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FATE

FATE THERAPEUTICS INC

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5968
SEC CIK
0001434316
Parsed reports
323

Last 12 months

Inside the activity.

0 purchase rows · 6 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202602
Feb 202600
Mar 202600
Apr 202600
May 202602
Jun 202600
Jul 202600
Aug 202602
Sep 202600
Oct 202600

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 29, 2025 Filed May 30, 2025 20:08 UTC
Jooss KarinDirector
GrantStock Option (Right to Buy) · Derivative 55,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0000950170-25-079715 · ownership.xml · derivative · entry 1

Jooss Karin · CIK 0001754280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2035-05-29

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 29, 2026 or (ii) the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

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May 29, 2025 Filed May 30, 2025 20:06 UTC GrantStock Option (Right to Buy) · Derivative 110,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0000950170-25-079711 · ownership.xml · derivative · entry 1

ABERNETHY MATT · CIK 0001724097 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2035-05-28

F1 · derivative.exercise_date: The shares subject to this option shall vest in 36 equal monthly installments following May 29, 2025, such that all of the shares shall be fully vested and exercisable on May 29, 2028, subject to the Reporting Person's continuous service to the Issuer as of each such vesting date.

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May 29, 2025 Filed May 30, 2025 20:05 UTC GrantStock Option (Right to Buy) · Derivative 55,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0000950170-25-079710 · ownership.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2035-05-29

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 29, 2026 or (ii) the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

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January 16, 2025 Filed Jan 16, 2025 23:36 UTC
Valamehr BahramDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 1,300,000 $0.00 Strike: $1.25 $0.00
Disclosure

SEC source: 0000950170-25-006318 · ownership.xml · derivative · entry 1

Valamehr Bahram · CIK 0001748177 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,300,000

Underlying: Common Stock · 1,300,000 shares

Expires 2035-01-15

F1 · derivative.exercise_date: The shares subject to this option shall vest in 36 equal monthly installments following January 1, 2025, such that all of the shares shall be fully vested and exercisable on January 1, 2028, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

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January 15, 2025 Filed Jan 16, 2025 18:31 UTC GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0000950170-25-006310 · ownership.xml · derivative · entry 2

Bressi Jerome Charles · CIK 0002034505 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2035-01-14

F2 · derivative.exercise_date: The shares subject to this option shall vest in 36 equal monthly installments following January 1, 2025, such that all of the shares shall be fully vested and exercisable on January 1, 2028, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

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January 15, 2025 Filed Jan 16, 2025 18:31 UTC GrantCommon Stock 65,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-006310 · ownership.xml · nonDerivative · entry 1

Bressi Jerome Charles · CIK 0002034505 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,203

F1 · security: Award of restricted stock units that vest with respect to 1/4th of the underlying shares on each of January 8, 2026, January 8, 2027, January 8, 2028 and January 8, 2029, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

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January 15, 2025 Filed Jan 16, 2025 23:32 UTC
TAHL CINDYSee Remarks
GrantStock Option (Right to Buy) · Derivative 275,000 $0.00 Strike: $1.32 $0.00
Disclosure

SEC source: 0000950170-25-006311 · ownership.xml · derivative · entry 2

TAHL CINDY · CIK 0001655472 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 275,000

Underlying: Common Stock · 275,000 shares

Expires 2035-01-14

F2 · derivative.exercise_date: The shares subject to this option shall vest in 36 equal monthly installments following January 1, 2025, such that all of the shares shall be fully vested and exercisable on January 1, 2028, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

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January 15, 2025 Filed Jan 16, 2025 23:32 UTC
TAHL CINDYSee Remarks
GrantCommon Stock 70,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-25-006311 · ownership.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 406,707

F1 · security: Award of restricted stock units that vest with respect to 1/4th of the underlying shares on each of January 8, 2026, January 8, 2027, January 8, 2028 and January 8, 2029, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

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January 10, 2025 Filed Jan 13, 2025 16:06 UTC SaleCommon Stock 5,980 $1.55 $9,269.00
Disclosure

SEC source: 0000950170-25-004825 · ownership.xml · nonDerivative · entry 1

Bressi Jerome Charles · CIK 0002034505 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 270,203

F1 · kind: Required number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of 2,188 shares of Common Stock underlying RSUs granted to the Reporting Person on January 20, 2021 and 6,660 shares of Common Stock underlying RSUs granted to the Reporting Person on January 25, 2022. These sales were made pursuant to an irrevocable election by the Reporting Person to satisfy tax withholding obligations through "sell to cover" transactions and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $1.51 to $1.61 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

