the shares subject to the option in successive, equal monthly installments measured from December 13, 2017, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.