ELOX

SEC source: 0001104659-21-067516 · tm2116620d4_4.xml · nonDerivative · entry 1

PAREKH RAJESH B · CIK 0001429930 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 171,807

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F2 · ownership.nature: Held directly by Advent Life Sciences LLP. The Reporting Person is a general partner of Advent Life Sciences LLP. The Reporting Person disclaims beneficial ownership of the reported shares, except to the extent of any pecuniary interest therein.

SEC source: 0001104659-21-067335 · tm2116620d2_4.xml · nonDerivative · entry 4

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 616,592

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F5 · ownership.nature: Represents shares of the Issuer held by Pontifax Late Stage Fund L.P.("Late Stage Fund"). Pontifax Late Stage GP Ltd., the general partner of Late Stage Fund, has a Strategic Alliance Agreement with Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Late Stage Fund. Mr. Nussbaum disclaims beneficial ownership of such shares, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

SEC source: 0001104659-21-067335 · tm2116620d2_4.xml · nonDerivative · entry 3

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 1,989,551

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F4 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

SEC source: 0001104659-21-067335 · tm2116620d2_4.xml · nonDerivative · entry 2

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 3,679,797

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

SEC source: 0001104659-21-067335 · tm2116620d2_4.xml · nonDerivative · entry 1

Nussbaum Ran · CIK 0001609805 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 1,791,470

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. Mr. Nussbaum is a Managing Partner of Management 4. By virtue of this relationship, Mr. Nussbaum may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Nussbaum disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

SEC source: 0001104659-21-067333 · tm2116620d1_4s.xml · nonDerivative · entry 4

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 616,592

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F5 · ownership.nature: Represents shares of the Issuer held by Pontifax Late Stage Fund L.P.("Late Stage Fund"). Pontifax Late Stage GP Ltd., the general partner of Late Stage Fund, has a Strategic Alliance Agreement with Pontifax IV. By virtue of this relationship, Mr. Kariv may be deemed to share voting and dispositive power with respect to the shares held by Late Stage Fund. Mr. Kariv disclaims beneficial ownership of such shares, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

SEC source: 0001104659-21-067333 · tm2116620d1_4s.xml · nonDerivative · entry 3

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 1,989,551

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F4 · ownership.nature: Represents shares of the Issuer held by Pontifax (China) IV, L.P. ("China IV"). Pontifax IV is the general partner of China IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Kariv may be deemed to share voting and dispositive power with respect to the shares held by China IV. Mr. Kariv disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

SEC source: 0001104659-21-067333 · tm2116620d1_4s.xml · nonDerivative · entry 2

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 3,679,797

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F3 · ownership.nature: Represents shares of the Issuer held by Pontifax (Israel) IV, L.P. ("Israel IV"). Pontifax IV is the general partner of Israel IV. Management 4 is the general partner of Pontifax IV. By virtue of this relationship, Mr. Kariv may be deemed to share voting and dispositive power with respect to the shares held by Israel IV. Mr. Kariv disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

SEC source: 0001104659-21-067333 · tm2116620d1_4s.xml · nonDerivative · entry 1

Kariv Tomer · CIK 0001568077 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pontifax Investment Fund

Disclosed balance after: 1,791,470

F1 · kind: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F1 · price: Reflects the purchase of shares in the offering of Common Stock of Eloxx Pharmaceuticals, Inc. that is expected to close on May 18, 2021.

F2 · ownership.nature: Represents shares of the Issuer held by Pontifax (Cayman) IV, L.P. ("Cayman IV"). Pontifax IV GP L.P. ("Pontifax IV") is the general partner of Cayman IV. Pontifax Management 4 G.P. (2015) Ltd. ("Management 4") is the general partner of Pontifax IV. Mr. Kariv is a Managing Partner of Management 4. By virtue of this relationship, Mr. Kariv may be deemed to share voting and dispositive power with respect to the shares held by Cayman IV. Mr. Kariv disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, and the inclusion of the shares in this report shall not be deemed to be an admission of beneficial ownership of the reported shares for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise.

