EQ

SEC source: 0001209191-24-000516 · doc4.xml · nonDerivative · entry 1

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,442

F1 · kind: These shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-24-000515 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,108

F1 · kind: These shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-24-000518 · doc4.xml · nonDerivative · entry 1

Rothman Joel · CIK 0001842921 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,346

F1 · kind: These shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-23-031706 · doc4.xml · derivative · entry 1

MANIAN BALA S · CIK 0000941871 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-22

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 22, 2023, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-23-031720 · doc4.xml · derivative · entry 1

Troupin Barbara · CIK 0001627886 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-22

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 22, 2023, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-23-031704 · doc4.xml · derivative · entry 1

DEMSKI MARTHA J · CIK 0001198230 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-22

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 22, 2023, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-23-031713 · doc4.xml · derivative · entry 1

Pruzanski Mark · CIK 0001559569 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-22

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 22, 2023, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-23-031707 · doc4.xml · derivative · entry 1

McDermott Charles Douglas · CIK 0001710696 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-22

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 22, 2023, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-23-031724 · doc4.xml · derivative · entry 1

Xu Yu (Katherine) · CIK 0001843348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-22

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 22, 2023, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-23-001362 · doc4.xml · derivative · entry 2

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2033-01-02

F2 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-001369 · doc4.xml · derivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2033-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-001374 · doc4.xml · derivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-001364 · doc4.xml · derivative · entry 1

Steel Bruce D. · CIK 0001614997 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,000

Underlying: Common Stock · 410,000 shares

Expires 2033-01-02

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-001367 · doc4.xml · derivative · entry 3

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2033-01-02

F2 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-001366 · doc4.xml · derivative · entry 3

Rothman Joel · CIK 0001842921 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2033-01-02

F2 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-001367 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,108

F1 · kind: These shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-23-001366 · doc4.xml · nonDerivative · entry 2

Rothman Joel · CIK 0001842921 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,346

F1 · kind: These shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-22-048037 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 77,720

F1 · kind: The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.80 to $2.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001209191-23-001362 · doc4.xml · nonDerivative · entry 1

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,442

F1 · kind: These shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-23-001366 · doc4.xml · nonDerivative · entry 1

Rothman Joel · CIK 0001842921 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,525

F1 · kind: These shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001209191-22-034749 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 84,720

F1 · kind: The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.48 to $2.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001209191-22-031992 · doc4.xml · derivative · entry 1

MANIAN BALA S · CIK 0000941871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-24

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 24, 2022, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-22-031991 · doc4.xml · derivative · entry 1

DEMSKI MARTHA J · CIK 0001198230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-24

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 24, 2022, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-22-031994 · doc4.xml · derivative · entry 1

Pruzanski Mark · CIK 0001559569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-24

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 24, 2022, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-22-031993 · doc4.xml · derivative · entry 1

McDermott Charles Douglas · CIK 0001710696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-24

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 24, 2022, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-22-031995 · doc4.xml · derivative · entry 1

Xu Yu (Katherine) · CIK 0001843348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-24

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on the grant date of May 24, 2022, provided that the option will, in any case, be fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-22-023220 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 89,720

F1 · kind: The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.12 to $3.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001209191-22-017194 · doc4.xml · derivative · entry 1

Troupin Barbara · CIK 0001627886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-02-29

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments following the grant date of March 1, 2022.

SEC source: 0001209191-23-007681 · doc4.xml · derivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director · Executive Chairman · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2032-02-29

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-007671 · doc4.xml · derivative · entry 1

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-01-18

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-007679 · doc4.xml · derivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-01-18

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-007672 · doc4.xml · derivative · entry 1

Steel Bruce D. · CIK 0001614997 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires 2032-01-18

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-007678 · doc4.xml · derivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-01-18

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-23-007677 · doc4.xml · derivative · entry 1

Rothman Joel · CIK 0001842921 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-01-18

F1 · derivative.exercise_date: Twenty-five percent of the shares subject to the option vests on the first anniversary of the vesting commencement date, and the remainder vests in 36 equal monthly installments thereafter for the following three years.

SEC source: 0001209191-21-069177 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,296

F1 · kind: The shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(c) and Rule 16b-3(d).

