EOLS

SEC source: 0001570562-21-000018 · wf-form4_161222574461892.xml · nonDerivative · entry 1

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,103

F1 · price: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of January 27, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-21-000019 · wf-form4_161222577187164.xml · nonDerivative · entry 1

SILVERNAIL LAUREN P · CIK 0001225755 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,689

F1 · price: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of January 27, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-21-000020 · wf-form4_161222579548673.xml · nonDerivative · entry 1

Jafar Michael M. · CIK 0001744242 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,851

F1 · price: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of January 27, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-21-000017 · wf-form4_161222572441823.xml · nonDerivative · entry 1

MOATAZEDI DAVID · CIK 0001700836 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440,427

F1 · price: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of January 27, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-21-000010 · wf-form4_161171222211564.xml · nonDerivative · entry 1

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,103

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in the first quarter of 2020 and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of certain Restricted Stock Units.

SEC source: 0001570562-21-000012 · wf-form4_161171225932694.xml · nonDerivative · entry 1

SILVERNAIL LAUREN P · CIK 0001225755 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,689

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in the first quarter of 2020 and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of certain Restricted Stock Units.

SEC source: 0001570562-21-000011 · wf-form4_161171223808786.xml · nonDerivative · entry 1

Jafar Michael M. · CIK 0001744242 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,851

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in the first quarter of 2020 and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of certain Restricted Stock Units.

SEC source: 0001570562-21-000009 · wf-form4_161171220703468.xml · nonDerivative · entry 1

MOATAZEDI DAVID · CIK 0001700836 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,760

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in the first quarter of 2020 and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of certain Restricted Stock Units.

SEC source: 0001570562-20-000124 · wf-form4_160410257452752.xml · derivative · entry 2

Jafar Michael M. · CIK 0001744242 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,350

Underlying: Common Stock · 79,350 shares

Expires 2030-10-28

F2 · derivative.exercise_date: The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting annually on the anniversary of October 28, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000124 · wf-form4_160410257452752.xml · nonDerivative · entry 1

Jafar Michael M. · CIK 0001744242 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,550

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of October 28, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000094 · wf-form4_158958718809777.xml · nonDerivative · entry 1

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,802

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest as to 100% of the award on July 1, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000093 · wf-form4_158958716608299.xml · nonDerivative · entry 1

SILVERNAIL LAUREN P · CIK 0001225755 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,388

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest as to 100% of the award on July 1, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000095 · wf-form4_158958721207647.xml · nonDerivative · entry 1

Jafar Michael M. · CIK 0001744242 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,000

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest as to 100% of the award on July 1, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000092 · wf-form4_158958714451865.xml · nonDerivative · entry 1

MOATAZEDI DAVID · CIK 0001700836 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,070

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest as to 100% of the award on July 1, 2021, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000038 · wf-form4_157991805639271.xml · derivative · entry 1

GILL DAVID N · CIK 0001106519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,458

Underlying: Common Stock · 23,458 shares

Expires 2030-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000049 · wf-form4_157991848930412.xml · derivative · entry 2

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2030-01-23

F2 · derivative.exercise_date: The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting annually on the anniversary of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000049 · wf-form4_157991848930412.xml · nonDerivative · entry 1

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,802

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000037 · wf-form4_157991803386903.xml · derivative · entry 1

HAYMAN ROBERT · CIK 0001269349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,458

Underlying: Common Stock · 23,458 shares

Expires 2030-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000035 · wf-form4_157991798760151.xml · derivative · entry 1

FARRELL PETER C · CIK 0001186102 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,458

Underlying: Common Stock · 23,458 shares

Expires 2030-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000048 · wf-form4_157991846794918.xml · derivative · entry 2

SILVERNAIL LAUREN P · CIK 0001225755 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2030-01-23

F2 · derivative.exercise_date: The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting annually on the anniversary of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000048 · wf-form4_157991846794918.xml · nonDerivative · entry 1

SILVERNAIL LAUREN P · CIK 0001225755 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,388

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000046 · wf-form4_157991842431171.xml · derivative · entry 1

BLANK SIMONE · CIK 0001366840 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,458

Underlying: Common Stock · 23,458 shares

Expires 2030-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000050 · wf-form4_157991851086596.xml · derivative · entry 2

Jafar Michael M. · CIK 0001744242 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2030-01-23

F2 · derivative.exercise_date: The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting annually on the anniversary of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000050 · wf-form4_157991851086596.xml · nonDerivative · entry 1

