IMVT

SEC source: 0001209191-19-061595 · doc4.xml · derivative · entry 1

Pande Atul · CIK 0001643071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,181

Underlying: Common Stock · 77,181 shares

Expires 2029-11-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd., the option to purchase 157,812 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: This stock option vests over a period of three years, with 1/3 of the shares underlying the option vesting on each of the first, second and third anniversaries of the vesting commencement date.

SEC source: 0001104659-19-075134 · a4.xml · derivative · entry 2

Roivant Sciences Ltd. · CIK 0001635088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock, $0.0001 par value per share · 10,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each share of Series A Preferred Stock is convertible into common stock on a one-for-one basis into the number of shares of common stock shown in column 7 at any time at the holder's election. The Series A Preferred Stock has no expiration date.

F1 · kind: The transaction was pursuant to a Share Exchange Agreement, dated as of September 29, 2019, where Roivant received 36,917,339 shares of Common Stock in consideration for its equity securities of Immunovant Sciences Ltd., as well as 10,000 shares of Series A Preferred Stock

F4 · price: The price reported in Column 8 is the deemed value of the shares in the Share Exchange Agreement

F3 · derivative.exercise_date: Each share of Series A Preferred Stock is convertible into common stock on a one-for-one basis into the number of shares of common stock shown in column 7 at any time at the holder's election. The Series A Preferred Stock has no expiration date.

F3 · derivative.expiration_date: Each share of Series A Preferred Stock is convertible into common stock on a one-for-one basis into the number of shares of common stock shown in column 7 at any time at the holder's election. The Series A Preferred Stock has no expiration date.

SEC source: 0001104659-19-075134 · a4.xml · nonDerivative · entry 1

Roivant Sciences Ltd. · CIK 0001635088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,404,967

F1 · kind: The transaction was pursuant to a Share Exchange Agreement, dated as of September 29, 2019, where Roivant received 36,917,339 shares of Common Stock in consideration for its equity securities of Immunovant Sciences Ltd., as well as 10,000 shares of Series A Preferred Stock

F2 · price: The price reported in Column 4 is the deemed value of the shares in the Share Exchange Agreement

SEC source: 0001209191-19-061604 · doc4.xml · derivative · entry 1

Zeldin Robert K · CIK 0001745347 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,325

Underlying: Common Stock · 380,325 shares

Expires 2029-07-28

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd., the option to purchase 777,656 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061603 · doc4.xml · derivative · entry 1

Yanchik Connealy Pamela · CIK 0001796310 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 433,588

Underlying: Common Stock · 433,588 shares

Expires 2029-11-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd., the option to purchase 886,563 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061602 · doc4.xml · derivative · entry 4

Torti Frank · CIK 0001647805 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,765

Underlying: Common Stock · 3,765 shares

Expires 2029-11-19

F5 · price: In connection with the Business Combination Transaction, the option to purchase 7,698 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer.

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061602 · doc4.xml · derivative · entry 3

Torti Frank · CIK 0001647805 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,488

Underlying: Common Stock · 11,488 shares

Expires 2029-10-20

F4 · price: In connection with the Business Combination Transaction, the option to purchase 23,489 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer.

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061602 · doc4.xml · derivative · entry 2

Torti Frank · CIK 0001647805 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

Underlying: Common Stock · 893 shares

Expires 2029-07-28

F3 · price: In connection with the Business Combination Transaction, the option to purchase 1,825 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer.

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061602 · doc4.xml · derivative · entry 1

Torti Frank · CIK 0001647805 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,617

Underlying: Common Stock · 137,617 shares

Expires 2029-06-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd. (the "Business Combination Transaction"), the option to purchase 281,387 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061600 · doc4.xml · derivative · entry 1

Salzmann Peter · CIK 0001796309 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,479,043

Underlying: Common Stock · 1,479,043 shares

Expires 2029-06-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd., the option to purchase 3,024,219 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061598 · doc4.xml · derivative · entry 4

POTTER MYRTLE S · CIK 0001214130 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,765

Underlying: Common Stock · 3,765 shares

Expires 2029-11-19

F5 · price: In connection with the Business Combination Transaction, the option to purchase 7,698 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer.

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061598 · doc4.xml · derivative · entry 3

POTTER MYRTLE S · CIK 0001214130 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,488

Underlying: Common Stock · 11,488 shares

Expires 2029-10-20

F4 · price: In connection with the Business Combination Transaction, the option to purchase 23,489 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer.

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061598 · doc4.xml · derivative · entry 2

POTTER MYRTLE S · CIK 0001214130 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893

Underlying: Common Stock · 893 shares

Expires 2029-07-28

F3 · price: In connection with the Business Combination Transaction, the option to purchase 1,825 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer.

