FDMT

SEC source: 0001567619-21-005968 · doc1.xml · derivative · entry 1

Kamal Fariborz · CIK 0001834020 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-03-07

F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 8, 2021 (the "Vesting Commencement Date") while the grantee remains a service provider to the Company.

SEC source: 0001567619-21-005967 · doc1.xml · derivative · entry 1

Kirn David · CIK 0001834021 · Director · See Remarks · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2031-03-07

F1 · derivative.exercise_date: The shares underlying the stock option award shall vest and become exercisable as to 1/48th of the underlying shares on each monthly anniversary of March 8, 2021 (the "Vesting Commencement Date") while the grantee remains a service provider to the Company.

SEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · derivative · entry 5

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner

Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner

Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 833,333 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.

F6 · derivative.exercise_price: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date.

F6 · price: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date.

F6 · derivative.exercise_date: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date.

F6 · derivative.expiration_date: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date.

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

SEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · derivative · entry 4

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner

Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner

Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 2,004,581 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.

F5 · derivative.exercise_price: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date.

F5 · price: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date.

F5 · derivative.exercise_date: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date.

F5 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date.

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

SEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · nonDerivative · entry 3

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner

Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner

Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation Responses

Disclosed balance after: 3,937,914

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

SEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · nonDerivative · entry 2

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner

Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner

Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation Responses

Disclosed balance after: 2,837,914

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.

F6 · price: The Series C Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of the Issuer. The shares had no expiration date.

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F3 · ownership.nature: Opportunities Portfolio GP is the general partner of Opportunities Fund. Because of the relationship between Opportunities Portfolio GP and Opportunities Fund, Opportunities Portfolio GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund. Opportunities GP is the sole owner of Opportunities Portfolio GP. Because of the relationship between Opportunities GP and Opportunities Portfolio GP, Opportunities GP may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

F4 · ownership.nature: The Reporting Persons disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose.

SEC source: 0001387131-20-011272 · fdmt-form4_121520.xml · nonDerivative · entry 1

VIKING GLOBAL INVESTORS LP · CIK 0001103804 · 10% owner

Viking Global Opportunities Illiquid Investments Sub-Master LP · CIK 0001629482 · 10% owner

Viking Global Opportunities Portfolio GP LLC · CIK 0001629472 · 10% owner

Viking Global Opportunities GP LLC · CIK 0001629476 · 10% owner

HALVORSEN OLE ANDREAS · CIK 0001133006 · 10% owner

Ott David C. · CIK 0001621842 · 10% owner

Shabet Rose Sharon · CIK 0001711393 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation Responses

Disclosed balance after: 2,004,581

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

F5 · price: The Series B Redeemable Convertible Preferred Stock were convertible into Common Stock on a one-for-one basis into the number of shares of Common Stock at the Reporting Person's election and were automatically converted upon the closing of the initial public offering of 4D Molecular Therapeutics, Inc. (the "Issuer"). The shares had no expiration date.

F1 · ownership.nature: Andreas Halvorsen, David C. Ott and Rose S. Shabet are Executive Committee members of certain management entities, including Viking Global Partners LLC, the general partner of Viking Global Investors LP ("VGI") and Viking Global Opportunities GP LLC ("Opportunities GP"), the sole owner of Viking Global Opportunities Portfolio GP LLC ("Opportunities Portfolio GP"). VGI provides managerial services to various investment funds, including Viking Global Opportunities Illiquid Investments Sub-Master LP ("Opportunities Fund"). Each of VGI, Opportunities GP, Opportunities Portfolio GP, VGOL, Opportunities Fund, Mr. Halvorsen, Mr. Ott and Ms. Shabet (collectively the "Reporting Persons") may be deemed to beneficially own the shares reported on this form.

F2 · ownership.nature: On December 15, 2020, Opportunities Fund acquired 1,100,000 shares of common stock of the Issuer ("Common Stock") at a price of $23.00 per share in connection with the Issuer's (as defined below) initial public offering. VGI provides managerial services to Opportunities Fund, which directly holds the 3,937,914 shares of Common Stock reported herein. Because of the relationship between VGI and VGOP, VGI may be deemed to beneficially own the shares of Common Stock held directly by Opportunities Fund.

SEC source: 0001567619-20-021289 · doc1.xml · nonDerivative · entry 1

MILLIGAN JOHN F · CIK 0001191589 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 100,000

F1 · ownership.nature: John F Milligan & Kathryn Bradford Milligan Trust.

SEC source: 0001567619-20-021288 · doc1.xml · nonDerivative · entry 1

Kamal Fariborz · CIK 0001834020 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,347

SEC source: 0001567619-20-021287 · doc1.xml · derivative · entry 7

YAO TONY DUNG LING · CIK 0001771680 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 180,554 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.

F3 · derivative.exercise_price: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · derivative.exercise_date: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · derivative.expiration_date: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.

SEC source: 0001567619-20-021287 · doc1.xml · derivative · entry 6

YAO TONY DUNG LING · CIK 0001771680 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 455,326 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.

F1 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.

SEC source: 0001567619-20-021287 · doc1.xml · derivative · entry 5

YAO TONY DUNG LING · CIK 0001771680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,864 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.

F1 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001567619-20-021287 · doc1.xml · nonDerivative · entry 4

YAO TONY DUNG LING · CIK 0001771680 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,060,880

F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.

SEC source: 0001567619-20-021287 · doc1.xml · nonDerivative · entry 3

YAO TONY DUNG LING · CIK 0001771680 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 635,880

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.

F3 · price: The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.

SEC source: 0001567619-20-021287 · doc1.xml · nonDerivative · entry 2

YAO TONY DUNG LING · CIK 0001771680 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 455,326

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 · price: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.

SEC source: 0001567619-20-021287 · doc1.xml · nonDerivative · entry 1

YAO TONY DUNG LING · CIK 0001771680 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,864

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 · price: The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.