Jafar Michael M. · CIK 0001744242 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,000

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000047 · wf-form4_157991844635493.xml · derivative · entry 2

MOATAZEDI DAVID · CIK 0001700836 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,910

Underlying: Common Stock · 141,910 shares

Expires 2030-01-23

F2 · derivative.exercise_date: The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting annually on the anniversary of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000047 · wf-form4_157991844635493.xml · nonDerivative · entry 1

MOATAZEDI DAVID · CIK 0001700836 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,070

F1 · shares: Represents shares issuable on settlement of restricted stock units ("RSUs") granted to the reporting person. Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs will vest over a period of four years, with 1/4th of the RSU vesting annually on the anniversary of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000040 · wf-form4_157991810249418.xml · derivative · entry 1

Hau Bosun · CIK 0001730224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,458

Underlying: Common Stock · 23,458 shares

Expires 2030-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000039 · wf-form4_157991807942005.xml · derivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,458

Underlying: Common Stock · 23,458 shares

Expires 2030-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000036 · wf-form4_157991801048284.xml · derivative · entry 1

Malik Vikram · CIK 0001730123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,458

Underlying: Common Stock · 23,458 shares

Expires 2030-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-20-000034 · wf-form4_157991796400306.xml · derivative · entry 1

Parschauer Karah Herdman · CIK 0001677455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,458

Underlying: Common Stock · 23,458 shares

Expires 2030-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001078782-20-000010 · primary_doc.xml · nonDerivative · entry 1

AEON Biopharma, Inc. · CIK 0001622667 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Pursuant to a Contribution Agreement dated January 8, 2020, by and between the Reporting Person (formerly known as Alphaeon Corporation) and Alphaeon 1 LLC ("Alphaeon"), on January 8, 2020, the Reporting Person contributed 8,662,346 shares of the Issuer to Alphaeon (the "Contribution"). The shares of the Issuer contributed to Alphaeon are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended. At the time of the Contribution, Alphaeon was a wholly-owned subsidiary of the Reporting Person. Immediately after the Contribution, the Reporting Person distributed out all of the membership interests of Alphaeon to its stockholders. The Reporting Person is filing this exit Form 4 to report that it is no longer a beneficial owner of the Issuer's securities.

SEC source: 0001570562-20-000002 · wf-form4_157853021770409.xml · nonDerivative · entry 1

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,802

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in the fourth quarter of 2019 and represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of certain Restricted Stock Units.

F2 · price: The shares were sold in multiple trades at prices ranging from $10.68 to $11.2016. The price reported above reflects the weighted average selling 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 transactions were effected.

SEC source: 0001570562-19-000164 · wf-form4_157610476734295.xml · derivative · entry 2

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,682

Underlying: Common Stock · 10,020 shares

Expires 2028-01-06

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_date: The option was granted on January 6, 2018 for the right to buy 199,702 shares of common stock of the Issuer. The shares subject to the option vest over a period of four years, with 1/4th of the shares subject to the option vesting annually on the anniversary of January 6, 2018, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including upon certain changes of control of the Issuer.

SEC source: 0001570562-19-000164 · wf-form4_157610476734295.xml · nonDerivative · entry 1

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,244

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

SEC source: 0001570562-19-000113 · wf-form4_156339544054218.xml · derivative · entry 1

FARRELL PETER C · CIK 0001186102 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,163

Underlying: Common Stock · 26,163 shares

Expires 2029-07-15

F1 · derivative.exercise_date: The shares subject to the option will vest over a period of two years, with 1/2 of the shares subject to the option vesting annually on the anniversary of July 15, 2019.

SEC source: 0001570562-19-000114 · wf-form4_156339545939626.xml · derivative · entry 1

Parschauer Karah Herdman · CIK 0001677455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,163

Underlying: Common Stock · 26,163 shares

Expires 2029-07-15

F1 · derivative.exercise_date: The shares subject to the option will vest over a period of two years, with 1/2 of the shares subject to the option vesting annually on the anniversary of July 15, 2019.

SEC source: 0001570562-19-000103 · wf-form4_156056397196003.xml · nonDerivative · entry 1

GILL DAVID N · CIK 0001106519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001570562-19-000095 · wf-form4_155969235978393.xml · nonDerivative · entry 1

Malik Vikram · CIK 0001730123 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,298,701

F1 · shares: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and Strathspey Crown Holdings Group, LLC ("SCH"). SCH is the majority shareholder of ALPHAEON. The shares of common stock received by SCH are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.