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061598 · doc4.xml · derivative · entry 1

POTTER MYRTLE S · CIK 0001214130 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,617

Underlying: Common Stock · 137,617 shares

Expires 2029-06-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd. (the "Business Combination Transaction"), the option to purchase 281,387 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061593 · doc4.xml · derivative · entry 2

MIDDLEKAUFF W BRADFORD · CIK 0001214501 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489

Underlying: Common Stock · 489 shares

Expires 2029-06-19

F3 · price: In connection with the Business Combination Transaction, the option to purchase 1,000 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer.

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061593 · doc4.xml · derivative · entry 1

MIDDLEKAUFF W BRADFORD · CIK 0001214501 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,277

Underlying: Common Stock · 211,277 shares

Expires 2029-05-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd. (the "Business Combination Transaction"), the option to purchase 432,000 shares of Immunovant Sciences Ltd. at exercise price of $3.84 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061590 · doc4.xml · derivative · entry 1

Hughes Douglas J. · CIK 0001710863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,181

Underlying: Common Stock · 77,181 shares

Expires 2029-11-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd., the option to purchase 157,812 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: This stock option vests over a period of three years, with 1/3 of the shares underlying the option vesting on each of the first, second and third anniversaries of the vesting commencement date.

SEC source: 0001209191-19-061584 · doc4.xml · derivative · entry 1

Butchko Julia G. · CIK 0001796290 · Chief Dev. & Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 433,588

Underlying: Common Stock · 433,588 shares

Expires 2029-11-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd., the option to purchase 886,563 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: 25% of the shares underlying the option vests on the first anniversary of the grant date, and the remainder vests in 12 equal quarterly installments thereafter.

SEC source: 0001209191-19-061588 · doc4.xml · derivative · entry 1

Fromkin Andrew J. · CIK 0001341896 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,181

Underlying: Common Stock · 77,181 shares

Expires 2029-11-19

F2 · price: In connection with the share exchange transaction pursuant to which Health Sciences Acquisitions Corporation ("HSAC") acquired 100% of the issued and outstanding shares of Immunovant Sciences Ltd., the option to purchase 157,812 shares of Immunovant Sciences Ltd. at exercise price of $4.12 per share, was assumed by HSAC and converted into an option to purchase shares of the Issuer (formerly known as HSAC).

F1 · derivative.exercise_date: This stock option vests over a period of three years, with 1/3 of the shares underlying the option vesting on each of the first, second and third anniversaries of the vesting commencement date.

SEC source: 0001213900-19-026634 · ownership.xml · derivative · entry 1

Health Sciences Holdings, LLC · CIK 0001776357 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000,000 shares

Expires not disclosed

F1 · kind: The warrants were cancelled in connection with the business combination, consummated on December 18, 2019, by and between Health Sciences Acquisitions Corporation and Immunovant Sciences, Ltd.

F2 · derivative.exercise_date: The warrants become exercisable on May 9, 2020.

F3 · derivative.expiration_date: The warrants expire on December 18, 2024, or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.

SEC source: 0001213900-19-026179 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 902,498

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025792 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 870,998

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025656 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 845,027

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025587 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 795,027

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025446 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 395,027

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025338 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 375,027

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025233 · ownership.xml · nonDerivative · entry 3

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 355,027

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025233 · ownership.xml · nonDerivative · entry 2

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 335,027

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025233 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 315,027

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025026 · ownership.xml · nonDerivative · entry 3

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 288,109

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025026 · ownership.xml · nonDerivative · entry 2

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 284,109

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-025026 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 280,109

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-024510 · ownership.xml · nonDerivative · entry 3

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 276,109

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-024510 · ownership.xml · nonDerivative · entry 2

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 274,109

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-024510 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 258,915

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-024124 · ownership.xml · nonDerivative · entry 3

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 229,110

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-024124 · ownership.xml · nonDerivative · entry 2

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 199,305

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-024124 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 169,500

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-023579 · ownership.xml · nonDerivative · entry 3

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 156,500

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-023579 · ownership.xml · nonDerivative · entry 2

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 143,500

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-023579 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 130,500

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-022714 · ownership.xml · nonDerivative · entry 2

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 30,500

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001213900-19-022714 · ownership.xml · nonDerivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 17,500

F1 · ownership.nature: The securities reported herein may be deemed to be beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of securities held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Each of RTW and Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of its or his pecuniary interest therein.

SEC source: 0001615774-19-007862 · s118355_form4.xml · derivative · entry 1

Health Sciences Holdings, LLC · CIK 0001776357 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000,000

Underlying: Common Stock · 5,000,000 shares

Expires not disclosed

F1 · derivative.exercise_date: The warrants become exercisable on the later of (i) 30 days from the completion of the registrant's initial business combination and (ii) 12 months from the closing of the registrant's initial public offering.

F2 · derivative.expiration_date: The warrants expire 5 years after the completion of the registrant's initial business combination or earlier upon redemption or liquidation, as described in the registrant's prospectus filed with the SEC.