EOLS

SEC source: 0001570562-19-000024 · wf-form4_154846567750670.xml · derivative · entry 1

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 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: 0001570562-19-000022 · wf-form4_154846560188517.xml · derivative · entry 1

BLANK SIMONE · CIK 0001366840 · 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: 0001570562-19-000025 · wf-form4_154846571498976.xml · derivative · entry 1

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 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: 0001570562-19-000023 · wf-form4_154846563955209.xml · derivative · entry 1

MOATAZEDI DAVID · CIK 0001700836 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 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: 0001570562-19-000021 · wf-form4_154846556396551.xml · derivative · entry 1

Hau Bosun · CIK 0001730224 · 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: 0001570562-19-000020 · wf-form4_154846552009207.xml · derivative · entry 1

Romine Kristine · CIK 0001730037 · 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: 0001570562-19-000017 · wf-form4_154846540438935.xml · derivative · entry 1

Malik Vikram · CIK 0001730123 · 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: 0001570562-18-000131 · wf-form4_154510151046328.xml · nonDerivative · entry 2

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,347

SEC source: 0001570562-18-000129 · wf-form4_154510144090151.xml · nonDerivative · entry 1

Malik Vikram · CIK 0001730123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,400

F1 · price: The shares were purchased in multiple trades at prices ranging from $12.92 to $13.07. 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: 0001570562-18-000130 · wf-form4_154510147610889.xml · nonDerivative · entry 1

GILL DAVID N · CIK 0001106519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

F1 · price: The shares were purchased in multiple trades at prices ranging from $12.72 to $12.84. 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: 0001570562-18-000131 · wf-form4_154510151046328.xml · nonDerivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,347

F1 · price: The shares were purchased in multiple trades at prices ranging from $12.35 to $12.70. 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: 0001078782-18-001389 · primary_doc.xml · nonDerivative · entry 1

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,268,987

SEC source: 0001570562-18-000125 · wf-form4_154387242681208.xml · nonDerivative · entry 1

BLANK SIMONE · CIK 0001366840 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 295,024

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 principal amounts of the notes due on December 23, 2018 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: 0001570562-18-000124 · wf-form4_154387240503332.xml · nonDerivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,347

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 amounts of the notes due on December 23, 2018 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: 0001570562-18-000110 · wf-form4_153731987653084.xml · nonDerivative · entry 1

Jafar Michael M. · CIK 0001744242 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,000

SEC source: 0001078782-18-000975 · primary_doc.xml · nonDerivative · entry 1

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,842,875

SEC source: 0001570562-18-000104 · wf-form4_153550613550322.xml · nonDerivative · entry 2

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 1,360

F2 · balance_after: 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

SEC source: 0001570562-18-000104 · wf-form4_153550613550322.xml · nonDerivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

F1 · price: The shares were purchased in multiple trades at prices ranging from $19.70 to $19.93. 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: 0001570562-18-000094 · wf-form4_153237608581846.xml · nonDerivative · entry 1

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,592,875

F1 · kind: The Reporting Persons sold shares to the underwriters in connection with the closing of the Issuer's follow-on public offering. The reported sale price reflects the price at which the Reporting Persons sold shares to the underwriters, which is net of underwriting commissions.

SEC source: 0001570562-18-000066 · wf-form4_152954187337225.xml · derivative · entry 2

Jafar Michael M. · CIK 0001744242 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2028-06-18

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 June 18, 2018, 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: 0001570562-18-000066 · wf-form4_152954187337225.xml · nonDerivative · entry 1

Jafar Michael M. · CIK 0001744242 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,200

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 shares subject to the option vesting annually on the anniversary of June 18, 2018, 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: 0001570562-18-000057 · wf-form4_152909443160111.xml · nonDerivative · entry 1

Malik Vikram · CIK 0001730123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,600

F1 · price: The shares were purchased in multiple trades at prices ranging from $28.83 to $28.8993. 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: 0001570562-18-000055 · wf-form4_152849455074302.xml · nonDerivative · entry 2

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

SEC source: 0001570562-18-000055 · wf-form4_152849455074302.xml · nonDerivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 1,200

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 · balance_after: Due to an inadvertent error, the number of shares owned by the Reporting Person's Son was overstated on a Form 4 filed on June 4, 2018 by 1,000 shares. The previous error has been corrected in the current filing.

