ELDN

SEC source: 0000899243-21-018105 · doc4.xml · derivative · entry 1

Smith Bryan E. · CIK 0001748041 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,500

Underlying: Common Stock · 158,500 shares

Expires 2031-05-03

F1 · derivative.exercise_date: This option represents a right to purchase up to 158,500 shares of Common Stock, which option vests with respect to 39,625 shares on May 3, 2022, and then with respect to 6.25% of the underlying shares quarterly over the three year period ending May 3, 2025.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · derivative · entry 12

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,758

Underlying: Common Stock, $0.001 par value · 97,615 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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F7 · derivative.exercise_price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F7 · shares: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · derivative.exercise_date: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · derivative.expiration_date: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F5 · derivative.underlying_shares: Reflects a one-for-eighteen reverse stock split of the Issuer's issued and outstanding Common Stock, effective as of October 5, 2020 (the "Stock Split").

F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · derivative · entry 11

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,693

Underlying: Common Stock, $0.001 par value · 509,410 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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F7 · derivative.exercise_price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F7 · shares: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · derivative.exercise_date: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · derivative.expiration_date: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F5 · derivative.underlying_shares: Reflects a one-for-eighteen reverse stock split of the Issuer's issued and outstanding Common Stock, effective as of October 5, 2020 (the "Stock Split").

F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · derivative · entry 10

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,145

Underlying: Common Stock, $0.001 par value · 654,215 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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F7 · derivative.exercise_price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F7 · shares: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · derivative.exercise_date: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F7 · derivative.expiration_date: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F5 · derivative.underlying_shares: Reflects a one-for-eighteen reverse stock split of the Issuer's issued and outstanding Common Stock, effective as of October 5, 2020 (the "Stock Split").

F2 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · derivative · entry 9

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 1,944 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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F6 · derivative.exercise_price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F6 · shares: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · derivative.exercise_date: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · derivative.expiration_date: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F5 · derivative.underlying_shares: Reflects a one-for-eighteen reverse stock split of the Issuer's issued and outstanding Common Stock, effective as of October 5, 2020 (the "Stock Split").

F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · derivative · entry 8

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 11,278 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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F6 · derivative.exercise_price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F6 · shares: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · derivative.exercise_date: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · derivative.expiration_date: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F5 · derivative.underlying_shares: Reflects a one-for-eighteen reverse stock split of the Issuer's issued and outstanding Common Stock, effective as of October 5, 2020 (the "Stock Split").

F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · derivative · entry 7

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, $0.001 par value · 15,166 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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F6 · derivative.exercise_price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F6 · shares: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · derivative.exercise_date: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F6 · derivative.expiration_date: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F5 · derivative.underlying_shares: Reflects a one-for-eighteen reverse stock split of the Issuer's issued and outstanding Common Stock, effective as of October 5, 2020 (the "Stock Split").

F2 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · nonDerivative · entry 6

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,152

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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F7 · price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · nonDerivative · entry 5

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,537

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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F6 · price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · nonDerivative · entry 4

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 598,624

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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F7 · price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · nonDerivative · entry 3

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,214

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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F6 · price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, BVF2 GP may be deemed to beneficially own the securities owned directly by BVF2. As the sole member of BVF2 GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF2. As the investment manager of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · nonDerivative · entry 2

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 771,780

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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F7 · price: The Series X1 Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X1 Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X1 Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X1 Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on September 15, 2020.

F2 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

SEC source: 0000921895-20-003278 · form407422010_12282020.xml · nonDerivative · entry 1

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,565

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 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Following the transactions reported herein, for the purposes of Section 16, the Reporting Persons ceased to beneficially own 10% or more of the outstanding shares of Common Stock of the Issuer. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F11 · kind: As reported in the Issuer's Current Report on Form 8-K with the Securities and Exchange Commission on December 22, 2020, on December 18, 2020, at a special meeting of stockholders, the stockholders approved the issuance of Shares upon conversion of the Company's Series X Convertible Preferred Stock, and Series X1 Convertible Preferred Stock (the "Conversion Proposal"). Effective upon the approval of the Conversion Proposal, the issued and outstanding Series X Preferred Stock and Series X1 Convertible Preferred Stock automatically converted into Shares two business days following approval of the Conversion Proposal (to the extent such conversions are limited by beneficial ownership conversion blockers).

F6 · price: The Series X Convertible Preferred Stock may not be exercised if, after such exercise, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d), more than 9.99% of the shares of Common Stock outstanding immediately after giving effect to such exercise. Each share of Series X Convertible Preferred Stock is convertible into 1,000 shares of Common Stock. The Series X Convertible Preferred Stock does not have an expiration date and is subject to certain adjustments pursuant to the Certificate of Designations of Series X Convertible Preferred Stock filed as Exhibit 3.1 to Form 8-K filed by the Issuer with the Securities and Exchange Commission on February 19, 2020.