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January 10, 2025 Filed Jan 13, 2025 21:05 UTC
TAHL CINDYSee Remarks
SaleCommon Stock 5,654 $1.55 $8,763.70
Disclosure

SEC source: 0000950170-25-004823 · ownership.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 336,707

F1 · kind: Required number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of 4,504 shares of Common Stock underlying RSUs granted to the Reporting Person on January 20, 2021, and 8,325 shares of Common Stock underlying RSUs granted to the Reporting Person on January 25, 2022. These sales were made pursuant to an irrevocable election by the Reporting Person to satisfy tax withholding obligations through "sell to cover" transactions and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $1.53 to $1.62 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

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January 10, 2025 Filed Jan 13, 2025 21:04 UTC
Valamehr BahramDirector · President and CEO
SaleCommon Stock 8,705 $1.54 $13,405.70
Disclosure

SEC source: 0000950170-25-004814 · ownership.xml · nonDerivative · entry 1

Valamehr Bahram · CIK 0001748177 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 349,364

F1 · kind: Required number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of 4,504 shares of Common Stock underlying RSUs granted to the Reporting Person on January 20, 2021 and 8,325 shares of Common Stock underlying RSUs granted to the Reporting Person on January 25, 2022. These sales were made pursuant to an irrevocable election by the Reporting Person to satisfy tax withholding obligations through "sell to cover" transactions and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $1.51 to $1.62 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

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December 20, 2024 Filed Dec 27, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
OtherCash-settled Swaps · Derivative 56,331 $1.68 Strike: $3.02 $94,636.08
Disclosure

SEC source: 0001104659-24-131794 · tm2431906-1_4seq1.xml · derivative · entry 7

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 502,769

Underlying: Common Stock · 56,331 shares

Expires not disclosed

F9 · derivative.exercise_price: Represents the reference price associated with the cash-settled swap agreements.

F6 · kind: On the Effective Date, certain Redmile Funds closed out a portion of the swap agreements to which they were a party for cash in accordance with the terms of the swap agreements. See Footnote 8 below.

F6 · price: On the Effective Date, certain Redmile Funds closed out a portion of the swap agreements to which they were a party for cash in accordance with the terms of the swap agreements. See Footnote 8 below.

F7 · derivative.exercise_date: Certain Redmile Funds are parties to swap agreements with counterparties. Each notional share subject to each swap agreement represents the economic equivalent of one share of Common Stock. These agreements do not give the Reporting Persons direct or indirect voting, investment or dispositive control over any securities of the Issuer and do not require the counterparties thereto to acquire, hold, vote or dispose of any securities of the Issuer.

F8 · derivative.expiration_date: The Redmile Funds that are parties to the swap agreements have the right to close out each swap at any time. Upon settlement of the swap agreements, either (i) the counterparty will pay to the Redmile Funds in cash an amount determined in part by reference to any increase between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement or (ii) the Redmile Funds will pay to the counterparty in cash an amount determined in part by reference to any decrease between the reference price and the market value of the notional number of shares of Common Stock subject to the swap agreement.

F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 20, 2024 Filed Dec 27, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
OtherClass A Convertible Preferred Stock · Derivative 116,261 $8.40 $976,592.40
Disclosure

SEC source: 0001104659-24-131794 · tm2431906-1_4seq1.xml · derivative · entry 6

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,755,086

Underlying: Common Stock · 581,305 shares

Expires not disclosed

F2 · derivative.exercise_price: The Class A Preferred Stock is convertible into Common Stock in accordance with the terms of the Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66.

F3 · derivative.exercise_price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade, which was $1.68 per share).

F1 · kind: On December 20, 2024 (the "Effective Date"), certain private investment vehicles managed by Redmile Group, LLC ("Redmile" and such private investment vehicles, the "Redmile Funds") engaged in cross trades with certain other Redmile Funds with respect to their shares of the Issuer's common stock, $0.001 par value per share (the "Common Stock") and shares of the Issuer's non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock"). The reported transactions occurred simultaneously when the price per share of the Common Stock was $1.68, and therefore the cross trades resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership.

F2 · price: The Class A Preferred Stock is convertible into Common Stock in accordance with the terms of the Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66.