SEC source: 0001415889-21-002227 · form4-05032021_100502.xml · derivative · entry 3

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,938

Underlying: Common Stock · 1,562 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through January 30, 2023, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated with certain qualifying terminations of service or in connection with a corporate transaction.

SEC source: 0001415889-21-002227 · form4-05032021_100502.xml · nonDerivative · entry 2

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,180

SEC source: 0001415889-21-002227 · form4-05032021_100502.xml · nonDerivative · entry 1

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,639

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

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-21-002054 · form4-04222021_110401.xml · derivative · entry 1

Geffken Daniel E. · CIK 0001314756 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2026-04-20

F1 · derivative.exercise_date: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vests as follows: ratably on a monthly basis on the last calendar day of each month during the first twelve (12) months following the grant date; provided, however, that if the Issuer terminates the Consulting Agreement for the reporting person's services or if the reporting person is no longer servicing the Issuer at any time following the grant date, no further options shall vest following such termination. If the Consulting Agreement or if the services of the reporting person are terminated for cause by the Issuer, then the options shall be forfeited in their entirety.

F2 · ownership.direct: The reporting person will assign the economic interest of this grant to Danforth Advisors, LLC, where he serves as Managing Director.

SEC source: 0001415889-21-001851 · form4-04022021_060410.xml · derivative · entry 2

Walts Alan Edmund · CIK 0001853544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-04-01

F3 · derivative.exercise_date: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan and vests as follows: one-half of the shares underlying the option shall vest on April 1, 2022 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

SEC source: 0001415889-21-001851 · form4-04022021_060410.xml · derivative · entry 1

Walts Alan Edmund · CIK 0001853544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,695

Underlying: Common Stock · 37,695 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan. The restricted stock units will vest in full on December 1, 2021, subject to the Reporting Person's continued service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of service or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

F2 · derivative.expiration_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan. The restricted stock units will vest in full on December 1, 2021, subject to the Reporting Person's continued service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of service or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

SEC source: 0001415889-21-001849 · form4-04022021_060425.xml · derivative · entry 3

MODUR VIJAY · CIK 0001854082 · HEAD OF R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 711,619

Underlying: Common Stock · 711,619 shares

Expires 2031-04-01

F3 · derivative.exercise_date: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan. The stock options vest and become exercisable over a four-year period, with one-fourth of the Issuer's shares of common stock underlying the options vesting on April 1, 2022, and with the remainder vesting in twelve equal quarterly installments thereafter, subject to Reporting Person's continued employment or other service with the Issuer on each applicable vesting date, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction.

SEC source: 0001415889-21-001849 · form4-04022021_060425.xml · derivative · entry 2

MODUR VIJAY · CIK 0001854082 · HEAD OF R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,326

Underlying: Common Stock · 44,683 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan and will vest in full on December 1, 2021, subject to the Reporting Person's continued employment or other service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

F2 · derivative.expiration_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan and will vest in full on December 1, 2021, subject to the Reporting Person's continued employment or other service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

SEC source: 0001415889-21-001849 · form4-04022021_060425.xml · derivative · entry 1

MODUR VIJAY · CIK 0001854082 · HEAD OF R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,643

Underlying: Common Stock · 174,643 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan and will vest in full on December 1, 2021, subject to the Reporting Person's continued employment or other service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

F2 · derivative.expiration_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan and will vest in full on December 1, 2021, subject to the Reporting Person's continued employment or other service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

SEC source: 0001415889-21-001848 · form4-04022021_050420.xml · derivative · entry 3

Aggarwal Sumit · CIK 0001854362 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,423,238

Underlying: Common Stock · 1,423,238 shares

Expires 2031-04-01

F3 · derivative.exercise_date: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan. The stock options vest and become exercisable over a four-year period, with one-fourth of the Issuer's shares of common stock underlying the options vesting on April 1, 2022, and with the remainder vesting in twelve equal quarterly installments thereafter, subject to Reporting Person's continued employment or other service with the Issuer on each applicable vesting date, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction.