F2 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

SEC source: 0000947871-20-000933 · ownership.xml · nonDerivative · entry 1

OrbiMed Israel GP Ltd. · CIK 0001569590 · 10% owner

OrbiMed Israel BioFund GP Limited Partnership · CIK 0001569821 · 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: 73,650

F1 · ownership.nature: These securities are owned directly by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP, and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power with respect to the securities held by OIP 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"). OrbiMed Israel exercises this investment and voting power through a management committee comprised of Carl L. Gordon, Jonathan T. Silverstein, Nissim Darvish, Anat Naschitz, and Erez Chimovits.

F2 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Israel and OrbiMed BioFund. 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. 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: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 9

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 224,071

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 8

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 214,973

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 7

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 199,973

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 6

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 200,000

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 5

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 187,058

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 4

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 200,000

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 3

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 185,000

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 2

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 181,000

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-018886 · doc1.xml · nonDerivative · entry 1

Logos Global Management LP · CIK 0001792126 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Notes 1 and 2

Disclosed balance after: 150,000

F1 · ownership.nature: The reporting persons are Logos Global Management LP ("LGM"), Logos Global Master Fund LP (the "Fund"), and Logos GP LLC ("Fund GP"). LGM is the investment adviser of private funds, including the Fund. Fund GP is the general partner of the Fund. LGM is filing this report for itself and the other reporting persons. The reporting persons are filing this Form 3 jointly, but not as a group, and each expressly disclaims membership in a group within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934.

F2 · ownership.nature: The Fund holds the securities reported herein directly for the benefit of its investors. The securities may be deemed to be indirectly beneficially owned by LGM as investment adviser to the Fund and by Fund GP as general partner of the Fund. The reporting persons disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein.

SEC source: 0000899243-20-025172 · doc4.xml · derivative · entry 1

LYONS GARY A · CIK 0001123343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,167.21

Underlying: Series X1 Convertible Preferred Stock · 1,167.21 shares

Expires 2030-09-11

F1 · derivative.exercise_date: This option represents a right to purchase a total of 1,167.21 shares of the Issuer's Series X1 Convertible Preferred Stock, which will vest in equal monthly installments over two years, subject to the Reporting Person's continued service to the Issuer through each vesting date. The Reporting Person's ability to exercise the option will be subject to stockholder approval under Nasdaq Marketplace Rule 5635(c).

F2 · derivative.underlying: Each share of Series X1 Convertible Preferred Stock will be convertible into 1,000 shares of Common Stock upon receipt of the requisite approval of the stockholders of the Issuer.

SEC source: 0000899243-20-025169 · doc4.xml · derivative · entry 1

Gros David-Alexandre C · CIK 0001644489 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,278.14

Underlying: Series X1 Convertible Preferred Stock · 18,278.14 shares

Expires 2020-09-11

F1 · derivative.exercise_date: This option represents a right to purchase a total of 18,278.14 shares of the Issuer's Series X1 Convertible Preferred Stock, one quarter of which will become fully vested and exercisable on September 11, 2021, with the remaining 13,708.605 shares vesting in equal monthly installments over the following three years, subject to the Reporting Person's continued service to the Issuer through each vesting date.

F2 · derivative.underlying: Each share of Series X1 Convertible Preferred Stock will be convertible into 1,000 shares of Common Stock upon receipt of the requisite approval of the stockholders of the Issuer.

SEC source: 0000899243-20-025165 · doc4.xml · derivative · entry 1

McBride John S. · CIK 0001618251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,167.21

Underlying: Series X1 Convertible Preferred Stock · 1,167.21 shares

Expires 2030-09-11

F1 · derivative.exercise_date: This option represents a right to purchase a total of 1,167.21 shares of the Issuer's Series X1 Convertible Preferred Stock, which will vest in equal monthly installments over two years, subject to the Reporting Person's continued service to the Issuer through each vesting date. The Reporting Person's ability to exercise the option will be subject to stockholder approval under Nasdaq Marketplace Rule 5635(c).

F2 · derivative.underlying: Each share of Series X1 Convertible Preferred Stock will be convertible into 1,000 shares of Common Stock upon receipt of the requisite approval of the stockholders of the Issuer.

SEC source: 0000899243-20-025166 · doc4.xml · derivative · entry 1

Katkin Keith · CIK 0001314596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,907.15

Underlying: Series X1 Convertible Preferred Stock · 5,907.15 shares

Expires 2030-09-11

F1 · derivative.exercise_date: This option represents a right to purchase a total of 5,907.15 shares of the Issuer's Series X1 Convertible Preferred Stock, which will vest in equal monthly installments over two years, subject to the Reporting Person's continued service to the Issuer through each vesting date. The Reporting Person's ability to exercise the option will be subject to stockholder approval under Nasdaq Marketplace Rule 5635(c).