F4 · derivative.exercise_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common Stock outstanding after giving effect to such attempted conversion, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A Preferred Stock has no expiration date.

F4 · derivative.expiration_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common Stock outstanding after giving effect to such attempted conversion, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A Preferred Stock has no expiration date.

F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 20, 2024 Filed Dec 27, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
OtherClass A Convertible Preferred Stock · Derivative 116,261 $8.40 $976,592.40
Disclosure

SEC source: 0001104659-24-131794 · tm2431906-1_4seq1.xml · derivative · entry 5

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,638,825

Underlying: Common Stock · 581,305 shares

Expires not disclosed

F2 · derivative.exercise_price: The Class A Preferred Stock is convertible into Common Stock in accordance with the terms of the Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66.

F3 · derivative.exercise_price: The one-for-five conversion rate is taken into account in the amount of underlying Common Stock involved in the cross trade listed under Column 7 of Table II and used to determine the price of the Class A Preferred Stock in connection with the cross trade listed under Column 8 of Table II (which is equal to five times the price per share of the Common Stock underlying the Class A Preferred Stock at the time of the cross trade, which was $1.68 per share).

F1 · kind: On December 20, 2024 (the "Effective Date"), certain private investment vehicles managed by Redmile Group, LLC ("Redmile" and such private investment vehicles, the "Redmile Funds") engaged in cross trades with certain other Redmile Funds with respect to their shares of the Issuer's common stock, $0.001 par value per share (the "Common Stock") and shares of the Issuer's non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock"). The reported transactions occurred simultaneously when the price per share of the Common Stock was $1.68, and therefore the cross trades resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership.

F2 · price: The Class A Preferred Stock is convertible into Common Stock in accordance with the terms of the Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66.

F4 · derivative.exercise_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common Stock outstanding after giving effect to such attempted conversion, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A Preferred Stock has no expiration date.

F4 · derivative.expiration_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common Stock outstanding after giving effect to such attempted conversion, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A Preferred Stock has no expiration date.

F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 20, 2024 Filed Dec 27, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
PurchaseCommon Stock 397,964 $1.68 $668,579.52
Disclosure

SEC source: 0001104659-24-131794 · tm2431906-1_4seq1.xml · nonDerivative · entry 4

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 12,884,277

F5 · kind: On the Effective Date, certain Redmile Funds purchased and sold shares of Common Stock concurrent with the cross trades at the same price. The reported cross trade, purchase and sales transactions occurred simultaneously when the price per share of the Common Shares was $1.68, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green.

F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 20, 2024 Filed Dec 27, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
SaleCommon Stock 341,633 $1.68 $573,943.44
Disclosure

SEC source: 0001104659-24-131794 · tm2431906-1_4seq1.xml · nonDerivative · entry 3

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 12,486,313

F5 · kind: On the Effective Date, certain Redmile Funds purchased and sold shares of Common Stock concurrent with the cross trades at the same price. The reported cross trade, purchase and sales transactions occurred simultaneously when the price per share of the Common Shares was $1.68, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green.

F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 20, 2024 Filed Dec 27, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
OtherCommon Stock 1,084,936 $1.68 $1,822,692.48
Disclosure

SEC source: 0001104659-24-131794 · tm2431906-1_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 12,827,946

F1 · kind: On December 20, 2024 (the "Effective Date"), certain private investment vehicles managed by Redmile Group, LLC ("Redmile" and such private investment vehicles, the "Redmile Funds") engaged in cross trades with certain other Redmile Funds with respect to their shares of the Issuer's common stock, $0.001 par value per share (the "Common Stock") and shares of the Issuer's non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock"). The reported transactions occurred simultaneously when the price per share of the Common Stock was $1.68, and therefore the cross trades resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership.

F1 · price: On December 20, 2024 (the "Effective Date"), certain private investment vehicles managed by Redmile Group, LLC ("Redmile" and such private investment vehicles, the "Redmile Funds") engaged in cross trades with certain other Redmile Funds with respect to their shares of the Issuer's common stock, $0.001 par value per share (the "Common Stock") and shares of the Issuer's non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock"). The reported transactions occurred simultaneously when the price per share of the Common Stock was $1.68, and therefore the cross trades resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership.