SEC source: 0001415889-21-001848 · form4-04022021_050420.xml · derivative · entry 2

Aggarwal Sumit · CIK 0001854362 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,158

Underlying: Common Stock · 55,854 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan. The restricted stock units will vest in full on December 1, 2021, subject to the Reporting Person's continued employment or other service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

F2 · derivative.expiration_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan. The restricted stock units will vest in full on December 1, 2021, subject to the Reporting Person's continued employment or other service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

SEC source: 0001415889-21-001848 · form4-04022021_050420.xml · derivative · entry 1

Aggarwal Sumit · CIK 0001854362 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,304

Underlying: Common Stock · 223,304 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan. The restricted stock units will vest in full on December 1, 2021, subject to the Reporting Person's continued employment or other service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

F2 · derivative.expiration_date: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan. The restricted stock units will vest in full on December 1, 2021, subject to the Reporting Person's continued employment or other service with the Issuer, which vesting may be accelerated in connection with certain qualifying terminations of employment or in connection with a corporate transaction. Promptly following vesting, and in any event on or prior to December 31, 2021, each restricted stock unit will be settled by delivery of one share of the Issuer's common stock to the Reporting Person.

SEC source: 0001415889-21-001896 · form4-04052021_050420.xml · derivative · entry 3

PAREKH RAJESH B · CIK 0001429930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-04-01

F5 · derivative.exercise_date: The stock option was issued pursuant to the Issuer's 2018 Equity Incentive Plan and vests as follows: one-half (1/2) of the shares underlying the option shall vest on April 1, 2022 (the "Cliff Vesting Date"), the remainder of the grant shall vest in twelve (12) equal installments on each successive monthly anniversary of the Cliff Vesting Date, subject to Reporting Person's continuous service as of each such date.

SEC source: 0001415889-21-001896 · form4-04052021_050420.xml · nonDerivative · entry 2

PAREKH RAJESH B · CIK 0001429930 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,445,239

F3 · price: Received by Advent Life Sciences Fund II LLP in exchange for 9,715,135 Series A Preferred and 37,139,650 Series A-1 Preferred shares of Zikani in connection with the acquisition of Zikani by the Issuer.

F4 · ownership.nature: Held directly by Advent Life Sciences Fund II LLP. Advent Life Sciences LLP is the manager of Advent Life Sciences Fund II LLP and the Reporting Person is a general partner of Advent Life Sciences LLP. The Reporting Person disclaims beneficial ownership of the reported shares, except to the extent of any pecuniary interest therein.

SEC source: 0001415889-21-001896 · form4-04052021_050420.xml · nonDerivative · entry 1

PAREKH RAJESH B · CIK 0001429930 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 87,031

F1 · price: Received by Advent Life Sciences LLP in exchange for 345,785 Series A Preferred and 1,321,888 Series A-1 Preferred shares of Zikani Therapeutics, Inc. ("Zikani") in connection with the acquisition of Zikani by the Issuer.

F2 · ownership.nature: Held directly by Advent Life Sciences LLP. The Reporting Person is a general partner of Advent Life Sciences LLP. The Reporting Person disclaims beneficial ownership of the reported shares, except to the extent of any pecuniary interest therein.

SEC source: 0001415889-21-001001 · form4-02262021_070206.xml · derivative · entry 3

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on February 25, 2020 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on February 25, 2020 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on February 25, 2020 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through February 25, 2024, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

SEC source: 0001415889-21-001001 · form4-02262021_070206.xml · nonDerivative · entry 2

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,077

SEC source: 0001415889-21-001001 · form4-02262021_070206.xml · nonDerivative · entry 1

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,415

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

F1 · price: The restricted stock units issued to the reporting person on February 25, 2020 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-21-001000 · form4-02262021_070201.xml · derivative · entry 3

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 50,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on February 25, 2020 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on February 25, 2020 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on February 25, 2020 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through February 25, 2024, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