SEC source: 0001570562-18-000053 · wf-form4_152848912138903.xml · nonDerivative · entry 1

Hau Bosun · CIK 0001730224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,040

F1 · price: The shares were purchased in multiple trades at prices ranging from $34.8064 to $35.1064. 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: 0001570562-18-000051 · wf-form4_152823283258474.xml · nonDerivative · entry 1

Hau Bosun · CIK 0001730224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,142

F1 · price: The shares were purchased in multiple trades at prices ranging from $28.93 to $29.3899. 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: 0001570562-18-000049 · wf-form4_152814342858962.xml · nonDerivative · entry 3

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

F2 · price: The shares were purchased in multiple trades at prices ranging from $25.324 to $26.15. 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: 0001570562-18-000049 · wf-form4_152814342858962.xml · nonDerivative · entry 2

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 2,000

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.

SEC source: 0001570562-18-000049 · wf-form4_152814342858962.xml · nonDerivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001570562-18-000044 · wf-form4_152779767553759.xml · derivative · entry 2

SILVERNAIL LAUREN P · CIK 0001225755 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-05-29

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 May 29, 2018, 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: 0001570562-18-000044 · wf-form4_152779767553759.xml · nonDerivative · entry 1

SILVERNAIL LAUREN P · CIK 0001225755 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

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 shares subject to the option vesting annually on the anniversary of May 29, 2018, 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: 0001570562-18-000029 · wf-form4_152582874753746.xml · derivative · entry 1

MOATAZEDI DAVID · CIK 0001700836 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,182,019

Underlying: Common Stock · 1,182,019 shares

Expires 2028-05-06

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 May 6, 2018, 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: 0001570562-18-000021 · wf-form4_152476415212778.xml · derivative · entry 1

GILL DAVID N · CIK 0001106519 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,696

Underlying: Common Stock · 22,696 shares

Expires 2028-04-24

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 February 12, 2018.

SEC source: 0001570562-18-000023 · wf-form4_152476422333797.xml · derivative · entry 1

HAYMAN ROBERT · CIK 0001269349 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,086

Underlying: Common Stock · 9,086 shares

Expires 2028-04-24

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 January 6, 2018.

SEC source: 0001570562-18-000020 · wf-form4_152476413598851.xml · derivative · entry 1

BLANK SIMONE · CIK 0001366840 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,086

Underlying: Common Stock · 9,086 shares

Expires 2028-04-24

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 January 6, 2018.

SEC source: 0001570562-18-000025 · wf-form4_152476425529423.xml · derivative · entry 1

Romine Kristine · CIK 0001730037 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,086

Underlying: Common Stock · 9,086 shares

Expires 2028-04-24

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 January 6, 2018.

SEC source: 0001570562-18-000024 · wf-form4_152476423933800.xml · derivative · entry 1

Malik Vikram · CIK 0001730123 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,086

Underlying: Common Stock · 9,086 shares

Expires 2028-04-24

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 January 6, 2018.

SEC source: 0001570562-18-000022 · wf-form4_152476420693760.xml · derivative · entry 1

Hau Bosun · CIK 0001730224 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,086

Underlying: Common Stock · 9,086 shares

Expires 2028-04-24

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 January 6, 2018.

SEC source: 0001628280-18-001613 · wf-form4_151857049936322.xml · derivative · entry 2

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,065,875 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.

F2 · derivative.exercise_price: Effective immediately upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series A preferred stock automatically converted into 1.6527 shares of the Issuer's common stock. The Series A preferred stock had no expiration date.

F2 · derivative.exercise_date: Effective immediately upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series A preferred stock automatically converted into 1.6527 shares of the Issuer's common stock. The Series A preferred stock had no expiration date.

F2 · derivative.expiration_date: Effective immediately upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series A preferred stock automatically converted into 1.6527 shares of the Issuer's common stock. The Series A preferred stock had no expiration date.

F1 · derivative.underlying_shares: Reflects a 1.6527-for-1 forward stock split of the Issuer's common stock effected on January 26, 2018.

SEC source: 0001628280-18-001613 · wf-form4_151857049936322.xml · nonDerivative · entry 1

Alphaeon Corp · CIK 0001622667 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,065,875

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 · shares: Reflects a 1.6527-for-1 forward stock split of the Issuer's common stock effected on January 26, 2018.

F2 · price: Effective immediately upon the closing of the Issuer's initial public offering of its common stock under the Securities Act of 1933, as amended, each share of Series A preferred stock automatically converted into 1.6527 shares of the Issuer's common stock. The Series A preferred stock had no expiration date.

F1 · balance_after: Reflects a 1.6527-for-1 forward stock split of the Issuer's common stock effected on January 26, 2018.