F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 20, 2024 Filed Dec 27, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
OtherCommon Stock 1,084,936 $1.68 $1,822,692.48
Disclosure

SEC source: 0001104659-24-131794 · tm2431906-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 11,743,010

F1 · kind: On December 20, 2024 (the "Effective Date"), certain private investment vehicles managed by Redmile Group, LLC ("Redmile" and such private investment vehicles, the "Redmile Funds") engaged in cross trades with certain other Redmile Funds with respect to their shares of the Issuer's common stock, $0.001 par value per share (the "Common Stock") and shares of the Issuer's non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock"). The reported transactions occurred simultaneously when the price per share of the Common Stock was $1.68, and therefore the cross trades resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership.

F1 · price: On December 20, 2024 (the "Effective Date"), certain private investment vehicles managed by Redmile Group, LLC ("Redmile" and such private investment vehicles, the "Redmile Funds") engaged in cross trades with certain other Redmile Funds with respect to their shares of the Issuer's common stock, $0.001 par value per share (the "Common Stock") and shares of the Issuer's non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock"). The reported transactions occurred simultaneously when the price per share of the Common Stock was $1.68, and therefore the cross trades resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership.

F10 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 12, 2024 Filed Dec 17, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
ConversionClass A Convertible Preferred Stock · Derivative 6,022 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-129070 · tm2431235-1_4seq1.xml · derivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,755,086

Underlying: Common Stock · 30,110 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: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66, which is the equivalent of a one-for-five conversion rate.

F1 · kind: On December 12, 2024, a private investment vehicle managed by Redmile Group, LLC ("Redmile") exercised its conversion right with respect to 6,022 non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock") held directly by such private investment vehicle.

F2 · price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66, which is the equivalent of a one-for-five conversion rate.

F3 · derivative.exercise_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common Stock outstanding after giving effect to such attempted conversion, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A Preferred Stock has no expiration date.

F3 · derivative.expiration_date: The Certificate of Designation provides that the holder may not convert any shares of Class A Preferred Stock if, after giving effect to the attempted conversion, the holder and its affiliates would beneficially own in the aggregate more than 14.99% of the number of shares of Common Stock outstanding after giving effect to such attempted conversion, which percentage may be changed at a holder's election upon 61 days' notice to the Issuer. The Class A Preferred Stock has no expiration date.

F2 · derivative.underlying_shares: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66, which is the equivalent of a one-for-five conversion rate.

F5 · ownership.nature: The securities reported herein are directly owned by private investment vehicles managed by Redmile. The reported securities may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 12, 2024 Filed Dec 17, 2024 02:00 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
ConversionCommon Stock 30,110 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-24-129070 · tm2431235-1_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 12,827,946

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: On December 12, 2024, a private investment vehicle managed by Redmile Group, LLC ("Redmile") exercised its conversion right with respect to 6,022 non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock") held directly by such private investment vehicle.

F2 · shares: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66, which is the equivalent of a one-for-five conversion rate.

F1 · price: On December 12, 2024, a private investment vehicle managed by Redmile Group, LLC ("Redmile") exercised its conversion right with respect to 6,022 non-voting Class A Convertible Preferred Stock of the Issuer (the "Class A Preferred Stock") held directly by such private investment vehicle.

F2 · price: The Class A Preferred Stock is convertible into the Issuer's common stock, $0.001 par value per share (the "Common Stock"), in accordance with the terms of Issuer's Amended and Restated Certificate of Incorporation and the Issuer's Certificate of Designation of Preferences, Rights and Limitations of Class A Convertible Preferred Stock (as amended and restated, the "Certificate of Designation") at any time and from time to time at the holder's election based on a conversion ratio equal to the Class A Preferred Stock's stated value of $13.30 divided by its conversion price of $2.66, which is the equivalent of a one-for-five conversion rate.

F4 · balance_after: Since the last Form 4 filing by Redmile and Mr. Green, Redmile has ceased serving as the investment adviser to a sub-advised account that held 382,552 shares of the Issuer's Common Shares (such shares, the "Account Shares") and therefore no longer has voting or dispositive power with respect to such shares. Accordingly, the amount of shares beneficially owned by Redmile and Mr. Green as disclosed herein does not include the Account Shares and each of Redmile and Mr. Green disclaims beneficial ownership of the Account Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F5 · ownership.nature: The securities reported herein are directly owned by private investment vehicles managed by Redmile. The reported securities may be deemed beneficially owned by Redmile as investment manager of such private investment vehicles and by Jeremy Green as the principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Persons are a beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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August 06, 2024 Filed Aug 7, 2024 20:01 UTC
Xu YuanDirector
SaleCommon Stock 633 $4.23 $2,677.59
Disclosure

SEC source: 0000950170-24-092718 · ownership.xml · nonDerivative · entry 1

Xu Yuan · CIK 0001858214 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 8,669

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 26, 2024.