F2 · derivative.underlying: Each share of Series X1 Convertible Preferred Stock will be convertible into 1,000 shares of Common Stock upon receipt of the requisite approval of the stockholders of the Issuer.

SEC source: 0000899243-20-025170 · doc4.xml · derivative · entry 1

Kuwahara Jon · CIK 0001664784 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,145.264

Underlying: Series X1 Convertible Preferred Stock · 2,145.264 shares

Expires 2030-09-11

F1 · derivative.exercise_date: This option represents a right to purchase a total of 2,145.264 shares of the Issuer's Series X1 Convertible Preferred Stock, one quarter of which will become fully vested and exercisable on September 11, 2021, with the remaining 1,608.948 shares vesting in equal monthly installments over the following three years, subject to the Reporting Person's continued service to the Issuer through each vesting date. The Reporting Person's ability to exercise the option will be subject to stockholder approval under Nasdaq Marketplace Rule 5635(c).

F2 · derivative.underlying: Each share of Series X1 Convertible Preferred Stock will be convertible into 1,000 shares of Common Stock upon receipt of the requisite approval of the stockholders of the Issuer.

SEC source: 0000899243-20-009126 · doc4.xml · derivative · entry 1

FLESHER GREGORY J. · CIK 0001705287 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: This option represents a right to purchase a total of 200,000 shares of the Issuer's Common Stock, one quarter of which will become fully vested and exercisable on March 19, 2021, with the remaining 150,000 shares vesting in equal monthly installments over the following three years, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0000899243-20-009125 · doc4.xml · derivative · entry 1

TURKEL CATHERINE C. · CIK 0001705278 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: This option represents a right to purchase a total of 100,000 shares of the Issuer's Common Stock, one quarter of which will become fully vested and exercisable on March 19, 2021, with the remaining 75,000 shares vesting in equal monthly installments over the following three years, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0000899243-20-009124 · doc4.xml · derivative · entry 1

Kuwahara Jon · CIK 0001664784 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: This option represents a right to purchase a total of 50,000 shares of the Issuer's Common Stock, one quarter of which will become fully vested and exercisable on March 19, 2021, with the remaining 37,500 shares vesting in equal monthly installments over the following three years, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0000947871-20-000145 · ownership.xml · derivative · entry 2

Chimovits Erez · CIK 0001706399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 646,204 shares

Expires 2024-05-02

F2 · derivative.exercise_price: Warrants ("Warrants") to purchase shares of the Issuer's common stock ("Shares"). The Warrants are immediately exercisable and have an exercise price of $4.00 per Share.

F1 · ownership.nature: The Reporting Person is the designated representative of OrbiMed Israel GP Ltd. on the Issuer's Board of Directors. The reportable securities are owned directly by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP, and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. The Reporting Person disclaims beneficial ownership of the securities reported herein for the 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.

SEC source: 0000947871-20-000145 · ownership.xml · derivative · entry 1

Chimovits Erez · CIK 0001706399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 646,204 shares

Expires 2020-11-02

F2 · derivative.exercise_price: Warrants ("Warrants") to purchase shares of the Issuer's common stock ("Shares"). The Warrants are immediately exercisable and have an exercise price of $4.00 per Share.

F1 · ownership.nature: The Reporting Person is the designated representative of OrbiMed Israel GP Ltd. on the Issuer's Board of Directors. The reportable securities are owned directly by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP, and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. The Reporting Person disclaims beneficial ownership of the securities reported herein for the 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.

SEC source: 0000947871-20-000146 · ownership.xml · derivative · entry 2

OrbiMed Israel GP Ltd. · CIK 0001569590 · Director · 10% owner

OrbiMed Israel BioFund GP Limited Partnership · CIK 0001569821 · 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: Not disclosed

Underlying: Common Stock · 646,204 shares

Expires 2024-05-02

F3 · derivative.exercise_price: Warrants ("Warrants") to purchase shares of the Issuer's common stock ("Shares"). The Warrants are immediately exercisable and have an exercise price of $4.00 per Share.

F1 · ownership.nature: These securities are owned directly by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP, and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power with respect to the securities held by OIP 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").

F2 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Israel and OrbiMed BioFund. 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 Erez Chimovits, 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: 0000947871-20-000146 · ownership.xml · derivative · entry 1

OrbiMed Israel GP Ltd. · CIK 0001569590 · Director · 10% owner

OrbiMed Israel BioFund GP Limited Partnership · CIK 0001569821 · 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: Not disclosed

Underlying: Common Stock · 646,204 shares

Expires 2020-11-02

F3 · derivative.exercise_price: Warrants ("Warrants") to purchase shares of the Issuer's common stock ("Shares"). The Warrants are immediately exercisable and have an exercise price of $4.00 per Share.