SEC source: 0001415889-21-001000 · form4-02262021_070201.xml · nonDerivative · entry 2

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,629

SEC source: 0001415889-21-001000 · form4-02262021_070201.xml · nonDerivative · entry 1

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,989

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

F1 · price: The restricted stock units issued to the reporting person on February 25, 2020 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-21-000736 · form4-02172021_030216.xml · derivative · entry 1

MacDonald Stephen G. · CIK 0001839189 · VP FINANCE & ACCTG, TREASURER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,849

Underlying: Common Stock · 18,849 shares

Expires 2031-02-12

F1 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on February 12, 2022, and the remainder vesting in twelve equal quarterly installments thereafter.

SEC source: 0001415889-21-000735 · form4-02172021_030226.xml · derivative · entry 1

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2031-02-12

F1 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on February 12, 2022, and the remainder vesting in twelve equal quarterly installments thereafter.

SEC source: 0001415889-21-000734 · form4-02172021_030201.xml · derivative · entry 1

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-02-12

F1 · price: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The stock options were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F2 · derivative.exercise_date: The options vest and become exercisable over a four-year period, with one-fourth of the shares of common stock underlying the options vesting on February 12, 2022, and the remainder vesting in twelve equal quarterly installments thereafter.

SEC source: 0001415889-21-000502 · form4-02022021_040206.xml · derivative · entry 3

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 1,875 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through January 30, 2023, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

SEC source: 0001415889-21-000502 · form4-02022021_040206.xml · nonDerivative · entry 2

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,989

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-21-000502 · form4-02022021_040206.xml · nonDerivative · entry 1

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,632

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

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-21-000501 · form4-02022021_040201.xml · derivative · entry 3

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 1,563 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through January 30, 2023, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

SEC source: 0001415889-21-000501 · form4-02022021_040201.xml · nonDerivative · entry 2

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,415

SEC source: 0001415889-21-000501 · form4-02022021_040201.xml · nonDerivative · entry 1

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,957

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

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-20-002521 · form4-11022020_041107.xml · derivative · entry 3

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,875

Underlying: Common Stock · 1,875 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through January 30, 2023, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

SEC source: 0001415889-20-002521 · form4-11022020_041107.xml · nonDerivative · entry 2

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,757

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-20-002521 · form4-11022020_041107.xml · nonDerivative · entry 1

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,382

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

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-20-002520 · form4-11022020_041102.xml · derivative · entry 3

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,063

Underlying: Common Stock · 1,562 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through January 30, 2023, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

SEC source: 0001415889-20-002520 · form4-11022020_041102.xml · nonDerivative · entry 2

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,394

SEC source: 0001415889-20-002520 · form4-11022020_041102.xml · nonDerivative · entry 1

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,853

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

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-20-001981 · form4-07312020_040707.xml · derivative · entry 3

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,625

Underlying: Common Stock · 1,563 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through January 30, 2023, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

SEC source: 0001415889-20-001981 · form4-07312020_040707.xml · nonDerivative · entry 2

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,291

SEC source: 0001415889-20-001981 · form4-07312020_040707.xml · nonDerivative · entry 1

Belloff Neil S. · CIK 0001741670 · COO, GENERAL COUNSEL &CORP SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,750

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

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

SEC source: 0001415889-20-001980 · form4-07312020_040702.xml · derivative · entry 3

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 1,875 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · price: The restricted stock units were issued pursuant to the Issuer's 2018 Equity Incentive Plan.

F1 · derivative.exercise_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F1 · derivative.expiration_date: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.

F4 · balance_after: The remaining restricted stock units will vest ratably each quarter through January 30, 2023, subject to the reporting person's continued employment with the Issuer, which vesting may be accelerated in certain circumstances.

SEC source: 0001415889-20-001980 · form4-07312020_040702.xml · nonDerivative · entry 2

Williams Gregory C. · CIK 0001597293 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,507

F1 · price: The restricted stock units issued to the reporting person on January 30, 2019 have partially vested and settled for shares of the Issuer's common stock.