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July 29, 2024 Filed Jul 31, 2024 18:01 UTC GrantStock Option (Right to Buy) · Derivative 80,000 $0.00 Strike: $5.41 $0.00
Disclosure

SEC source: 0000950170-24-088770 · ownership.xml · derivative · entry 1

Mozaffarian Neelufar · CIK 0002031203 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2034-07-29

F1 · derivative.exercise_date: The option shall vest in 36 equal monthly installments after the grant date, subject to the Reporting Person's continuous service to the Issuer as of each such vesting date.

Read SEC document
July 29, 2024 Filed Jul 31, 2024 22:05 UTC
Valamehr BahramChief R&D Officer
GrantCommon Stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-088775 · ownership.xml · nonDerivative · entry 1

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 358,069

F1 · kind: These shares were granted pursuant to a restricted stock unit award. 100,000 of the units are subject to time-based vesting and 100,000 of the units are subject to performance-based vesting. 25,000 time-based units will vest on August 1, 2025 and 75,000 time-based units will vest on August 1, 2026, so long as the reporting person continues to serve as an employee of the issuer through each vesting date. Subject to the achievement of specified late-stage clinical and regulatory milestones of the issuer on or before July 29, 2028, half of the performance-based units will vest one year after the achievement of two of three of the milestones, and the remaining 50,000 of the performance-based units will vest on the date one year after the achievement of all three of the milestones, in each case subject to the grantee's continued employment with the issuer through each such vesting date.

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July 29, 2024 Filed Jul 31, 2024 22:00 UTC
TAHL CINDYGeneral Counsel and Secretary
GrantCommon Stock 200,000 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-088769 · ownership.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 342,361

F1 · kind: These shares were granted pursuant to a restricted stock unit award. 100,000 of the units are subject to time-based vesting and 100,000 of the units are subject to performance-based vesting. 25,000 time-based units will vest on August 1, 2025 and 75,000 time-based units will vest on August 1, 2026, so long as the reporting person continues to serve as an employee of the issuer through each vesting date. Subject to the achievement of specified late-stage clinical and regulatory milestones of the issuer on or before July 29, 2028, half of the performance-based units will vest one year after the achievement of two of three of the milestones, and the remaining 50,000 of the performance-based units will vest on the date one year after the achievement of all three of the milestones, in each case subject to the grantee's continued employment with the issuer through each such vesting date.

Read SEC document
June 07, 2024 Filed Jun 11, 2024 22:20 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001104659-24-070507 · tm2416874-2_4seq1.xml · derivative · entry 1

Lee Michael Stewart · CIK 0001748010 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · derivative.exercise_date: The stock option will vest in full and become exercisable upon the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to Michael Lee's continued service on the board of directors of the Issuer through the applicable vesting date.

F2 · ownership.direct: The stock option award was granted to Mr. Lee in connection with his service as a member of the board of directors of the Issuer. Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), was elected to the board of the Issuer as a representative of Redmile and its affiliates. Pursuant to the policies of Redmile, Mr. Lee holds this stock option award as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the stock option award to Redmile. Mr. Lee disclaims beneficial ownership of the stock option award, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee 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.

F3 · ownership.direct: The stock option award may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the stock option award except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green 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.

F4 · ownership.direct: Mr. Lee was elected to the board of directors of the Issuer as a representative of Redmile and its affiliates. As a result, Redmile and Mr. Green are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 07, 2024 Filed Jun 11, 2024 20:35 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0000950170-24-071970 · ownership.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

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June 07, 2024 Filed Jun 11, 2024 22:19 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0001104659-24-070506 · tm2416874-1_4seq1.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnotes

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · derivative.exercise_date: The stock option will vest in full and become exercisable upon the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to Michael Lee's continued service on the board of directors of the Issuer through the applicable vesting date.

F2 · ownership.nature: The stock option award was granted to Mr. Lee, a managing director of Redmile Group, LLC ("Redmile"), in connection with his service as a member of the board of directors of the Issuer. Pursuant to the policies of Redmile, Mr. Lee holds this equity award as a nominee on behalf, and for the sole benefit, of Redmile and has assigned all economic, pecuniary and voting rights in respect of the equity award to Redmile. Mr. Lee disclaims beneficial ownership of the equity award, and the filing of this Form 4 shall not be deemed an admission that Mr. Lee 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.