F1 · ownership.nature: These securities are owned directly by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP, and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. By virtue of such relationships, OrbiMed Israel and OrbiMed BioFund may be deemed to have voting and investment power with respect to the securities held by OIP 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").

F2 · ownership.nature: This report on Form 4 is jointly filed by OrbiMed Israel and OrbiMed BioFund. 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 Erez Chimovits, 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: 0000899243-19-024433 · doc4.xml · derivative · entry 1

Kuwahara Jon · CIK 0001664784 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2029-09-26

F1 · derivative.exercise_date: This option represents a right to purchase a total of 60,000 shares of the Issuer's Common Stock, which will vest in equal installments on the first and second anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0000899243-19-024432 · doc4.xml · derivative · entry 1

TURKEL CATHERINE C. · CIK 0001705278 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2029-09-26

F1 · derivative.exercise_date: This option represents a right to purchase a total of 75,000 shares of the Issuer's Common Stock, which will vest in equal installments on the first and second anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0000899243-19-024431 · doc4.xml · derivative · entry 1

FLESHER GREGORY J. · CIK 0001705287 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-09-26

F1 · derivative.exercise_date: This option represents a right to purchase a total of 100,000 shares of the Issuer's Common Stock, which will vest in equal installments on the first and second anniversary of the grant date, subject to the Reporting Person's continued service to the Issuer through each vesting date.

SEC source: 0000899243-19-019598 · doc4.xml · derivative · entry 1

LYONS GARY A · CIK 0001123343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-07-11

SEC source: 0000899243-19-019599 · doc4.xml · derivative · entry 1

Chimovits Erez · CIK 0001706399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-07-11

SEC source: 0000899243-19-019601 · doc4.xml · derivative · entry 1

McBride John S. · CIK 0001618251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-07-11

SEC source: 0000899243-19-019597 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-07-11

SEC source: 0000899243-19-019600 · doc4.xml · derivative · entry 1

Katkin Keith · CIK 0001314596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-07-11

SEC source: 0001562180-19-003055 · primarydocument.xml · nonDerivative · entry 2

TURKEL CATHERINE C. · CIK 0001705278 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,662

F1 · kind: Shares were sold to cover the reporting person's taxes due on the vesting of restricted stock units.

F3 · price: This transaction was executed in multiple trades at prices ranging from $1.90 to $1.945. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-003052 · primarydocument.xml · nonDerivative · entry 2

Kuwahara Jon · CIK 0001664784 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,974

F1 · kind: Shares were sold to cover the reporting person's taxes due on the vesting of restricted stock units.

F3 · price: This transaction was executed in multiple trades at prices ranging from $1.90 to $1.945. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-003051 · primarydocument.xml · nonDerivative · entry 2

FLESHER GREGORY J. · CIK 0001705287 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,918

F1 · kind: Shares were sold to cover the reporting person's taxes due on the vesting of restricted stock units.

F3 · price: This transaction was executed in multiple trades at prices ranging from $1.90 to $1.945. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-003055 · primarydocument.xml · nonDerivative · entry 1

TURKEL CATHERINE C. · CIK 0001705278 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,576

F1 · kind: Shares were sold to cover the reporting person's taxes due on the vesting of restricted stock units.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.90 to $2.05. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-003052 · primarydocument.xml · nonDerivative · entry 1

Kuwahara Jon · CIK 0001664784 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,032

F1 · kind: Shares were sold to cover the reporting person's taxes due on the vesting of restricted stock units.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.90 to $2.05. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-003051 · primarydocument.xml · nonDerivative · entry 1

FLESHER GREGORY J. · CIK 0001705287 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,855

F1 · kind: Shares were sold to cover the reporting person's taxes due on the vesting of restricted stock units.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.90 to $2.05. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000947871-19-000336 · ownership.xml · derivative · entry 3

Chimovits Erez · CIK 0001706399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 646,204

Underlying: Common Stock · 646,204 shares

Expires 2024-05-02

F2 · derivative.exercise_price: Warrants ("Warrants") to purchase shares of the Issuer's common stock ("Shares"). The Warrants are immediately exercisable and have an exercise price of $4.00 per Share.

F2 · price: Warrants ("Warrants") to purchase shares of the Issuer's common stock ("Shares"). The Warrants are immediately exercisable and have an exercise price of $4.00 per Share.

F1 · ownership.nature: The Reporting Person is the designated representative of OrbiMed Israel GP Ltd. on the Issuer's Board of Directors. The reportable securities are owned directly by OrbiMed Israel Partners Limited Partnership ("OIP"). OrbiMed Israel BioFund GP Limited Partnership ("OrbiMed BioFund") is the general partner of OIP, and OrbiMed Israel GP Ltd. ("OrbiMed Israel") is the general partner of OrbiMed BioFund. The Reporting Person disclaims beneficial ownership of the securities reported herein for the 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.