F2 · ownership.nature: The reported securities are directly owned by SCH and may be deemed beneficially owned by the Reporting Person as a Managing Partner of SCH. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose

SEC source: 0001078782-19-000500 · primary_doc.xml · nonDerivative · entry 1

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,662,346

F1 · kind: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and Strathspey Crown Holdings Group, LLC ("SCH"). SCH is a majority shareholder of ALPHAEON. The shares of common stock received by SCH are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.

F1 · shares: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and Strathspey Crown Holdings Group, LLC ("SCH"). SCH is a majority shareholder of ALPHAEON. The shares of common stock received by SCH are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.

F1 · price: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and Strathspey Crown Holdings Group, LLC ("SCH"). SCH is a majority shareholder of ALPHAEON. The shares of common stock received by SCH are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.

SEC source: 0001078782-19-000499 · primary_doc.xml · nonDerivative · entry 1

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,662,346

SEC source: 0001570562-19-000092 · wf-form4_155934669118868.xml · nonDerivative · entry 1

SILVERNAIL LAUREN P · CIK 0001225755 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,388

F1 · shares: Represents shares sold solely for the purpose of covering tax withholding obligations in connection with the vesting and settlement of certain restricted stock units held by the reporting person previously described in a Form 4 filed on May 31, 2018.

F2 · price: The shares were sold in multiple trades at prices ranging from $13.5213 to $13.5355. 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: 0001570562-19-000093 · wf-form4_155934672639420.xml · nonDerivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 3,450

F1 · shares: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.

F2 · price: The shares were purchased in multiple trades at prices ranging from $14.75 to $14.77. The price reported above reflects the weighted average purchase 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: 0001078782-19-000477 · primary_doc.xml · nonDerivative · entry 3

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,961,047

F1 · kind: The disposition of an aggregate of 1,307,940 shares of common stock was made pursuant to a private transaction with certain of Alphaeon Corporation's existing noteholders who elected to receive payment of certain outstanding amounts under their notes due June 23, 2019 in the form of shares of common stock rather than cash. The shares of common stock received by the noteholders are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.

SEC source: 0001570562-19-000088 · wf-form4_155856672795834.xml · nonDerivative · entry 1

BLANK SIMONE · CIK 0001366840 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 923,560

F1 · price: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and Dental Innovations BVBA ("DI"). DI holds certain notes issued by ALPHAEON. DI elected to receive payment from ALPHAEON of the outstanding amounts of the notes due in June 2019 in the form of shares of common stock rather than cash. The shares of common stock received by the Dental Innovations BVBA are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.

F2 · ownership.nature: The reported securities are directly owned by DI and may be deemed beneficially owned by the Reporting Person as a shareholder of DI. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001570562-19-000089 · wf-form4_155856675911260.xml · nonDerivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,909

F1 · price: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and the Reporting Person. The Reporting Person holds certain notes issued by ALPHAEON. The Reporting Person elected to receive payment from ALPHAEON of the outstanding principal and interest amounts of the notes due in June 2019 in the form of shares of common stock rather than cash. The shares of common stock received by the Reporting Person are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.

SEC source: 0001078782-19-000477 · primary_doc.xml · nonDerivative · entry 2

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,251,565

F1 · kind: The disposition of an aggregate of 1,307,940 shares of common stock was made pursuant to a private transaction with certain of Alphaeon Corporation's existing noteholders who elected to receive payment of certain outstanding amounts under their notes due June 23, 2019 in the form of shares of common stock rather than cash. The shares of common stock received by the noteholders are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended.

SEC source: 0001078782-19-000477 · primary_doc.xml · nonDerivative · entry 1

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,268,987

SEC source: 0001570562-19-000019 · wf-form4_154846548092960.xml · derivative · entry 1

GILL DAVID N · CIK 0001106519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,500

Underlying: Common Stock · 14,500 shares

Expires 2029-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2019, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-19-000026 · wf-form4_154846575247503.xml · derivative · entry 1

Avelar Rui · CIK 0001432063 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2029-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest over a period of four years, with 1/4th of the shares subject to the option vesting annually on the anniversary of January 23, 2019, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.

SEC source: 0001570562-19-000018 · wf-form4_154846544253494.xml · derivative · entry 1

HAYMAN ROBERT · CIK 0001269349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,500

Underlying: Common Stock · 14,500 shares

Expires 2029-01-23

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2019, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.