F3 · ownership.nature: The stock option award may also be deemed beneficially owned by Jeremy Green as the principal of Redmile. Redmile and Mr. Green disclaim beneficial ownership of the equity award except to the extent of their pecuniary interest therein, and this Form 4 shall not be deemed an admission that Redmile or Mr. Green 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.

F4 · ownership.nature: Mr. Lee, a member of the board of directors of the Issuer and a managing director of Redmile, was elected to the board of the Issuer as a representative of Redmile and its affiliates. As a result, the Reporting Persons are directors by deputization for purposes of Section 16 of the Securities Exchange Act of 1934, as amended.

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June 07, 2024 Filed Jun 11, 2024 20:30 UTC
Jooss KarinDirector
GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0000950170-24-071959 · ownership.xml · derivative · entry 1

Jooss Karin · CIK 0001754280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

Read SEC document
June 07, 2024 Filed Jun 11, 2024 20:29 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0000950170-24-071950 · ownership.xml · derivative · entry 1

COUGHLIN TIMOTHY · CIK 0001376043 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

Read SEC document
June 07, 2024 Filed Jun 11, 2024 20:28 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0000950170-24-071948 · ownership.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

Read SEC document
June 07, 2024 Filed Jun 11, 2024 20:28 UTC
Xu YuanDirector
GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0000950170-24-071947 · ownership.xml · derivative · entry 1

Xu Yuan · CIK 0001858214 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

Read SEC document
June 07, 2024 Filed Jun 11, 2024 20:28 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0000950170-24-071945 · ownership.xml · derivative · entry 1

EPSTEIN ROBERT S · CIK 0001252004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

Read SEC document
June 07, 2024 Filed Jun 11, 2024 20:27 UTC GrantStock Option (Right to Buy) · Derivative 40,000 $0.00 Strike: $3.68 $0.00
Disclosure

SEC source: 0000950170-24-071941 · ownership.xml · derivative · entry 1

MENDLEIN JOHN · CIK 0001238362 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

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March 21, 2024 Filed Mar 26, 2024 01:30 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
GrantPre-Funded Warrants to Purchase Common Stock · Derivative 3,636,364 $5.50 Strike: $0.00 $19,996,365.64
Disclosure

SEC source: 0001104659-24-038585 · tm249642-1_4seq1.xml · derivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 3,893,674

Underlying: Common Stock · 3,636,364 shares

Expires not disclosed

F1 · security: On March 21, 2024, concurrently with the underwritten public offering of the Issuer's common stock, par value $0.001 per share (the "Common Stock"), a private investment vehicle managed by Redmile Group, LLC ("Redmile") acquired pre-funded warrants (the "Pre-Funded Warrants") to purchase shares of Common Stock (the "Pre-Funded Warrant Shares") for a purchase price per Pre-Funded Warrant equal to $5.50, less $0.001, in a private placement by the Issuer to certain investors pursuant to the terms of a securities purchase agreement, dated as of March 19, 2024 (the "Purchase Agreement").

F2 · derivative.expiration_date: The Pre-Funded Warrants are exercisable by the holder at any time on or after the closing date of the Purchase Agreement until fully exercised at an exercise price of $0.001 per Pre-Funded Warrant Share, subject to a 9.99% beneficial ownership blocker and a limitation on the right of the Issuer to issue the Pre-Funded Warrant Shares if and the extent that such exercise would violate the rules or regulations of Nasdaq Stock Market LLC. The Pre-Funded Warrants have no expiration date.

F3 · ownership.nature: The securities reported herein are directly owned by the certain private investment vehicles managed by Redmile, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the private investment vehicles and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are a beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
March 04, 2024 Filed Mar 5, 2024 21:24 UTC
Dulac Edward J IIIChief Financial Officer
SaleCommon Stock 2,447 $7.77 $19,013.19
Disclosure

SEC source: 0000950170-24-025992 · ownership.xml · nonDerivative · entry 1

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 101,479

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 5, 2023.