SEC source: 0001209191-21-069176 · doc4.xml · nonDerivative · entry 1

Rothman Joel · CIK 0001842921 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,281

F1 · kind: The shares were acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(c) and Rule 16b-3(d).

SEC source: 0001209191-21-067752 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 97,720

F1 · shares: The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the filer on August 26, 2020.

F2 · price: Volume Weighted Average price of $5.0803. The range of sales prices on the transaction date was $4.750 - $5.320 per share. The reporting person undertakes to provide, upon request of the SEC Staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.

SEC source: 0001209191-21-065041 · doc4.xml · derivative · entry 6

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 15,000 shares

Expires 2029-12-09

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

F4 · balance_after: In accordance with Instruction 4 to this Form, Column 9 reports only total beneficial ownership of the "class" of derivative security reported in Column 1. Options that have different exercise prices or expiration dates are not considered to be of the same "class."

SEC source: 0001209191-21-065041 · doc4.xml · derivative · entry 5

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,666

Underlying: Common Stock · 8,334 shares

Expires 2029-02-12

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

F4 · balance_after: In accordance with Instruction 4 to this Form, Column 9 reports only total beneficial ownership of the "class" of derivative security reported in Column 1. Options that have different exercise prices or expiration dates are not considered to be of the same "class."

SEC source: 0001209191-21-065041 · doc4.xml · nonDerivative · entry 4

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,409

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 17, 2021. The transaction was a sell-to-cover exercise, with shares sold to cover the option exercise price and taxes.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.40 to $5.59, inclusive. The reporting person undertakes to provide to Equillium, Inc., any security holder of Equillium, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4.

SEC source: 0001209191-21-065041 · doc4.xml · nonDerivative · entry 3

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,759

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 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on September 17, 2021.

SEC source: 0001209191-21-065041 · doc4.xml · nonDerivative · entry 2

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,759

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 17, 2021. The transaction was a sell-to-cover exercise, with shares sold to cover the option exercise price and taxes.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.40 to $5.59, inclusive. The reporting person undertakes to provide to Equillium, Inc., any security holder of Equillium, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (3) to this Form 4.

SEC source: 0001209191-21-065041 · doc4.xml · nonDerivative · entry 1

Zedelmayer Christine · CIK 0001797818 · Sr. Vice President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,843

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 · kind: The stock option exercises reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person on September 17, 2021.

SEC source: 0001209191-21-060004 · doc4.xml · derivative · entry 6

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,467 shares

Expires 2030-05-18

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.

F5 · derivative.exercise_date: This option, representing a right to purchase twenty-five percent of the shares subject to the grant, became exercisable on May 19, 2021, which was the first anniversary of the date on which the option was granted, the remaining portion of this option vests in 36 equal monthly installments thereafter.

SEC source: 0001209191-21-060004 · doc4.xml · derivative · entry 5

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,625 shares

Expires 2029-12-09

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

F4 · derivative.exercise_date: This option, representing a right to purchase twenty-five percent of the shares subject to the grant, became exercisable on December 10, 2020, which was the first anniversary of the date on which the option was granted, the remaining portion of this option vests in 36 equal monthly installments thereafter.

SEC source: 0001209191-21-060004 · doc4.xml · nonDerivative · entry 4

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 993,000

F1 · shares: The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the filer on March 31, 2021.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.06 to $7.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

SEC source: 0001209191-21-060004 · doc4.xml · nonDerivative · entry 3

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 995,467

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: 0001209191-21-060004 · doc4.xml · nonDerivative · entry 2

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 993,000

F1 · shares: The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the filer on March 31, 2021.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.05 to $7.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this Form 4.

SEC source: 0001209191-21-060004 · doc4.xml · nonDerivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 998,625

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: 0001209191-21-058029 · doc4.xml · nonDerivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Keyes Trust Dated September 10, 2004

Disclosed balance after: 102,720

F1 · shares: The transactions reported on this form were effected pursuant to a 10b5-1 trading plan adopted by the filer on August 26, 2020.

F2 · price: Volume Weighted Average price of $6.7405. The range of sales prices on the transaction date was $6.58 - $6.88, per share. The reporting person undertakes to provide, upon request of the SEC Staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price.