DARE

SEC source: 0001209191-17-025668 · doc4.xml · nonDerivative · entry 1

FRIEDMAN PAUL A · CIK 0001236927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,819

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the first fiscal quarter of 2017 divided by $0.73, the closing price of the company's common stock on the NASDAQ Global Market on April 3, 2017.

SEC source: 0001209191-17-002978 · doc4.xml · derivative · entry 2

GUIFFRE CHRISTOPHERD T · CIK 0001219021 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-01-05

F2 · derivative.exercise_date: This option was granted on January 6, 2017. The option is scheduled to vest as to 25% of the shares on the six-month anniversary of January 1, 2017 and as to an additional 25% of the original number of shares at the end of each six-month period of continuous service thereafter until January 1, 2019.

SEC source: 0001209191-17-002978 · doc4.xml · derivative · entry 1

GUIFFRE CHRISTOPHERD T · CIK 0001219021 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-01-05

F1 · derivative.exercise_date: This option was granted on January 6, 2017. The shares underlying the option are scheduled to vest in equal monthly installments over four years from January 1, 2017.

SEC source: 0001209191-17-002970 · doc4.xml · derivative · entry 1

BELOFF GREGG · CIK 0001171002 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-01-04

F1 · derivative.exercise_date: This option was granted on January 5, 2017. The option is scheduled to vest as to 25% of the shares on the six-month anniversary of January 1, 2017 and as to an additional 25% of the original number of shares at the end of each six-month period of continuous service thereafter until January 1, 2019.

SEC source: 0001209191-17-002976 · doc4.xml · derivative · entry 2

Eliasof Scott · CIK 0001688065 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-01-04

F2 · derivative.exercise_date: This option was granted on January 5, 2017. The option is scheduled to vest as to 25% of the shares on the six-month anniversary of January 1, 2017 and as to an additional 25% of the original number of shares at the end of each six-month period of continuous service thereafter until January 1, 2019.

SEC source: 0001209191-17-002976 · doc4.xml · derivative · entry 1

Eliasof Scott · CIK 0001688065 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2027-01-04

F1 · derivative.exercise_date: This option was granted on January 5, 2017. The shares underlying the option are scheduled to vest in equal monthly installments over four years from January 1, 2017.

SEC source: 0001209191-17-002973 · doc4.xml · derivative · entry 2

Carvajal Alejandra · CIK 0001645755 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2027-01-04

F2 · derivative.exercise_date: This option was granted on January 5, 2017. The option is scheduled to vest as to 25% of the shares on the six-month anniversary of January 1, 2017 and as to an additional 25% of the original number of shares at the end of each six-month period of continuous service thereafter until January 1, 2019.

SEC source: 0001209191-17-002973 · doc4.xml · derivative · entry 1

Carvajal Alejandra · CIK 0001645755 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-01-04

F1 · derivative.exercise_date: This option was granted on January 5, 2017. The shares underlying the option are scheduled to vest in equal monthly installments over four years from January 1, 2017.

SEC source: 0001209191-17-002984 · doc4.xml · derivative · entry 2

Senderowicz Adrian · CIK 0001616230 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-01-04

F2 · derivative.exercise_date: This option was granted on January 5, 2017. The option is scheduled to vest as to 25% of the shares on the six-month anniversary of January 1, 2017 and as to an additional 25% of the original number of shares at the end of each six-month period of continuous service thereafter until January 1, 2019.

SEC source: 0001209191-17-002984 · doc4.xml · derivative · entry 1

Senderowicz Adrian · CIK 0001616230 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2027-01-04

F1 · derivative.exercise_date: This option was granted on January 5, 2017. The shares underlying the option are scheduled to vest in equal monthly installments over four years from January 1, 2017.

SEC source: 0001209191-17-002981 · doc4.xml · derivative · entry 3

ONeill James E · CIK 0001307183 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-01-04

F2 · derivative.exercise_date: This option was granted on January 5, 2017. The option is scheduled to vest as to 25% of the shares on the six-month anniversary of January 1, 2017 and as to an additional 25% of the original number of shares at the end of each six-month period of continuous service thereafter until January 1, 2019.

SEC source: 0001209191-17-002981 · doc4.xml · derivative · entry 2

ONeill James E · CIK 0001307183 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-01-04

F1 · derivative.exercise_date: This option was granted on January 5, 2017. The shares underlying the option are scheduled to vest in equal monthly installments over four years from January 1, 2017.

SEC source: 0001209191-17-002981 · doc4.xml · derivative · entry 1

ONeill James E · CIK 0001307183 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-01-04

F1 · derivative.exercise_date: This option was granted on January 5, 2017. The shares underlying the option are scheduled to vest in equal monthly installments over four years from January 1, 2017.

SEC source: 0001209191-17-002079 · doc4.xml · nonDerivative · entry 1

Parkinson David Ross · CIK 0001451935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,488

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the fourth fiscal quarter of 2016 divided by $0.77, the closing price of the company's common stock on the NASDAQ Global Market on January 3, 2017.

SEC source: 0001209191-17-002084 · doc4.xml · nonDerivative · entry 1

WALT DAVID R · CIK 0001205236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,700

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the fourth fiscal quarter of 2016 divided by $0.77, the closing price of the company's common stock on the NASDAQ Global Market on January 3, 2017.