Read SEC document
February 01, 2024 Filed Feb 2, 2024 21:10 UTC
Wolchko J ScottDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 500,000 $0.00 Strike: $6.76 $0.00
Disclosure

SEC source: 0000950170-24-010491 · ownership.xml · derivative · entry 1

Wolchko J Scott · CIK 0001586893 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2034-01-31

F1 · derivative.exercise_date: The shares subject to this option shall vest in 36 equal monthly installments following January 1, 2024, such that all of the shares shall be fully vested and exercisable on January 1, 2027, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

Read SEC document
February 01, 2024 Filed Feb 2, 2024 21:10 UTC
TAHL CINDYGeneral Counsel and Secretary
GrantStock Option (Right to Buy) · Derivative 425,000 $0.00 Strike: $6.76 $0.00
Disclosure

SEC source: 0000950170-24-010490 · ownership.xml · derivative · entry 1

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 425,000

Underlying: Common Stock · 425,000 shares

Expires 2034-01-31

F1 · derivative.exercise_date: The shares subject to this option shall vest in 36 equal monthly installments following January 1, 2024, such that all of the shares shall be fully vested and exercisable on January 1, 2027, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

Read SEC document
February 01, 2024 Filed Feb 2, 2024 21:09 UTC
Dulac Edward J IIIChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 425,000 $0.00 Strike: $6.76 $0.00
Disclosure

SEC source: 0000950170-24-010485 · ownership.xml · derivative · entry 1

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 425,000

Underlying: Common Stock · 425,000 shares

Expires 2034-01-31

F1 · derivative.exercise_date: The shares subject to this option shall vest in 36 equal monthly installments following January 1, 2024, such that all of the shares shall be fully vested and exercisable on January 1, 2027, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

Read SEC document
February 01, 2024 Filed Feb 2, 2024 21:09 UTC
Valamehr BahramChief R&D Officer
GrantStock Option (Right to Buy) · Derivative 450,000 $0.00 Strike: $6.76 $0.00
Disclosure

SEC source: 0000950170-24-010484 · ownership.xml · derivative · entry 1

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2034-01-31

F1 · derivative.exercise_date: The shares subject to this option shall vest in 36 equal monthly installments following January 1, 2024, such that all of the shares shall be fully vested and exercisable on January 1, 2027, subject to the Reporting Person's continued service with the Issuer as of each such vesting date.

Read SEC document
January 29, 2024 Filed Jan 30, 2024 21:01 UTC
Dulac Edward J IIIChief Financial Officer
SaleCommon Stock 1,849 $5.00 $9,245.00
Disclosure

SEC source: 0000950170-24-008803 · ownership.xml · nonDerivative · entry 1

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 103,926

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 5, 2023.

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January 09, 2024 Filed Jan 10, 2024 21:30 UTC
TAHL CINDYGeneral Counsel and Secretary
SaleCommon Stock 10,874 $4.37 $47,519.38
Disclosure

SEC source: 0000950170-24-003652 · ownership.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142,361

F1 · kind: Required number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of 6,250 shares of Common Stock underlying RSUs granted to the Reporting Person on January 8, 2020, 4,503 shares of Common Stock underlying RSUs granted to the Reporting Person on January 20, 2021, and 8,326 shares of Common Stock underlying RSUs granted to the Reporting Person on January 25, 2022. These sales were made pursuant to an irrevocable election by the Reporting Person to satisfy tax withholding obligations through "sell to cover" transactions and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $4.02 to $4.50 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

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January 09, 2024 Filed Jan 10, 2024 21:30 UTC
Valamehr BahramChief R&D Officer
SaleCommon Stock 11,271 $4.38 $49,366.98
Disclosure

SEC source: 0000950170-24-003650 · ownership.xml · nonDerivative · entry 1

Valamehr Bahram · CIK 0001748177 · Chief R&D Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 158,069

F1 · kind: Required number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of 6,250 shares of Common Stock underlying RSUs granted to the Reporting Person on January 8, 2020, 4,503 shares of Common Stock underlying RSUs granted to the Reporting Person on January 20, 2021, and 8,326 shares of Common Stock underlying RSUs granted to the Reporting Person on January 25, 2022. These sales were made pursuant to an irrevocable election by the Reporting Person to satisfy tax withholding obligations through "sell to cover" transactions and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $4.01 to $4.50 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

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January 09, 2024 Filed Jan 10, 2024 21:29 UTC
Wolchko J ScottDirector · President and CEO
SaleCommon Stock 14,391 $4.37 $62,888.67
Disclosure

SEC source: 0000950170-24-003648 · ownership.xml · nonDerivative · entry 1

Wolchko J Scott · CIK 0001586893 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 371,248

