EQ

SEC source: 0001209191-20-025655 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-12-09

F4 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to her on December 10, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025655 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2029-12-09

F4 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to her on December 10, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025655 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-02-12

F3 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to her on February 13, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025655 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2029-02-12

F3 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to her on February 13, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025655 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,695

Underlying: Common Stock · 35,695 shares

Expires 2028-09-12

F2 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to her on September 13, 2018, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025655 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,695 shares

Expires 2028-09-12

F2 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to her on September 13, 2018, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025656 · doc4.xml · derivative · entry 6

Polu Krishna R · CIK 0001630996 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2029-12-09

F4 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on December 10, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025656 · doc4.xml · derivative · entry 5

Polu Krishna R · CIK 0001630996 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires 2029-12-09

F4 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on December 10, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025656 · doc4.xml · derivative · entry 4

Polu Krishna R · CIK 0001630996 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-02-12

F3 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on February 13, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025656 · doc4.xml · derivative · entry 3

Polu Krishna R · CIK 0001630996 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2029-02-12

F3 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on February 13, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025656 · doc4.xml · derivative · entry 2

Polu Krishna R · CIK 0001630996 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,216

Underlying: Common Stock · 208,216 shares

Expires 2028-08-15

F2 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on August 16, 2018, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025656 · doc4.xml · derivative · entry 1

Polu Krishna R · CIK 0001630996 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 208,216 shares

Expires 2028-08-15

F2 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on August 16, 2018, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025659 · doc4.xml · derivative · entry 4

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-12-09

F3 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on December 10, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025659 · doc4.xml · derivative · entry 3

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2029-12-09

F3 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on December 10, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025659 · doc4.xml · derivative · entry 2

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2029-02-12

F2 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on February 13, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-025659 · doc4.xml · derivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,000 shares

Expires 2029-02-12

F2 · price: Effective April 22, 2020, the Board of Directors of the Company approved an option repricing which resulted in, for purposes of Section 16 of the Exchange Act, the cancellation of this option granted to him on February 13, 2019, in exchange for a new option having a lower exercise price of $2.45 per share, which is the closing price of the Company's common stock on April 22, 2020. All of the other terms of the option remained unchanged.

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: 0001209191-20-010740 · 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: 130,520

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.11, 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: 0001209191-20-004544 · 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: 135,520

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.21 to $4.57, 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.

F3 · balance_after: Includes 1,800 shares acquired by the Reporting Person under the Issuer's 2018 Employee Stock Purchase Plan on December 10, 2019.

SEC source: 0001209191-19-060270 · doc4.xml · derivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-12-09

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: 0001209191-19-060272 · doc4.xml · derivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2029-12-09

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: 0001209191-19-060275 · doc4.xml · derivative · entry 1

Steel Bruce D. · CIK 0001614997 · Director · President, CBO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-12-09

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: 0001209191-19-060268 · doc4.xml · derivative · entry 1

Polu Krishna R · CIK 0001630996 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2029-12-09

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: 0001209191-19-060269 · doc4.xml · derivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-12-09

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: 0001209191-19-048262 · 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: 138,720

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.55 to $3.68, 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: 0001209191-19-044617 · 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: 143,720

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 16, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.85 to $4.16, 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: 0001209191-19-036801 · doc4.xml · derivative · entry 1

MANIAN BALA S · CIK 0000941871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: The shares subject to the option vest in twelve equal monthly installments commencing on the grant date of June 11, 2019, provided, however, that the option will become fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-19-036798 · doc4.xml · derivative · entry 1

DEMSKI MARTHA J · CIK 0001198230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: The shares subject to the option vest in twelve equal monthly installments commencing on the grant date of June 11, 2019, provided, however, that the option will become fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-19-036807 · doc4.xml · derivative · entry 1

Pruzanski Mark · CIK 0001559569 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: The shares subject to the option vest in twelve equal monthly installments commencing on the grant date of June 11, 2019, provided, however, that the option will become fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-19-036804 · doc4.xml · derivative · entry 1

McDermott Charles Douglas · CIK 0001710696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: The shares subject to the option vest in twelve equal monthly installments commencing on the grant date of June 11, 2019, provided, however, that the option will become fully vested on the date of the Issuer's annual meeting of stockholders following the grant date.

SEC source: 0001209191-19-010767 · doc4.xml · derivative · entry 1

Connelly Stephen · CIK 0001746808 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-02-12

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: 0001209191-19-010761 · doc4.xml · derivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-02-12

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: 0001209191-19-010762 · doc4.xml · derivative · entry 2

Steel Bruce D. · CIK 0001614997 · Director · President, CBO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,352

Underlying: Common Stock · 44,352 shares

Expires 2029-02-12

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: 0001209191-19-010762 · doc4.xml · derivative · entry 1

Steel Bruce D. · CIK 0001614997 · Director · President, CBO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,648

Underlying: Common Stock · 45,648 shares

Expires 2024-02-12

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: 0001209191-19-010766 · doc4.xml · derivative · entry 1

Polu Krishna R · CIK 0001630996 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-02-12

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: 0001209191-19-010768 · doc4.xml · derivative · entry 1

Keyes Jason A · CIK 0001678152 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2029-02-12

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: 0001209191-18-055168 · doc4.xml · nonDerivative · entry 2

BRADBURY DANIEL · CIK 0001236397 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By BioBrit, LLC

Disclosed balance after: 2,969,596

F2 · kind: In connection with the closing of the IPO, a convertible promissory note of the Issuer beneficially owned by the Reporting Person in the principal amount of $409,732.00, plus $24,785.98 accrued interest, automatically converted into shares of the Issuer's common stock at a conversion price of $11.20 per share.

F3 · ownership.nature: These securities are held by BioBrit, LLC for which the Reporting Person is the managing member.

SEC source: 0001209191-18-055168 · doc4.xml · nonDerivative · entry 1

BRADBURY DANIEL · CIK 0001236397 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By The Bradbury Family 2009 Irrevocable Trust Dated September 1, 2009

Disclosed balance after: 742,399

F1 · kind: In connection with the closing of the initial public offering of the Issuer's common stock (the "IPO"), a convertible promissory note of the Issuer beneficially owned by the Reporting Person in the principal amount of $102,433.00, plus $6,196.49 accrued interest, automatically converted into shares of the Issuer's common stock at a conversion price of $11.20 per share.

SEC source: 0001209191-18-055170 · doc4.xml · nonDerivative · entry 1

Steel Bruce D. · CIK 0001614997 · Director · President, CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,495

F1 · kind: In connection with the closing of the initial public offering of the Issuer's common stock, a convertible promissory note of the Issuer held by the Reporting Person in the principal amount of $512,164.00, plus $30.982.41 accrued interest, automatically converted into shares of the Issuer's common stock at a conversion price of $11.20 per share.

SEC source: 0001209191-18-055166 · doc4.xml · nonDerivative · entry 1

Biocon SA · CIK 0001754954 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,316,134

F1 · kind: This shares were acquired pursuant to certain anti-dilution rights for no additional consideration.

F1 · price: This shares were acquired pursuant to certain anti-dilution rights for no additional consideration.