SEC source: 0001209191-17-002082 · doc4.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,039

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the fourth fiscal quarter of 2016 divided by $0.77, the closing price of the company's common stock on the NASDAQ Global Market on January 3, 2017.

SEC source: 0001209191-17-002074 · doc4.xml · nonDerivative · entry 1

MCKEE WILLIAM · CIK 0001237262 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,418

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the fourth fiscal quarter of 2016 divided by $0.77, the closing price of the company's common stock on the NASDAQ Global Market on January 3, 2017.

SEC source: 0001209191-17-002055 · doc4.xml · nonDerivative · entry 1

FRIEDMAN PAUL A · CIK 0001236927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,546

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the fourth fiscal quarter of 2016 divided by $0.77, the closing price of the company's common stock on the NASDAQ Global Market on January 3, 2017.

SEC source: 0001209191-17-002049 · doc4.xml · nonDerivative · entry 1

Arbuckle Stuart A · CIK 0001557290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,104

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the fourth fiscal quarter of 2016 divided by $0.77, the closing price of the company's common stock on the NASDAQ Global Market on January 3, 2017.

SEC source: 0001209191-17-002068 · doc4.xml · nonDerivative · entry 1

GUIFFRE CHRISTOPHERD T · CIK 0001219021 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,489

F1 · kind: These shares were acquired under the Cerulean Pharma Inc. Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-16-147150 · doc4.xml · derivative · entry 1

Eliasof Scott · CIK 0001688065 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-10-24

F1 · derivative.exercise_date: This option was granted on October 25, 2016. The shares underlying the option are subject to vest in equal monthly installments over four years from the grant date.

SEC source: 0001209191-16-146522 · doc4.xml · nonDerivative · entry 1

Parkinson David Ross · CIK 0001451935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,254

F1 · shares: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

SEC source: 0001209191-16-146524 · doc4.xml · nonDerivative · entry 1

WALT DAVID R · CIK 0001205236 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,765

F1 · shares: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

SEC source: 0001209191-16-146523 · doc4.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,689

F1 · shares: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

SEC source: 0001209191-16-146521 · doc4.xml · nonDerivative · entry 1

MCKEE WILLIAM · CIK 0001237262 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,470

F1 · shares: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

SEC source: 0001209191-16-146520 · doc4.xml · nonDerivative · entry 1

FRIEDMAN PAUL A · CIK 0001236927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,676

F1 · shares: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016.

SEC source: 0001209191-16-146519 · doc4.xml · nonDerivative · entry 1

Arbuckle Stuart A · CIK 0001557290 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,637

F1 · shares: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016

F1 · price: Consists of shares of common stock issued in lieu of cash retainers for board and committee service in accordance with an election of the reporting person under the company's non-employee director compensation program. The number of shares is equal to the amount of the cash retainers that would otherwise have been payable to the reporting person for the third fiscal quarter of 2016 divided by $1.02, the closing price of the company's common stock on the NASDAQ Global Market on October 3, 2016

SEC source: 0001209191-14-027708 · doc4.xml · derivative · entry 9

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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 · 199,875 shares

Expires not disclosed

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

F4 · derivative.exercise_date: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing.

F4 · derivative.expiration_date: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing.

F4 · derivative.underlying_shares: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing.

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: 0001209191-14-027708 · doc4.xml · derivative · entry 8

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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 · 192,209 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_date: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing.

F3 · derivative.expiration_date: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing.

F3 · derivative.underlying_shares: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing.

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: 0001209191-14-027708 · doc4.xml · derivative · entry 7

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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 · 299,213 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: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date.

F1 · derivative.exercise_date: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date.

F1 · derivative.expiration_date: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an 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: 0001209191-14-027708 · doc4.xml · derivative · entry 6

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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 · 931,485 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: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date.

F1 · derivative.exercise_date: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an expiration date.

F1 · derivative.expiration_date: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an 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: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 5

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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: 2,356,227

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: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 4

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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: 1,622,782

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

F4 · price: Represents the number of shares of Common Stock issuable upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on February 18, 2014 through April 15, 2014, at a conversion price equal to $5.43 per share of Common Stock, which was equal to 77.5% of the Company's initial public offering price. The Notes had no expiration date and were exercisable any time after February 26, 2015 at the holder's election or automatically upon a qualified financing.

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: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 3

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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: 1,422,907

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: Represents the number of shares of Common Stock issued upon conversion of all principal and accrued interest on the 7% Convertible Promissory Notes issued on August 13, 2013 through April 15, 2014, at a conversion price of $7.00 per share of Common Stock, which was the initial public offering price. The Notes had no expiration date and were exercisable any time after August 15, 2014 at the holder's election or automatically upon a qualified financing.

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: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 2

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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: 1,230,698

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: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an 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: 0001209191-14-027708 · doc4.xml · nonDerivative · entry 1

LILLY ELI & CO · CIK 0000059478 · 10% owner

Lilly Ventures Fund I LLC · CIK 0001575852 · 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: 931,485

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: In connection with the completion of the Company's initial public offering, each share of Series C Convertible Preferred Stock and Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.0689-for-1 basis into the number of shares of Common Stock listed in Table I, column 5 and Table II, column 7 without payment of further consideration. Neither the Series C Convertible Preferred Stock nor the Series D Convertible Preferred Stock had an 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.