F1 · kind: Required number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of 16,500 shares of Common Stock underlying RSUs granted to the Reporting Person on January 8, 2020 and 10,808 shares of Common Stock underlying RSUs granted to the Reporting Person on January 20, 2021. These sales were made pursuant to an irrevocable election by the Reporting Person to satisfy tax withholding obligations through "sell to cover" transactions and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $4.02 to $4.51 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

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January 09, 2024 Filed Jan 10, 2024 21:29 UTC
Dulac Edward J IIIChief Financial Officer
SaleCommon Stock 7,028 $4.37 $30,712.36
Disclosure

SEC source: 0000950170-24-003647 · ownership.xml · nonDerivative · entry 1

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,775

F1 · kind: Required number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of 4,503 shares of Common Stock underlying RSUs granted to the Reporting Person on January 20, 2021 and 8,326 shares of Common Stock underlying RSUs granted to the Reporting Person on January 25, 2022. This sale was made pursuant to an irrevocable election by the Reporting Person to satisfy tax withholding obligations through a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F2 · price: Represents the weighted average sale price of the shares sold ranging from $4.02 to $4.51 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

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January 02, 2024 Filed Jan 3, 2024 21:03 UTC
Dulac Edward J IIIChief Financial Officer
SaleCommon Stock 5,182 $3.66 $18,966.12
Disclosure

SEC source: 0000950170-24-000874 · ownership.xml · nonDerivative · entry 1

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 112,803

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 5, 2023.

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December 26, 2023 Filed Dec 29, 2023 02:30 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
PurchaseCommon Stock 44,630 $3.72 $166,023.60
Disclosure

SEC source: 0001104659-23-130203 · tm2333829-2_4seq1.xml · nonDerivative · entry 3

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 13,180,388

F2 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are a beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 26, 2023 Filed Dec 29, 2023 02:30 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
OtherCommon Stock 1,655,370 $3.72 $6,157,976.40
Disclosure

SEC source: 0001104659-23-130203 · tm2333829-2_4seq1.xml · nonDerivative · entry 2

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 13,135,758

F1 · kind: On December 26, 2023, certain private investment vehicles managed by Redmile (the "Redmile Funds") engaged in cross trades with respect to their Common Stock. The reported transactions occurred simultaneously at the market close, at which time the price per share of the Common Stock was $3.72, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership.

F2 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are a beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 26, 2023 Filed Dec 29, 2023 02:30 UTC
Redmile Group, LLCDirector · 10% owner
Green JeremyDirector · 10% owner
OtherCommon Stock 1,655,370 $3.72 $6,157,976.40
Disclosure

SEC source: 0001104659-23-130203 · tm2333829-2_4seq1.xml · nonDerivative · entry 1

Redmile Group, LLC · CIK 0001425738 · Director · 10% owner

Green Jeremy · CIK 0001650527 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 13,135,758

F1 · kind: On December 26, 2023, certain private investment vehicles managed by Redmile (the "Redmile Funds") engaged in cross trades with respect to their Common Stock. The reported transactions occurred simultaneously at the market close, at which time the price per share of the Common Stock was $3.72, and therefore the reported transactions resulted in no profit to Redmile or Jeremy Green and resulted in no change in either of their aggregate beneficial ownership.

F2 · ownership.nature: The securities reported herein are directly owned by the Redmile Funds, none of which individually is a 10% owner. The reported securities may be deemed beneficially owned by Redmile as investment manager of the Redmile Funds and by Jeremy Green as the managing principal of Redmile. Each of Redmile and Mr. Green (the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are a beneficial owners of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 18, 2023 Filed Dec 19, 2023 21:01 UTC
Dulac Edward J IIIChief Financial Officer
SaleCommon Stock 1,585 $3.50 $5,547.50
Disclosure

SEC source: 0001209191-23-059103 · doc4.xml · nonDerivative · entry 1

Dulac Edward J III · CIK 0001821530 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 117,985

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 5, 2023.

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November 09, 2023 Filed Nov 13, 2023 21:01 UTC
TAHL CINDYGeneral Counsel and Secretary
SaleCommon Stock 24,363 $2.40 $58,471.20
Disclosure

SEC source: 0001209191-23-054968 · doc4.xml · nonDerivative · entry 1

TAHL CINDY · CIK 0001655472 · General Counsel and Secretary

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 153,235

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 26, 2023.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.